text stringlengths 14 5.77M | meta dict | __index_level_0__ int64 0 9.97k ⌀ |
|---|---|---|
<?php
namespace Fousky\Component\iDoklad\Functions\CreditNotes;
use Fousky\Component\iDoklad\Functions\iDokladAbstractFunction;
use Fousky\Component\iDoklad\LOV\ExportedStateEnum;
use Fousky\Component\iDoklad\Model\Void\BooleanModel;
/**
* @see https://app.idoklad.cz/developer/Help/v2/cs/Api?apiId=PUT-api-v2-CreditNotes-id-Exported-exported
*
* @author Lukáš Brzák <brzak@fousky.cz>
*/
class UpdateCreditNoteExported extends iDokladAbstractFunction
{
/** @var string $id */
protected $id;
/** @var int $exported */
protected $exported;
/**
* @param string $id
* @param ExportedStateEnum $exported
*/
public function __construct(string $id, ExportedStateEnum $exported)
{
$this->id = $id;
$this->exported = $exported->getValue();
}
/**
* Get iDokladModelInterface class.
*
* @see iDokladModelInterface
*
* @return string
*/
public function getModelClass(): string
{
return BooleanModel::class;
}
/**
* GET|POST|PUT|DELETE e.g.
*
* @see iDoklad::request()
*
* @return string
*/
public function getHttpMethod(): string
{
return 'PUT';
}
/**
* Return base URI, e.g. /invoices; /invoice/1/edit and so on.
*
* @see iDoklad::call()
*
* @return string
*/
public function getUri(): string
{
return sprintf(
'CreditNotes/%s/Exported/%s',
$this->id,
$this->exported
);
}
/**
* Vrátí seznam parametrů, které se předají GuzzleHttp\Client.
*
* @see \GuzzleHttp\Client::request()
* @see iDoklad::call()
*
* @return array
*/
public function getGuzzleOptions(): array
{
return [];
}
}
| {
"redpajama_set_name": "RedPajamaGithub"
} | 2,377 |
module Bitbot
module Trader
# Adds few utility methods for parsers
#
class Parser
def self.parse(item)
new(item).parse
end
def self.parse_collection(items)
items.map(&method(:parse))
end
end
end
end
| {
"redpajama_set_name": "RedPajamaGithub"
} | 8,552 |
Leptonoma is a moth genus, belonging to the family Tineidae. It contains only one species, Leptonoma citrozona, which is found in Malawi.
References
Endemic fauna of Malawi
Tineidae
Monotypic moth genera
Lepidoptera of Malawi
Moths of Sub-Saharan Africa
Tineidae genera
Taxa named by Edward Meyrick | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 5,284 |
{"url":"http:\/\/luschny.de\/math\/euler\/EulerianPolynomialsMathJax.html","text":"# Eulerian polynomials\n\nPeter Luschny,\u00a0\u00a02010\u221208\u221218, 2013-04-23.\n\nThe Eulerian polynomials were introduced by Leonhard Euler in his Remarques sur un beau rapport entre les s\u00e9ries des puissances tant directes que r\u00e9ciproques in 1749 (first printed in 1765) where he describes a method of computing values of the zeta function at negative integers by a precursor of Abel's theorem applied to a divergent series. The Eulerian polynomials should not be confused with the Euler polynomials.\n\n## Definition\n\nThe Eulerian polynomials are defined by the exponential generating function\n\n$$\\sum_{n=0}^{\\infty} A_{n}(t)\\ \\frac{x^n}{n!} = \\frac{t-1}{t-\\exp((t-1)x)}.$$\n\nThe Eulerian polynomials can be computed by recurrence:\n\n$$A_{0}(t) = 1,$$ $$A_{n}(t) = t(1-t)A'_{n-1}(t)+A_{n-1}(t)(1+(n-1)t) \\quad (n \\ge 1)\\,.$$\n\nAn equivalent way to write this definition is to set the Eulerian polynomials inductively by\n\n$$A_{0}(t) = 1,$$ $$A_{n}(t) = \\sum_{k=0}^{n-1} {n \\choose k} A_{k}(t)(t-1)^{n-1-k} \\quad (n \\ge 1)\\,.$$\n\nThe definition given is used by major authors like D. E. Knuth, D. Foata and F. Hirzebruch. In the older literature (for example in L. Comtet, Advanced Combinatorics) a slightly different definition is used, namely\n\n$$C_{0}(t) = 1,\\,$$ $$C_{n}(t) = t(1-t)C'_{n-1}(t) + C_{n-1}(t)(nt) \\quad (n \\ge 1)\\,.$$\n\nThe sequence of Eulerian polynomials $A_n(x)$ has ordinary generating function given by the continued fraction\n\n$$\\cfrac{1}{1 - t + \\cfrac{x\\, t^2}{(2+x)\\, t - 1 + \\cfrac{4x\\, t^2}{(3+2x)\\, t - 1 + \\cfrac{9x\\, t^2}{(4+3x)\\, t - 1 + \\cfrac{16x\\, t^2}{\\cdots}}}}}$$\n\n## Three identities\n\nAn identity due to Euler is\n\n$$\\sum_{j \\ge 0} x^j(j+1)^n = \\frac{A_n(x)}{(1-x)^{n+1}}.$$\n\nFor instance we get for $n\\,=\\,0,1,2:$\n\n$$1 + x + x^2 + x^3 + ... = \\frac{1}{1-x},$$ $$1 + 2x + 3x^2 + 4x^3 + ... = \\frac{1}{(1-x)^2},$$ $$1 + 2^2 x + 3^2 x^2 + 4^2 x^3 + ... = \\frac{1+x}{(1-x)^3}.$$\n\nLet $\\operatorname{S}(n,k)$ denote the Stirling numbers of the second kind. Frobenius proved that the Eulerian polynomials are equal to:\n\n$$A_n(x) = \\sum_{k=1}^{n} k! \\, \\operatorname{S}(n,k)(x-1)^{n-k} \\quad (n \\ge 1).$$\n\nThe third identity is called Worpitzky's identity\n\n$$x^n = \\sum_{0 \\le k \\le n } \\binom{x+k}{n} [x^k] A_n(x).$$\n\nHere $[x^k] A_n(x)$ denotes the coefficient of $x^k$ in $A_n(x)$.\n\n## Eulerian numbers\n\nThe coefficients of the Eulerian polynomials are the Eulerian numbers $A_{n,k}$ [1],\n\n$$A_{n}(t) = \\sum_{k=0}^{n} A_{n,k}\\ t^{k}.$$\n\nThis definition of the Eulerian numbers agrees with the combinatorial definition in the DLMF[2]. The triangle of Eulerian numbers is also called Euler's triangle [3].\n\n An,k 0 1 2 3 4 0 1 0 0 0 0 1 1 0 0 0 0 2 1 1 0 0 0 3 1 4 1 0 0 4 1 11 11 1 0\n Cn,k 0 1 2 3 4 0 1 0 0 0 0 1 0 1 0 0 0 2 0 1 1 0 0 3 0 1 4 1 0 4 0 1 11 11 1\n Bn,k 1 2 3 4 1 1 0 0 0 2 1 1 0 0 3 1 4 1 0 4 1 11 11 1\n\nEuler's definition $A_{n,k}$ is A173018. The main entry for the Eulerian numbers in the OEIS database is A008292. It enumerates like $C_{n,k}$ albeit restricted to n \u2265 1 and k \u2265 1.\n\n## The combinatorial interpretation\n\nLet $S_n$ denote the set of all bijections (one-to-one and onto functions) from $\\{1, 2, \\ldots, n \\}$ to itself, call an element of $S_n$ a permutation p and identify it with the ordered list $p_1p_2\\ldots p_n$ .\n\nUsing the Iverson bracket [.] the number of ascents of p is defined as\n\n$$\\text{asc}(p) = \\sum_{i=1}^n \\left[\\, p_{i} \\lt p_{i+1} \\, \\right],$$\n\nwhere pn+1 \u2190 0. The combinatorial interpretation of the Eulerian polynomials is then given by\n\n$$A_{n}(x) = \\sum_{p \\in S_n} x^{\\text{asc}(p)} .$$\n\nThe table below illustrates this representation for the case $n = 4.$\n\n p asc p asc p asc p asc 4321 0 4231 1 2413 2 1423 2 3214 1 2431 1 2134 2 1342 2 3241 1 4312 1 2314 2 4123 2 3421 1 3142 1 2341 2 1324 2 4213 1 4132 1 3124 2 1243 2 2143 1 1432 1 3412 2 1234 3\n\n## History\n\nLeonhard Euler introduced the polynomials in 1749 [4] in the form\n\n$$\\sum_{k=0}^{\\infty} (k+1)^{n}\\ t^{k} = \\frac{A_{n}(t)}{(1-t)^{n+1}}.$$\n\nEuler introduced the Eulerian polynomials in an attempt to evaluate the Dirichlet eta function\n\n$$\\eta(s) = \\sum_{n=1}^{\\infty}{\\frac{(-1)^{n-1}}{n^s}}$$\n\nat $s = -1, -2, -3,\\ldots$. This led him to conjecture the functional equation of the eta function (which immediately implies the functional equation of the zeta function). Most simply put, the relation Euler was after was\n\n$$\\zeta(-n) = \\frac{A_{n}(-1)}{2^{n+1}-4^{n+1}} \\quad (n \\ge 0)\\ .$$\n\nThough Euler's reasoning was not rigorous by modern standards it was a milestone on the way to Riemann's proof of the functional equation of the zeta function. A short exposition of what Euler did was given by Keith Conrad on MathOverflow.\n\nThe facsimile shows Eulerian polynomials as given by Euler in his work Institutiones calculi differentialis, 1755. It is interesting to note that the original definition of Euler coincides with the definition in the DLMF, 2010.\n\n## Eulerian generating functions\n\nWe call a generating function an Eulerian generating function iff it has the form\n\n$$G_{n}(t) = \\frac{g(t) A_{n}(t)}{(1-t)^{n+1}}, \\quad (n \\ge 0)$$\n\nfor some polynomial g(t). Many elementary classes of sequences have an Eulerian generating function. A few examples are collocated in the table below.\n\n n = 0 n = 1 n = 2 n = 3 n = 4 n = 5 g(t) = 1 \u2212 t2 A019590 A040000 A008574 A005897 A008511 A008512 g(t) = 1 \u2212 t A000007 A000012 A005408 A003215 A005917 A022521 g(t) = t A057427 A001477 A000290 A000578 A000583 A000584 g(t) = 1 + t A040000 A005408 A001844 A005898 A008514 A008515 g(t)=1+t+t2 A158799 A008486 A005918 A027602 A160827 A179995\n\nFor instance the case\n\n\u2022 g(t) = t gives the generating function of the regular orthotopic numbers,\n\u2022 g(t) = 1 + t gives the generating function of the centered orthotopic numbers.\n\n## The roots of the polynomials\n\n A1(x) ,\u00a0 A2(x) ,\u00a0 A3(x) ,\u00a0 A4(x) ,\u00a0 A5(x) ,\u00a0 A6(x)\n\n$A_n(x)$ has only (negative and simple) real roots, a result due to Frobenius. In fact the Eulerian polynomials form a Sturm sequence, that is, $A_{n+1}(x)$ has n real roots separated by the roots of $A_{n}(x)$.\n\n## Special values\n\n x \u22121\/2 1\/2 3\/2 2nAn(x) A179929 A000629 A004123 x \u22122 \u22121 0 An(x) A087674 A155585 A000012 x 1 2 3 An(x) A000142 A000670 A122704\n\n## Assorted sequences and formulas\n\nLet \u2202r denote the denominator of a rational number r.\n\n A122778 An(n) A180085 An(\u2212n) A000111 An(I)(1+I)(1-n) A006519 \u2202(An(\u22121) \/ 2n) A001511 log2(\u2202(A2n+1(\u22121) \/ 22n+1))\n\nEulerian polynomials $A_{n}(x)$ and Euler polynomials $E_{n}(x)$ have a sequence of values in common (up to a binary shift). Let $B_{n}(x)$ denote the Bernoulli polynomials and \u03b6(n) the Riemann Zeta function. $\\left\\{{n \\atop k}\\right\\}\\,$ denotes the Stirling numbers of the second kind. The formulas below show how rich in content the Eulerian polynomials are.\n\n A155585 for\u00a0all\u00a0 $n \\ge 0$ $\\quad A_{n}(-1)$ $= E_{n}(1) 2^n$ $= \\zeta(-n)(2^{n+1}-4^{n+1})$ $= B_{n+1}(1) \\frac{4^{n+1}-2^{n+1}}{n+1}$ $= \\sum_{k=0}^n \\left\\{ {n\\atop k} \\right\\} (-2)^{n-k} k!$ $= \\sum_{k=0}^n \\sum_{v=0}^k {k \\choose v} (-1)^v 2^{n-k}(v+1)^n$\n\n## The connection with the polylogarithm\n\nEulerian polynomials are related to the polylogarithm\n\n$$\\text{Li}_s(z) = \\sum_{k=1}^\\infty {z^k \\over k^s}.$$\n\nFor nonpositive integer values of s, the polylogarithm is a rational function. The first few are\n\n $\\text{Li}_{0}(z) = {z \\over 1-z};$ $\\text{Li}_{-1}(z) = {z \\over (1-z)^2};$ $\\text{Li}_{-2}(z) = {z(1+z) \\over (1-z)^3};$ $\\text{Li}_{-3}(z) = {z(1+4z+z^2) \\over (1-z)^4} .$\n\nA plot of these functions in the complex plane is given in the gallery [5] below.\n\n $\\text{Li}_{0}(z)$ $\\text{Li}_{-1}(z)$ $\\text{Li}_{-2}(z)$ $\\text{Li}_{-3}(z)$\n\nIn general the explicit formula for nonpositive integer s is\n\n$$\\text{Li}_{-n}(z) = {{z A_n(z)} \\over (1-z)^{n+1}} \\qquad (n \\ge 0) ~.$$\n\nSee also DLMF and the section on series representations of the polylogarithm on Wikipedia. However, note that the conventions on Wikipedia do not conform to the DLMF definition of the Eulerian polynomials.\n\n## The connection with cardinal B-splines\n\nThe cardinal B-spline of the first order $b_1(n)$ is the characteristic function of the unit interval. The cardinal B-spline of order $n>1$ is $b_n(x) = \\int_{0}^{1} b_{n-1}(x-t) \\, dt$. Then for $n \\gt 0$\n\n$$A_n(x) = n! \\, \\sum_{k=0}^{n-1} b_{n+1}(k+1)x^k .$$\n\nThis representation of the Eulerian polynomials suggests to look also at the midpoint Eulerian polynomials\n\n$$M_n(x) = 2^{n} n! \\, \\sum_{k=0}^{n} b_{n+1}(k+1\/2)x^k .$$\n\n## The midpoint Eulerian polynomials\n\n### Generating function\n\nThe midpoint Eulerian polynomials are defined by the generating function\n\n$$\\sum_{n=0}^{\\infty} \\frac{M_{n}(t)}{(t-1)^n} \\, \\frac{x^n}{2^n n!} = \\frac{t-1}{t-e^x} e^{x\/2},$$\n\nwhich is the counterpart to the generating function of the standard Eulerian polynomials\n\n$$\\sum_{n=0}^{\\infty} \\frac{A_{n}(t)}{(t-1)^n} \\, \\frac{x^n}{n!} = \\frac{t-1}{t-e^x}.$$\n\n### Exponential generating function\n\n$$\\sum_{n=0}^{\\infty} M_{n}(x)\\ \\frac{t^n}{n!} = \\frac{(1-x)\\exp((1-x)t)}{1-x\\exp(2(1-x)t)}.$$\n\n### Recurrence relation\n\nThe midpoint Eulerian polynomials can be computed by recurrence:\n\n$$M_{0}(t) = 1,$$ $$M_{n}(t) = 2t(1-t)M'_{n-1}(t)+M_{n-1}(t)(1+(2n-1)t) \\quad (n \\ge 1)\\,.$$\n\n### Expansion\n\nThe expansion analogous to Euler's given above is\n\n$$\\sum_{j \\ge 0} x^j(2j+1)^n = \\frac{M_n(x)}{(1-x)^{n+1}}.$$\n\nFor instance we get for $n\\,=\\,0,1,2:$\n\n$$1 + x + x^2 + x^3 + ... = \\frac{1}{1-x},$$ $$1 + 3x + 5x^2 + 7x^3 + ... = \\frac{1+x}{(1-x)^2},$$ $$1 + 3^2 x + 5^2 x^2 + 7^2 x^3 + ... = \\frac{1+6x+x^2}{(1-x)^3}.$$\n\n### Worpitzky-type identity\n\n$$(2x+1)^{n} = \\sum_{0 \\le k \\le n } \\binom{x+k}{n} [x^k] M_n(x).$$\n\n### Roots of the polynomials\n\n$M_n(x)$ has n zeros which are simple and negative.\n\n### The midpoint Eulerian numbers\n\nThe coefficients of the midpoint Eulerian polynomials are the midpoint Eulerian numbers $M_{n,k}$\n\n$$M_{n}(t) = \\sum_{k=0}^{n} M_{n,k}\\ t^{k}.$$\n Mn,k 0 1 2 3 4 row sum 0 1 0 0 0 0 1 1 1 1 0 0 0 2 2 1 6 1 0 0 8 3 1 23 23 1 0 48 4 1 76 230 76 1 384\n\n### The combinatorial interpretation\n\nLet $B_n$ denote the set of signed permutations of $$I = \\{ \\pm i \\ : \\ 1 \\le i \\le n \\}$$ such that $p(-i) = -p(i)$ for all $i \\in I$. The descent number of $p$ is defined as $$des(p) = \\text{card} \\{i \\in [n]: p(i-1) \\gt p(i)\\}$$ where $p(0) = 0$. Then $$M_n(x) = \\sum_{p \\in B_n} x^{des(p)}.$$\n\nThe table below illustrates this representation for the case $n = 2.$\n\n p des p des -2, -1, 1, 2 0 1, -2, 2, -1 1 -2, 1, -1, 2 1 1, 2, -2, -1 1 -1, -2, 2, 1 1 2, -1, 1, -2 1 -1, 2, -2, 1 1 2, 1, -1, -2 2\n\n## Program\n\n(Maple)\na := proc(n, m) local k; # Eulerian numbers\nend:\nA := proc(n, x) local k; # Eulerian polynomials\nend:\nma := proc (n, m) local k; # Midpoint Eulerian numbers\nend:\nmr := proc(n, k) option remember; # Recursive mid. Eul.num.\nif n = 0 then if k=0 then 1 else 0 fi else\n(2*(n-k)+1)*mr(n-1, k-1) + (2*k+1)*mr(n-1, k) fi\nend:\nMA := proc(n, x) local k; # Midpoint Eulerian polynomials\nend:\nB := proc(n, u) # Cardinal B-splines\nif n = 1 then if (u < 0) or (u >= 1) then 0 else 1 fi\nelse (u\/(n-1))*B(n-1, u)+((n-u)\/(n-1))*B(n-1, u-1) fi\nend:\n\n(Sage)\ndef a(n, m) : # Eulerian numbers\nreturn add((-1)^k*binomial(n+1, k)*(m+1-k)^n for k in (0..m))\n\ndef A(n, x) : # Eulerian polynomials\nreturn add(a(n, k)*x^k for k in (0..n))\n\ndef ma(n, m): # Midpoint Eulerian numbers\nreturn add((-1)^(m-k)*binomial(n+1, m-k)*(2*k+1)^n for k in (0..m))\n\n#CachedFunction\ndef mr(n, k) : # Recursive midpoint Eulerian numbers\nif n == 0: return 1 if k == 0 else 0\nreturn (2*(n-k)+1)*mr(n-1, k-1) + (2*k+1)*mr(n-1, k)\n\ndef MA(n, x): # Midpoint Eulerian polynomials\nreturn add(mr(n, k)*x^k for k in (0..n))\n\ndef B(n, x): # Cardinal B-splines\nif n == 1: return 0 if (x < 0) or (x >= 1) else 1\nreturn (x\/(n-1))*B(n-1, x)+((n-x)\/(n-1))*B(n-1, x-1)\n\n\n## Notes\n\n1. The Eulerian number $A_{n,k}$ is not to be confused with the value of the nth Eulerian polynomial at k. For instance $A_{n,n} = 1,0,0,0,\\ldots$ whereas $A_{n}(n)$ is A122778.\n2. Digital Library of Mathematical Functions, National Institute of Standards and Technology, Table 26.14.1\n3. The name Euler's triangle is used, for example, in Concrete Mathematics, Table 254. A virtue of this name is that it might evoke an association to Pascal's triangle, with which it shares the symmetry between left and right.\n4. Euler read his paper in the K\u00f6niglichen Akademie der Wissenschaften zu Berlin in the year 1749 (\"Lu en 1749\"). It was published only much later in 1768.\n5. Author of the plots of the polylogarithm functions in the complex plane: Jan Homann. Public domain.\n\n## References\n\nParts of this article were originally written for the OeisWiki. Thanks to Daniel Forgues for editorial help.","date":"2018-04-19 09:33:43","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\": 0.8447709679603577, \"perplexity\": 618.2612602203607}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2018-17\/segments\/1524125936833.6\/warc\/CC-MAIN-20180419091546-20180419111546-00462.warc.gz\"}"} | null | null |
{"url":"http:\/\/math.stackexchange.com\/questions\/169855\/fibonacci-sequence-strings-without-00-and-binomial-coefficient-sums?answertab=active","text":"Fibonacci sequence, strings without 00, and binomial coefficient sums [duplicate]\n\nThis question already has an answer here:\n\nRefer to the sequence $S$ where $S_n$ denotes the number of n-bit strings that do not contain the pattern 00. By considering the number of n-bit strings with exactly i 0's, show that\n\n$\\displaystyle f_{n+2} = \\sum_{i=0}^{\\frac{n+1}{2}} \\binom{n+1 - i}{i}$ for $n=1,2,\\dots$ where $f$ denotes the Fibonacci sequence.\n\nSo I know the Fibonacci sequence consists of $0, 1, 1, 2, 3,\\dots$ And $S_n=f_{n+2}$. But what else?\n\nAny help is appreciated. Thanks!\n\n-\n\nmarked as duplicate by Grigory M, Michael Lugo, Mark Bennet, Adam Hughes, BlackAdderJan 7 '15 at 0:30\n\nBy $C$ do you mean binomial coefficient? \u2013\u00a0rubik Jul 12 '12 at 10:05\nI've formatted your question with $\\LaTeX$, it'll be applied when someone will approve it. \u2013\u00a0rubik Jul 12 '12 at 10:05\nThis seems to be the same question as this one (or at least very similar): How to show that this binomial sum satisfies the Fibonacci relation?. Only one answer there, perhaps it would deserve adding something more. \u2013\u00a0Martin Sleziak Jul 12 '12 at 10:27\n\nHow many strings of length $n$ which do not contain \"00\" and contains precisely $i$ zeroes are there?\nNotice that any zero must be followed by 1 or be at the and. For the sake of simplicity, let us consider string of length $n+1$ which is obtained by adding 1 to the original string.\nSo no we are counting the strings of length $n+1$ which are obtained from $i$ strings of the form \"01\" with 1's on the remaining position.\nIf we regard the whole string \"01\" as one character, then there are only $n+1-i$ positions and we have to place this \"combined character\" on $i$ of them. So we have $\\binom{n+1-i}i$ positions.","date":"2016-05-04 02:49:10","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\": 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\": 0.7882497906684875, \"perplexity\": 404.4747581556128}, \"config\": {\"markdown_headings\": false, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.3, \"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-2016-18\/segments\/1461860122268.99\/warc\/CC-MAIN-20160428161522-00136-ip-10-239-7-51.ec2.internal.warc.gz\"}"} | null | null |
{"url":"http:\/\/nrich.maths.org\/7169\/solution","text":"### Consecutive Numbers\n\nAn investigation involving adding and subtracting sets of consecutive numbers. Lots to find out, lots to explore.\n\n### Calendar Capers\n\nChoose any three by three square of dates on a calendar page...\n\n### Latin Numbers\n\nCan you create a Latin Square from multiples of a six digit number?\n\n# Colourful Tiles\n\n##### Stage: 3 Short Challenge Level:\n\nConsider the colour at the top. There are $4$ different choices for this: red, yellow, green and blue. For the right hand colour, this can be any of the other $3$ colours that have not yet been used. The bottom colour can then be either of the other $2$ colours. The left hand part then has to have the remaining colour.\n\nThis means there are $4 \\times 3 \\times 2 \\times 1 = 24$ different ways to paint all four sections. This means there are $23$ other ways to paint the tile.\n\nThis problem is taken from the UKMT Mathematical Challenges.\nView the archive of all weekly problems grouped by curriculum topic\n\nView the previous week's solution\nView the current weekly problem","date":"2016-10-24 23:38:33","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.5139307379722595, \"perplexity\": 1129.387527488863}, \"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-2016-44\/segments\/1476988719815.3\/warc\/CC-MAIN-20161020183839-00560-ip-10-171-6-4.ec2.internal.warc.gz\"}"} | null | null |
\section{Introduction}
Outbursts are sudden and short-lived events of mass loss from the surfaces of comets. They have been observed in many comets, on different scales, and under various circumstances. A variety of models have been developed to explain their appearance \citep{hughes1990,belton2010}. Repeating early-morning outbursts at specific sites on comet 9P/Tempel 1 have been attributed to the re-sublimation of water ice frozen out in the uppermost surface layer during the preceding night, as sublimation in deeper layers would continue during night due to the delay between sub-surface and surface temperature cycles \citep{prialnik-ahearn2008}. Outbursts uncorrelated with local time can be driven by cryo-volcanism, following the crystallization of amorphous water ice in the deep ($\sim$15\,m) interior and the release of trapped CO or CO$_2$ \citep{belton-feldman2008}. Also the deepening of a pre-existing crack into layers containing highly volatile material has been proposed as the cause of some outbursts \citep{skorov-rezac2016}.
Collapsing sub-surface voids formed by the earlier sublimation of a volatile substance \citep{vincent-bodewits2015} and collapsing cliffs create dust clouds that can be perceived as outbursts \citep{steckloff-graves2016,vincent-ahearn2016,pajola-hoefner2017}.
The 2.5-year Rosetta mission at comet 67P/Churyumov-Gerasimenko witnessed a large number of outbursts on various scales. In a catalogue of all optically detected outbursts during the perihelion passage, \citet{vincent-ahearn2016} found that the events cluster into two groups by the local time of their appearance: one group occured in the early morning and was attributed to the rapid change in temperature and resulting thermal stress, the other group was observed in the early afternoon and attributed to the diurnal heat wave reaching a deeper layer enriched in volatiles.
Most outbursts from comet 67P were detected only by a single instrument \citep{knollenberg-lin2016, feldman-ahearn2016, vincent-ahearn2016}. For many, the approximate source region on the ground could be reconstructed \citep{vincent-ahearn2016}, but no systematic search for the traces of the induced surface change has been performed yet, and it might prove difficult in many cases due to the uncertainty of the source region coordinates.
In a few events, Rosetta coindicentally flew through the plume of ejected material, while the outburst was also, serendipitously, documented by one or several remote sensing instruments. These events provide particularly valuable data sets due to the nearly simultaneous measurements of several instruments putting strong constraints on the properties of the ejected material and the temporal evolution of the outburst process. Such multi-instrument observations of an outburst on 2016, February 19 were analysed in \citet{gruen-agarwal2016}. Unfortunately, the location of the site of origin of that outburst could not be derived with certainty. On the other hand, \citet{pajola-hoefner2017} could study in great detail the surface change induced by the collapse of a cliff, while only little data on the ejected material were available.
The topic of the present paper is an outburst that occured on 2016, July 03, and was detected by at least 5 instruments on board Rosetta, such that the quantity, composition, and velocities of the ejected material can be derived with some certainty. In addition, the point of origin of this event, its topographic conditions, and the induced surface change can be studied in detail due to the serendipitous availability of high-quality images.
In the following Section~\ref{sec:data}, we briefly decribe the location and timing of the event, followed by detailed accounts of the measurements of the individual instruments and their interpretation. In Section~\ref{sec:results}, we derive properties of the ejected material and discuss the topography and topographic change at the outburst site. In Section~\ref{sec:processes}, we discuss possible processes to trigger the outburst, and in Section~\ref{sec:summary} we summarize the key findings and discuss their significance for a larger context.
\section{Measurements and their interpretation by instrument}
\label{sec:data}
On 2016, July 3, comet 67P was at a distance of 3.32 astronomical units (AU) from the Sun, outbound from its perihelion passage on 2015, August 13. Rosetta was in a close orbit about the nucleus, at a distance of 8.5 km from the outburst site that is located inside the circular ($\sim$500\,m diameter) Basin F \citep{auger-groussin2015} in the Imhotep region in the southern hemisphere of comet 67P, at 172.0$^\circ$ longitude and -33.2$^\circ$ latitude (Fig.~\ref{fig:geometry}). The Rosetta instruments contributing to this work and their data concerning the outburst are summarized in \ref{tab:instruments}
\begin{figure}
\centering
\includegraphics[width=0.48\columnwidth]{cgviewer0750_white.png}
\includegraphics[width=0.48\columnwidth]{3July16geometry.pdf}
\caption{Left panel: Location of the outburst site on the comet. The model shows the comet as seen from Rosetta on 2016 July 03 at 07:50. The arrow marks the outburst site in the circular Basin F in the Imhotep region (shaded yellow). The yellow lines indicate the comet-Sun line with the Sun at the top of the image. The green, red, and light blue lines mark the x-, y-, and z-axis of the comet. The south pole is visible where the z-axis crosses the comet surface. The image was generated with the CG viewer tool developed by Tim Wittrock (https://planetgate.mps.mpg.de:8114). Right panel: approximate configuration of the plume and the spacecraft. The blue line represents the boresights of the science instruments, the orange line that of STR-B.}
\label{fig:geometry}
\end{figure}
\begin{table}
\centering
\label{tab:instruments}
\caption{List of instruments contributing to this work. The first and second columns list the names of the instruments and the type of measurement they perform. The third column lists the type of data contributed to this work.}
\begin{tabular}{lll}
\hline
Name & Type & Data \\
\hline
Alice & Far-UV imaging spectrograph & Spectrum of the plume\\
COSIMA & TOF mass spectrometer & Microscope images of \\
&&1 fragmented particle\\
GIADA & Dust detector & Mass and velocity of \\
&& 22 particles\\
OSIRIS & Camera system & (Colour-)Images of the \\
&&outburst site \\
STR-B & Star tracker camera & Brightness of the \\
&& diffuse dust background\\
\hline
\end{tabular}
\end{table}
A dust plume and its point of origin on the surface were observed by the Ultraviolet Imaging Spectrograph, Alice, beginning from 07:36 and by the Wide Angle Camera (WAC) of the Optical, Spectroscopic, and Infrared Remote Imaging System (OSIRIS) at UT 07:50 (Fig.~\ref{fig:outburst_site}). Unless specified otherwise, all further times refer to UT on 2016, July 3.
A WAC image of the same region from 07:04 shows the site still in shadow and no sign of dust activity near it. The background radiance of the star tracker camera STR-B began to increase around 07:40, and the Grain Impact Analyzer and Dust Accumulator (GIADA) detected the first particle at 08:26. The peak flux in STR-B and GIADA was observed between 08:40 and 09:00. Material from the outburst was also detected on the dust accumulation targets of the COmetary Secondary Ion Mass Analyzer (COSIMA).
An OSIRIS image of the outburst site obtained at 08:48 does not show any obvious dust near the outburst site. GIADA detected the last particle at 10:29, while the background signal of STR-B had not reached its pre-outburst level at 14:00 and continued to decline.
\begin{figure*}
\includegraphics[width=\textwidth]{july3may03_wide_northeast.png}\\[0.2\baselineskip]
\includegraphics[width=\textwidth]{july3may03_zoom_labels.png}
\caption{Left: WAC image of the outburst plume obtained on 2016 July 03 7:50. Right: the same region at the same scale and under similar viewing conditions observed with NAC on May 03. The upper and lower row show the same images at different zoom levels. The boulders B1 and B2, and a neighbouring depression D2 are indicated for orientation and comparison to Fig.~\ref{fig:mar19-jul02}.
}
\label{fig:outburst_site}
\end{figure*}
\subsection{OSIRIS}
\label{subsec:osiris}
OSIRIS \citep{keller-barbieri2007} onboard the Rosetta spacecraft comprised a Narrow- and a Wide Angle Camera (NAC and WAC), each with a CCD detector of 2048 $\times$ 2048 pixels. The fields of view (FOVs) covered approximately 2$^\circ \times$ 2$^\circ$ and 12$^\circ \times$ 12$^\circ$, respectively. The cameras were regularly imaging the nucleus and coma of comet 67P/Churyumov-Gerasimenko between 2014, March and 2016, September in 25 broad- and narrow-band filters covering the wavelength range 240 to 1000 nm \citep{sierks-barbieri2015}. The standard data processing on ground comprised bias-subtraction, flat-fielding, correction for distortion of the optical path, and flux calibration relative to standard stars \citep{tubiana-guettler2015}.
A list of OSIRIS images obtained before, during, and after the outburst is given in Table~\ref{tab:image_parameters}, and the properties of the employed filter bands are listed in Table~\ref{tab:filters}.
We here analyse images obtained during the last months of the Rosetta mission when the spacecraft was close to the comet, providing high spatial resolution.
\begin{table}
\centering
\caption{Observational circumstances characterising the OSIRIS images used for this work. ``C'' defines the camera (NAC/WAC). The local time (LT) is calculated as 12+($\lambda_{site} - \lambda_{sun}$)/15, where $\lambda_{site}$ and $\lambda_{sun}$ are the longitudes of the outburst site and of the subsolar point in degrees. The azimuth (Az) and zenith distance (ZD) of the spacecraft are given in degrees and were calculated with respect to the vector, $r_0$, from the origin of the comet reference frame to the outburst site. Az is the angle between the components perpendicular to $r_0$ of the north direction and the vector, $r_{s/c}$, from the outburst site to the spacecraft. ZD is the angle between $r_0$ and $r_{s/c}$. The last column gives the distance, $D$, between the outburst site and the spacecraft in km. Double horizontal lines separate groups of images obtained under similar circumstances. The pixel scale is given by $a D$, where $a_{NAC}=18.6\,\mu$rad and $a_{WAC}=101\,\mu$rad.}
\label{tab:image_parameters}
\begin{tabular}{lllrrrr}
\hline
Obs. Date [UT] & C & Filter & LT[h] & ZD & Az & $D$\\
\hline
2016-05-03 00:42 & N & or. & 10.9073 & 53.8 & 51.1 & 17.906\\
2016-07-03 07:50 & W & red & 11.0239 & 48.1 & 58.9 & 8.534\\
\hline\hline
2016-07-03 07:04 & W & red & 9.4979 & 38.3 & 78.0 & 8.557\\
2016-07-03 08:47 & W & red & 12.9304 & 68.9 & 51.9 & 8.768\\
2016-07-03 08:50 & W & red & 13.0144 & 69.9 & 51.9 & 8.783\\
\hline\hline
2016-07-02 21:26 & N & blue & 14.3332 & 34.2 & 116.6 & 11.859\\
2016-07-02 21:26 & N & or. & 14.3395 & 34.2 & 116.5 & 11.857\\
2016-07-02 21:26 & N & NIR & 14.3459 & 34.1 & 116.4 & 11.856\\
2016-07-02 21:36 & N & blue & 14.6649 & 32.9 & 111.4 & 11.776\\
2016-07-02 21:36 & N & or. & 14.6712 & 32.9 & 111.3 & 11.775\\
2016-07-02 21:36 & N & NIR & 14.6776 & 32.9 & 111.2 & 11.773\\
\hline\hline
2016-03-19 21:26 & N & or. & 14.8761 & 43.4 & 145.0 & 10.847\\
2016-03-19 21:46 & N & or. & 15.5388 & 36.8 & 140.3 & 10.746\\
\hline\hline
2016-05-02 12:59 & N & or. & 11.5852 & 54.4 & 81.2 & 17.917\\
2016-05-02 12:59 & N & blue & 11.5981 & 54.4 & 81.2 & 17.918\\
2016-05-02 13:00 & N & NIR & 11.6276 & 54.5 & 81.1 & 17.920\\
\hline
2016-07-09 20:47 & W & red & 11.4596 & 51.7 & 106.7 & 10.317\\
2016-07-09 21:46 & W & red & 13.3904 & 50.2 & 90.8 & 9.938\\
\hline
2016-07-24 10:15 & N & blue & 11.0542 & 51.3 & 98.0 & 8.505\\
2016-07-24 10:15 & N & or. & 11.0606 & 51.2 & 97.9 & 8.505\\
2016-07-24 10:15 & N & NIR & 11.0670 & 51.2 & 97.9 & 8.504\\
2016-07-24 10:30 & N & blue & 11.5519 & 50.8 & 93.5 & 8.483\\
2016-07-24 10:30 & N & or. & 11.5583 & 50.8 & 93.5 & 8.483\\
\hline
2016-08-21 13:19 & W & red & 10.8456 & 43.9 & 77.9 & 7.033\\
\hline\hline
2016-01-06 08:51 & N & or. & 8.8523 & 46.2 & 34.9 & 84.652\\
\hline
2016-05-03 12:05 & N & or. & 9.5692 & 46.1 & 17.3 & 17.731\\
2016-05-03 12:25 & N & or. & 10.2322 & 54.9 & 20.0 & 17.899\\
\hline
\end{tabular}
\end{table}
\begin{table}
\centering
\caption{List of employed OSIRIS filters and their properties. $\lambda_c$: Central wavelength; $\Delta \lambda$: bandwidth; $I_{sun}$: solar flux at central wavelength and 1\,AU.}
\label{tab:filters}
\begin{tabular}{lllrrrr}
\hline
Camera & Filter & $\lambda_c$ [nm] & $\Delta \lambda$ [nm] & $I_{sun}$ [W\,m$^{-2}$\,nm$^{-1}$]\\
\hline
NAC & NIR & 882.1 & 65.9 & 0.9230\\
NAC & orange & 649.2 & 84.5 & 1.5650\\
NAC & blue & 480.7 & 74.9 & 2.0300\\
WAC & red & 629.8 & 156.8 & 1.7000\\
\hline
\end{tabular}
\end{table}
The dust plume observed by WAC at 07:50 (Fig.~\ref{fig:outburst_site}) was optically thick and cast a measurable shadow on the surface. It originated between two boulders (B1 and B2). The site emerged from the shadow of the northeastern wall of Basin F at 07:30 (local time 10:17). A detailed analysis of this and additional images is found in Section~\ref{sec:results}.
\subsection{Alice}
\noindent Alice is a far-ultraviolet (70--205~nm) imaging spectrograph onboard Rosetta that observed emissions from various atomic and molecular species in the coma of comet 67P/Churyumov-Gerasimenko \citep{feldman-ahearn2015} as well as reflected solar radiation from both the nucleus and the dust coma \citep{feaga-protopapa2015}. Alice employed a two-dimensional photon counting detector that accumulated counts over an interval, usually 5 or 10 min, into a histogram array of wavelength vs. spatial position along the 5.5$^\circ$ slit.
\noindent At the time of the outburst, Alice was obtaining histograms of 604\,s
integration time. The histogram beginning at 07:37 shows a very large increase in reflected solar radiation in the wide bottom of the Alice slit. From analysis of the OSIRIS image (Fig.~\ref{fig:alice_on_wac}) we find that the outburst is confined to a region 1.2$^\circ$ $\times$ 0.1$^\circ$, which translates to a projected footprint on the nucleus of 180\,m x 15\,m. Because of the rotation of the comet and the motion of Rosetta, the outburst is seen by the Alice slit for only $\sim$3 minutes of the 10-minute histogram. In comparison to the subsequently obtained spectrum (beginning at 07:47), the spectrum covering the outburst plume shows increased flux at long wavelengths (Fig.~\ref{fig:alice_spectrum}). The sharp absorption edge below 170~nm is characteristic of sub-micron water ice particles \citep{hendrix-hansen2008}. This spectral feature appears only in the histogram beginning at 07:37, and only in the wide bottom of the Alice slit, and thus can be uniquely associated with the plume observed by OSIRIS/WAC 10 minutes later. Grains in the vicinity of the spacecraft are likely too optically thin to be detected against reflected sunlight from the surface, so we cannot determine if they are water ice. Unlike the outbursts of volatile gas observed by Alice on multiple dates around perihelion \citep{feldman-ahearn2016}, no gas emission associated with this event is detected. The Alice housekeeping data, with a time resolution of 30\,s, show a rise in the total count rate beginning from 07:36. While this does not necessarily mark the beginning of the outburst due to the motion of the FOV across the comet surface, it represents the latest possible start time.
\begin{figure}
\includegraphics[width=\columnwidth]{alice_track_on_WAC0750_160703.png}
\caption{Position of the Alice slit overlayed on the WAC image of the outburst (Fig.~\ref{fig:outburst_site}) as a function of time. The rectangles correspond to individual pixels of the Alice detector, each 0.3$^\circ$ $\times$ 0.1$^\circ$, of which rows 4 (green), 6 (red), 8 (blue), and 10 (yellow) are shown. The numbers indicate minutes after UT 07:00, and the white line marks the position of the slit at UT 07:37. The pixel positions were calculated using the pixel centres relative to the central boresight given in the ROS\_ALICE\_V16.TI instrument kernel in the spice library \citep{acton1996}.}
\label{fig:alice_on_wac}
\end{figure}
\begin{figure}
\includegraphics[width=\columnwidth]{alice_spectrum.png}
\caption{The top panel shows two Alice spectra, each a 604 second integration. The black line histogram begins at UTC 07:37:15, and the peak count rate is determined from the OSIRIS image to occur at $\sim$07:39. The red line is the following spectrum beginning at UTC 07:47:59, and does not show the long wavelength enhancement due to the outburst but only solar reflected light from the surface. A scaled solar spectrum \citep{mcclintock-rottman2005}, convolved to the Alice resolution, is shown (in magenta) for comparison. We assume the black spectrum to be that of the outburst grains superimposed on that of the surface, while the red spectrum is surface alone. The difference is then the spectrum of the released grains. The lower panel shows this difference divided by the surface spectrum to give the normalized bidirectional reflectance spectrum. Water ice models with grains of diameter 0.2\,$\mu$m (red); 0.5\,$\mu$m (green); and\,1.0\,$\mu$m (blue), from \citet{hendrix-hansen2008} are shown. These demonstrate that the grains in this particular outburst are composed of sub-micron water ice particles.}
\label{fig:alice_spectrum}
\end{figure}
\subsection{GIADA}
\label{subsec:giada}
GIADA on board Rosetta was designed to determine the physical properties of cometary dust: momentum, speed, mass and the geometrical cross section of individual particles \citep{dellacorte-rotundi2014,dellacorte-rotundi2016}. The information on single particles was derived by two subsystems mounted in cascade: The Grain Detection System (GDS) and the Impact Sensor (IS). The GDS detected particles crossed a laser curtain providing their cross sections and triggering a time of flight counter from the GDS to the IS. From this time measurement, the particle speed was retrieved. The IS consisted of a sensing plate equipped with five piezoelectric sensors (PZTs). A particle impacting the sensing plate generated bending waves detected by the PZTs. The PZTs signal was monotonically related to the particle momentum. GIADA detections, depending on which sub-system detected the individual dust particle, are divided in: 1) GDS-only detections providing the particle cross-section and speed; 2) IS-only measuring particle momentum; and 3) GDS-IS detection determining individual particle mass, speed and geometrical cross-section. Since the subsystem detections depend on the particle physical characteristics (size, optical properties, density) thanks to different detection types we classified different classes of particles. GDS-only detections, occurring as isolated events or as "dust showers", i.e. up to hundreds of detections in tens of seconds, correspond to ultra-low-density ($<$1\,kg\,m$^{-3}$) aggregates \citep{fulle-dellacorte2015}. IS-only and GDS+IS detections are of compact particles with average density of 800\,kg\,m$^{-3}$ \citep{fulle-dellacorte2016}.
GIADA detected 22 particles (1 GDS-IS, 10 IS, and 11 GDS) between UT 8:26:29 and 10:29:21 on July 03 (Fig.~\ref{fig:giada}). This detection peek was embedded in a period with almost no other detections. The total number of events during the week from July 01 to 07 was 25, such that 90\% of the detected material in this time period are associated in time with the outburst. The peak of detections occured around UT 09:00, and the particle speeds were typically $<$3\,m\,s$^{-1}$ (Fig.~\ref{fig:giada_speed}). 50\% of the particles were detected by the IS, suggesting that these were compact with bulk densities of order 800\,kg\,m$^{-3}$ \citep{fulle-dellacorte2016}. It is possible that the detection peak around UT 09:00 and the following decrease in detection rates reflect the temporal evolution of the activity level.
\begin{figure}
\includegraphics[width=\columnwidth]{fig7.png}
\caption{Particle detection rate measured by GIADA. The different event types are colour coded. The one GDS+IS detection occured at UT 09:56 and revealed a velocity of (1.37 $\pm$ 0.08)\,m\,s$^{-1}$ and a particle mass of 10$^{-7}$\,kg, corresponding to a 310\,$\mu$m radius sphere of density 800\,kg\,m$^{-3}$.}
\label{fig:giada}
\end{figure}
\begin{figure}
\includegraphics[width=\columnwidth]{GD_velocities.pdf}
\includegraphics[width=\columnwidth]{GD_start_times.pdf}
\caption{Velocities (top panel) and inferred starting times (bottom panel) of particles detected by GIADA. The velocities of the IS-only particles were determined using the method described in \citep{dellacorte-rotundi2016} using a value for the reference speed, $A$, optimized for this particular event such that all IS-only particles are compatible with ejection during the time interval confined by the first detection of activity by Alice and the observation of the inactive surface by OSIRIS. The error bars correspond to a velocity uncertainty of 50\% for the IS-only and GDS-only detections.}
\label{fig:giada_speed}
\end{figure}
\subsection{COSIMA}
\label{subsec:cosima}
COSIMA was a Time-Of-Flight mass spectrometer on the Rosetta orbiter that collected dust particles in the coma of 67P on substrate frames, with 3 mounted metallic targets of 1\,cm$^2$ each. With an optical microscope camera, COSISCOPE, the dust particles were imaged with a resolution of 14\,$\mu$m $\times$ 14\,$\mu$m \citep{kissel-altwegg2007,langevin-hilchenbach2016}.
The three metallic targets were exposed at the same time to the cometary dust flux. The typical exposure periods ranged from a few hours up to 3 weeks. Images of the target holder were acquired prior to and after each exposure period. New particles were identified by comparison of the two image sets. The target holder was located at the rear of a 14.9\,cm-long funnel with a FOV of 15$^\circ \times$ 23$^\circ$. The cometary particles passed through the funnel before impact on the targets (Fig.~\ref{fig:cosima_targets}). The particles collected by COSIMA were able to fragment at very low velocity \citep{hornung-merouane2016}. Some particles hit the funnel walls prior to impact on the target and likely broke into pieces. These pieces, if they did not stick to the funnel, were scattered and eventually stuck on a target. In order to estimate the number of the primary dust particles that entered the instrument's FOV, this scattering and fragmentation has to be taken into account. To distinguish between individual incoming particles and pieces of particles created by the fragmentation of a larger parent particle, the spatial distribution of the particles collected for each exposure period is analyzed. If the particles are not randomly spatially distributed, they are assumed to come from the fragmentation of a unique parent particle inside the funnel. The method to determine which particles result from such events is described in \citet{merouane-zaprudin2016}.
During the exposure periods preceding as well as following the first week of July, very few particles have been collected (see Table~\ref{tab:cosima}). During the week of the outburst, 188 particles were detected on the targets. However, the analysis of their spatial distribution shows that they are likely to be the fragments of a single large parent particle that disintegrated in the funnel. GIADA detected 22 particles connected in time to the outburst event, with only 2 other particles within a week's interval around July 3, and COSIMA was hit by one particle that fragmented on the target. Given that the total collection areas of GIADA and COSIMA differ by a factor of 30, the total numbers of detected particles are consistent, and the COSIMA particle stems with high probability from the outburst.
If we sum the volumes of all the fragments on the COSIMA targets, assuming they have a half-sphere shape, accounting for some flattening upon impact, we obtain a total volume of 2.3$\times$10$^{-12}$\,m$^3$. This volume corresponds to a spherical particle of about 160\,$\mu$m in diameter. As fragments from the parent impacting particle may have stuck to the dust funnel's walls, the particle size stated is a lower limit estimate.
The size distribution of the fragments of the collected particle gives a hint on the tensile strength and/or the velocity of the incoming particle. A very fragile or very fast particle would tend to break into a lot of small fragments whereas a low velocity and/or strongly bounded aggregate would tend to break into few big pieces. The cumulative power index of the size distribution shown in Fig.~\ref{fig:sd_cosima} is -2.54. This power index is very close to the average power index of -2.3 $\pm$ 0.2 measured for the size distribution of fragments of particles collected before perihelion at heliocentric distances ranging from 3.57 to 2.36 AU \citep{hornung-merouane2016}. This implies that the particle tensile strength is of the same order of magnitude than previously reported values of several hundreds of Pa. Then the velocity would range from 2\,m\,s$^{-1}$ to 5\,m\,s$^{-1}$, and the particle density would be 200-300 kg\,m$^{-3}$ \citep{hornung-merouane2016}. This density range implies that the estimated mass of the particle collected during this week is (0.5 - 0.8) $\times$ 10$^{-9}$ kg. With an assumed density of 1000\,kg\,m$^{-3}$, the total mass would be higher, 2.3$\times$10$^{-9}$ kg, and would imply a higher tensile strength and higher velocity of the impacting particle \citep{hornung-merouane2016,merouane-zaprudin2016}.
\begin{table}
\centering
\caption{Numbers of particles collected by COSIMA during the period between 2016 June 06 and July 19. Between June 08 and July 01, no target was exposed. The first two columns list the start and end date (in 2016) of the exposure period. $N_{f}$ is the number of individual particle fragments identified on the target, and $N_{p}$ is the number of parent particles from which these fragments have been inferred to derive from. The quantity $N_{p}$ is assumed to be 1 if the spatial distribution of the particles collected during the exposure period of interest is not random. The method to determine $N_{p}$ is described in \citet{merouane-zaprudin2016}. The volume, $V$, is calculated by deriving the radius of the particles on the target assuming a circular shape and calculating the volume of a half-sphere (to take into account a flattening of the particles after impact on the target).}
\label{tab:cosima}
\begin{tabular}{llrrr}
\hline
$T_{start}$ [UT] & $T_{end}$ [UT] & $N_{f}$ & $N_{p}$ & $V$ [m$^3$]\\
\hline
Jun-06 03:04:19 & Jun-06 06:40:13 & 0 & 0 & 0 \\
Jun-06 08:24:45 & Jun-07 13:15:14 & 0 & 0 & 0 \\
Jun-07 14:55:26 & Jun-08 00:00:11 & 1 & 1 & 8.3$\times$10$^{-15}$\\
Jul-01 12:52:09 & Jul-07 07:13:45 & 188 & 1 & 2.3$\times$10$^{-12}$\\
Jul-07 10:40:55 & Jul-13 05:55:10 & 19 & 1 & 1.5$\times$10$^{-12}$\\
Jul-13 09:22:12 & Jul-16 20:41:30 & 11 & 1 & 1.4$\times$10$^{-13}$\\
Jul-17 00:08:54 & Jul-19 19:03:37 & 5 & 5 & 3.8$\times$10$^{-13}$\\
\hline
\end{tabular}
\end{table}
\begin{figure*}
\includegraphics[width=\textwidth]{C3_V2.png}
\caption{COSISCOPE optical microscope images of targets: left column: before the exposure period of 2016 July 01 -- 07, centre column: after the exposure, and right column: with the locations of the particles that were collected during this period marked.}
\label{fig:cosima_targets}
\end{figure*}
\begin{figure}
\includegraphics[width=\columnwidth]{cosima_sd.png}
\caption{Size distribution of particle fragments collected on the COSIMA targets during the exposure period including the outburst. The cumulative power index is -2.54, which is close to the value measured for all the particles collected after perihelion (-2.58). However, since the particles from this outburst result from the fragmentation of a single parent broken in the funnel, the size distribution reflects that of the fragments. The measured power index should rather be compared to the value of -2.3 $\pm$ 0.2 measured for the size distribution of fragments of particles \citep{hornung-merouane2016}. The method used to determine the number of particles and the error bars is described in \citet{merouane-zaprudin2016}.}
\label{fig:sd_cosima}
\end{figure}
\subsection{STR-B}
\label{subsec:str}
The Rosetta spacecraft carried two identical Star Trackers (STR-A and STR-B) as part of its attitude control system \citep{buemi-landi2000}. The STR cameras had apertures of 29\,mm, an effective focal length of 46\,mm, and a FOV of 16.4$^{\circ}\times$16.4$^{\circ}$. They were equipped with CCD detectors comprising 1024 $\times$ 1024 pixels, and their sensitivity extended over a broad range in the visible spectrum.
In the nominal tracking mode, the instrument continuously measured the position and magnitude of up to 9 stars in the FOV in order to derive the spacecraft attitude. In this process the background signal was determined in 20 $\times$ 20 pixel windows containing the tracked stars. The average of this quantity over all tracking windows is available as a housekeeping parameter downlinked with a typical sampling interval of 32\,s. The parameter value was then bias-corrected and converted into spectral radiance units based on information extracted from the magnitude calibration relations applied by the instrument for stellar targets.
During the time of the outburst, STR-B was continuously obtaining data, measuring the average surface brightness, $I_{STR}$ in its FOV. Mounted on the spacecraft with a boresight offset by 100$^\circ$ from that of the science instruments and pointing away from the main outburst site, the STR-B would have detected dust from the outburst only when it arrived close to the spacecraft, such that it can be directly set in relation to the measurements by the in situ instruments.
Fig.~\ref{fig:flux_STR} shows the temporal profile of the surface brightness measured by the STR-B. The peak flux was observed at UT 08:50, about simultaneously with GIADA. This suggests that the dominant optical cross-section of dust released during the outburst was in particles in the sensitivity range of GIADA, a few 100\,$\mu$m in radius.
\begin{figure}
\centering
\includegraphics[width=\columnwidth]{2016-07-03T07_00_00_2016-07-03T14_00_00_str2_bk_rad_0_-652_r_bis.png}
\caption{Surface brightness in the FOV of the STR-B as a function of time.}
\label{fig:flux_STR}
\end{figure}
\section{Results}
\label{sec:results}
\subsection{Dust velocity}
\label{subsec:velocity}
Assuming that the outburst started between 7:30 (first illumination) and 7:36 (first Alice detection), the fastest particles, detected by the STR-B at 07:40, travelled at a speed of (25 $\pm$ 10) m s$^{-1}$. Particles seen by STR-B at 14:00 and having started from the comet after 7:30 and having left the OSIRIS FOV by 8:48 had a velocity of (0.41 $\pm$ 0.05)\,m\,s$^{-1}$.
\subsection{Outburst duration and timing}
\label{subsec:duration}
Assuming that the outburst did not start before the site was exposed to sunlight at 7:30 and that the slowest particles (0.41\,m\,s$^{-1}$) would have needed 10 minutes to leave the OSIRIS FOV (250 pixel distance) by 8:48, we limit the duration of the outburst to a maximum of 68 minutes.
If the outburst had been an instantaneous event, it would need to have occured not later than at 7:36. In that case, even the slowest known particles travelling at 0.41\,m\,s$^{-1}$ would have been at 350\,m distance from the outburst site at 7:50, and all particles visible in the OSIRIS image would have been slower than those detected by STR-B at 14:00. In that case, Alice would have observed much faster particles than OSIRIS, likely those creating the in situ detection peak between 8:30 and 9:00, and -- based on the STR-B measurement -- the surface brightness measured by Alice should have been a factor 10 higher than that measured by OSIRIS, which is in contrast to the observed value of 0.25 (Section~\ref{subsec:surf_brightness}). We therefore exclude an instantaneous event and assume that the activity was still on-going at 7:50, giving a minimum duration of 14 minutes.
\subsection{Plume surface brightness and shadow}
\label{subsec:surf_brightness}
\begin{figure}
\centering
\includegraphics[width=\columnwidth]{albedo_fields.pdf}
\caption{The outburst image subtracted (greyscale) or divided (colour) by the May 03 image scaled to account for the different heliocentric distances and filter bands. The greyscale represents the surface brightness of light scattered by dust in the plume, while the colour code indicates the fraction of light prevented from reaching the surface by the dust. In the central region (framed in green), the surface brightness is given as on July 03, assuming that the dust column was optically thick. Each square has a projected linear size of 17.2\,m at the distance of the comet. The numbered fields were used to derive the dust albedo in Sec.~\ref{subsec:albedo} from the extinction of light reaching the surface (white fields) and the surface brightness of light scattered by dust in the plume (red fields). The geometric association of the fields is based on the assumption that the darkest region of the shadow was cast by the brightest section of the plume.}
\label{fig:albedo_fields}
\end{figure}
To evaluate the amount of light (1) scattered by dust in the plume towards the camera and (2) prevented from reaching the surface, we use the NAC image of 2016 May 03 00:42 (Fig.~\ref{fig:outburst_site}, right) as a reference for the brightness of the surface in the absence of a plume. In both images, we measured the surface brightness in $\sim$3600 circular apertures having projected radii of 1.72\,m. The positions of these apertures were manually selected to match the same landmarks such as boulders and their shadows in both images, resulting in $\sim$3600 pairwise measurements of the surface brightness, each pair consisting of one measurement on the outburst image, $I^j_{outburst}$, and one on the reference image, $I^j_{ref}$, were $j$ identifies the pair. The surface brightness measured on the reference image was scaled by a factor $f$ = 0.842 to account for the different heliocentric distance and central wavelength. For each pair, we calculated the ratio $R = I_{outburst}/(f I_{ref})$ (colour-coded in Fig.~\ref{fig:albedo_fields}) and the difference $I_{plume} = I_{outburst} - f I_{ref}$ (greyscale in Fig.~\ref{fig:albedo_fields}), and averaged over all pairs within 20x20 pixel squares of the outburst image. To calculate the average value of $R$ in a square, we considered only illuminated spots on the surface. The ratio $R$ characterizes the depth of the shadow and is meaningful in the predominantly shadowed region of the surface. The difference, $I_{plume}$, corresponds to the amount of light scattered by dust in the plume. In the central region of the plume, no contours of the underlying cometary surface could be identified even at highest possible stretching of the brightness scale. We interpret this as an optically thick region of the plume and assume that all light received was scattered or absorbed by dust. The shadowed region closest to the plume origin (around coordinates (900,500) in Fig.~\ref{fig:albedo_fields}) is seen through a considerable amount of foreground plume dust that increases the value of $R$. In general, the innermost region of the plume (860$<x<$920, 500$<y<$600) seems to be characterized by a complex interplay of light scattering by the dust and by the surface and shadowing by the dust. An interpretation of this region would require a detailed model of the dust distribution and light scattering and is beyond the scope of this paper. It is possible that the lowest part of the plume appears relatively dark because it is shadowed by the dust above.
The typical plume surface brightness in the WAC red filter in the background-subtracted OSIRIS image is of order 4$\times$10$^{-4}$ W m$^{-2}$ sr$^{-1}$ nm$^{-1}$, corresponding to a radiance factor $I/F$ of 8$\times$10$^{-3}$. Alice measured a surface brightness of about 4000 rayleighs in the spectral range of 175 -- 195 nm, corresponding to $I/F$ = 2$\times$10$^{-3}$. Simultaneous measurements of OSIRIS and Alice on 2016 February 19 found a ratio of 2 between the OSIRIS- and Alice-measured radiance factors \citep{gruen-agarwal2016}, as opposed to a factor of 4 in the present data. This slight difference is explained by the motion of the Alice slit during the 10 minute integration, such that the central plume was covered by the slit only for about 30\% of the total integration time.
\subsection{Plume orientation and shape}
\label{subsec:plume_geometry}
The plume in Fig.~\ref{fig:outburst_site} has an opening angle of (100 $\pm$ 5)$^\circ$, possibly with a denser central region of (25 $\pm$ 5)$^\circ$ opening angle. Associating the brightest region in the plume $P0$=(890,630) in Fig.~\ref{fig:albedo_fields} with the darkest part of the shadow $S0$=(890,370), we calculate the 3-dimensional point of intersection, $PI$, of the lines connecting the point of intersection of $S0$ with the surface to the Sun, and $P0$ to the spacecraft using the shape model SHAP5 v1.5 \citep{jorda-gaskell2016} and the SPICE toolkit \citep{acton1996}. We define the footpoint of the plume, $PF$, from the intersection of the edges of the inner and outer cone, and calculate its 3-dimentional position from the intersection of the line of sight crossing $PF$ with the shape model. We interpret the line connecting $PF$ and $PI$ as the central axis of the cone. Had the plume originated from the centre of the comet reference frame, its direction would have corresponded to latitude -41$^\circ$ and longitude 158$^\circ$ with an uncertainty of 10$^\circ$ resulting from the size of the 20$\times$20 pixel blocks used for the triangulation, and an additional, difficult to quantify, uncertainty arising from the uncertainty of the pixel association. At 7:50, the line connecting $PF$ to Rosetta was at an angle of (35 $\pm$ 10)$^\circ$ from the central plume axis. This angle increased over the following hours.
\subsection{Dust albedo}
\label{subsec:albedo}
We constrain the product of albedo and phase function at a phase angle of 95$^\circ$, $P$, of the plume material from the OSIRIS image in two ways. (1) Assuming that the innermost region of the plume was optically thick, we derive a lower limit of $P_{centre}$=0.012. This is one order of magnitude brighter than the nucleus with $P_{nucleus}$ = 1.1$\times10^{-3}$ \citep{fornasier-hasselmann2015}.
In the second approach, we derive $P$ from the cross section of dust casting the shadow on the surface and the brightness of light scattered by dust. For each of the 20$\times$20 squares shown at colour-scale in Fig.~\ref{fig:albedo_fields}, we calculated the projected area perpendicular to the solar direction $A_{\perp}$, and assumed that the total geometric cross section of dust between the square, $i$, and the Sun was given by $C_i$=(1-$R_i$) $A^i_\perp$, where $R_i$ is the fraction of light removed from the incident flux in square $i$ (Sec.~\ref{subsec:surf_brightness}). We then grouped the squares to seven larger fields of 100$\times$150 pixels (white boxes in Fig~\ref{fig:albedo_fields}), and associated each of these fields with a complementary field in the coma (red boxes), again assuming that the darkest part of the shadow was caused by the brightest region of the plume (Section~\ref{subsec:plume_geometry}).
We obtain for each pair of fields $j=[1,7]$ the total dust cross section $C_j$ in m$^{2}$ and the intensity of the scattered light $I_j$ in W\,m$^{-2}$\,nm$^{-1}$, and calculate the product of geometric albedo and phase function, $P_{plume}^j$, from
\begin{equation}
P_{plume}^j = \frac {I_j}{C_j} \frac{\pi r_h^2 \Delta^2}{I_{sun}},
\end{equation}
where $r_h$ is the heliocentric distance in AU, $\Delta$ is the distance to the spacecraft in m, and $I_{sun} = 1.7$\,W\,m$^{-2}$\,nm$^{-1}$ is the solar flux at 1\,AU in the WAC/red bandpass.
We find $P_{plume}$ = 0.025 $\pm$ 0.002, where the given uncertainty corresponds to the standard error of the mean from averaging over all seven fields. The similarity of values obtained for the different fields seems to support the chosen association of fields on the ground and on the plume.
The measured value of $P_{plume}$ is a factor of $\sim$20 brighter than that of the nucleus. This factor is comparable to the ratio of a typical cometary dust phase function $\phi_{dust} (\alpha=95^\circ)$ = 0.5 \citep{kolokolova-hanner-cometsII-2004}, and the phase function of the nucleus $\phi_{nucl} (\alpha=95^\circ)$ = 0.02 \citep{fornasier-hasselmann2015}.
A possible interpretation is that the plume consisted of a mixture of dark refractory grains of several hundred micrometers having a nucleus-like albedo and phase function, and a component of bright ice grains as detected by Alice. The phase function of ice crystals depends strongly on their shape and texture.
For 0.1 $< P_{ice} <$ 0.2 ~\citep{liu-mishchenko2006}, an admixture of (12 - 25)\% in cross-section of such bright grains would be required to raise the average by a factor 20. \citet{liu-mishchenko2006} model the geometric albedo of ice grains of various shapes as a function of the phase angle. At $\alpha=95^\circ$, they find $P_{ice}$ = 0.1 for spheres and $P_{ice}$ = 0.2 for a mix of cylinders, while the value for spheroids is between these extremes.
Their computations were done for a size distribution of particles with the efficient particle radius of 5\,$\mu$m and at a wavelength of 1.88\,$\mu$m. Since in light scattering the
defining characteristic is the ratio of radius to wavelength, then 5/1.88
should give the same results as particles of radius 1.5\,$\mu$m at the
wavelength 0.6\,$\mu$m used in our observation, which is slightly larger than the particle size derived by Alice. The imaginary part of the refractive index of ice is slightly larger at 1.88\,$\mu$m (1.e-4) than at visible wavelengths (1.e-6). But this difference in absorption is not significant enough to strongly affect the results.
\subsection{Dust mass and production rate}
\label{subsec:mass}
The total dust cross section ($C=\sum_i C_i$) causing the observable shadow is 6200\,m$^{2}$. If (75 - 88)\% of this cross-section were contributed by particles of a representative 250\,$\mu$m radius, the corresponding volume would be (1.6 - 1.8)\,m$^3$, or a disk of 10\,m radius and (5 - 6)\,mm thickness. For a density in the range $\rho$=(250 .. 795)\,kg\,m$^{-3}$, the equivalent mass would be $M_{image}$ = (920 $\pm$ 530)\,kg. The main uncertainty of the mass estimate results from the uncertainty of the average density, the range of which we chose to include both the COSIMA value of 250\,kg\,m$^{-3}$ (Sec.~\ref{subsec:cosima}) and the GIADA average density of 795\,kg\,m$^{-3}$ \citep{fulle-dellacorte2016}.
The mass $M_{image}$ is a lower limit to the total ejected dust mass, because an unknown fraction of the dust was outside the FOV, and because the activity continued over a time interval between 14 and 68 minutes.
The extinction cross section was measured on dust at a distance of 20 to 100\,m from the source (Fig.~\ref{fig:albedo_fields}). At these distances, the dust travels at (90 -- 105)\% of the terminal velocity \citep{jewitt_133P}.
Assuming a representative dust velocity of 2\,m\,s$^{-1}$ (Sec.~\ref{subsec:giada}), dust leaves the shadow-casting region of the plume in $\sim$50\,s. This gives a dust production rate of $Q_M$ = (18.4 $\pm$ 10.6)\,kg\,s$^{-1}$ or a number flux of $Q_N$ = (5.1 $\pm$ 0.4)$\times$10$^{8}$ s$^{-1}$. For a duration of 14 -- 68 minutes and assuming a constant production rate, the estimated total mass of ejected dust is between 6\,500 and 118\,000\,kg. The excavated volume lies in the range (26 -- 150)\,m$^3$, corresponding to a layer of (8 -- 47)\,cm for a 10\,m radius patch.
If the dust was distributed uniformly across a cone with an opening angle of 100$^\circ$ (solid angle of 2.24\,sr), we expect a number flux of $F_{GD}$=(0.0025 $\pm$ 0.0002)\,s$^{-1}$ on the 0.01\,m$^2$ sensitive area of GIADA (subtending a solid angle of 1.1$\times$10$^{-11}$\,sr as seen from the comet). This leads us to expect a detection of (23 $\pm$ 2) particles over a 2.5\,h time period, in good agreement with the 22 actually detected particles.\\
\subsection{Dust size distribution}
\noindent In the following, we derive the dust size distribution from the combined measurements of STR-B and GIADA. If the outburst had been of negligible duration, we could associate a single particle size passing by the spacecraft to any given time. Assuming that the relative distribution of the spatial dust density along the STR-B line of sight and the dust optical properties did not change with time, then $(I_{STR} - I_{bg}) / s^2$ reflects the relative number of particles of size $s(t)$ in the FOV, where $I_{bg}$ = 10$^{-8}$\,W\,m$^{-2}$\,nm$^{-1}$\,sr$^{-1}$ is the pre-outburst background level, and $t = t_{obs} - t_{start}$ is the time required by the particle leaving the comet at $t_{start}$ to cover the distance $D$ = 8500\,m from the outburst site to the spacecraft, and $v(t) = D/t$. Following \citet{wallis1982}, we assume a unique relation $s \propto v^{-2}$, between particle size, $s$, and velocity, $v$, and hence $s(t) = s_0 \sqrt{t/t_0}$, with $s_0$ = 200\,$\mu$m, and $t_0$ the difference between UT 08:50 and $t_{start}$, for which we use a range of fixed values covering the possible duration of the outburst. The surface brightness $I_{STR}$ is proportional to the number of particles in the FOV, $N$, and their squared radius $s^2$. For a power-law differential size distribution
\begin{equation}
\frac{dn}{ds} = s^\alpha,
\end{equation}
follows $N(s) \propto s^{\alpha+1}$.
Fitting a broken power-law to the surface brightness as a function of time, we derive the exponents of the differential dust size distribution in Fig.~\ref{fig:sd_STR}. We find a significant change in the exponent, $\alpha$, of the size distribution at a transition size, $s_{t}$, between 230 and 500\,$\mu$m, depending on the assumed starting time. The exponent changes from $\alpha$ = -3.0 for 150$\mu$m $< s <$ $s_t$ to $\alpha$ = -6.9 for $s > s_t$ . The transition size range dominates the optical cross section of the dust.
\begin{figure}
\centering
\includegraphics[width=\columnwidth]{sd_from_STR.pdf}
\caption{Relative number of particles in the FOV $N = I_{STR} / s^2$ plotted vs. $s = s_0 \sqrt{t/t_0}$ for three different values of the starting time $t_{start}$. The data follow power laws of different exponents for 150$\mu$m $< s < s_t$ and for $s > s_t$ . For $s <$ 150\,$\mu$m (fast particles), the error introduced by the unknown starting time is too large to infer the dust size distribution, while this uncertainty only moderately affects the transition size (230$\mu$m $< s_t <$ 500\,$\mu$m) and not the exponents.}
\label{fig:sd_STR}
\end{figure}
\subsection{Outburst site and surface change}
\label{subsec:site}
OSIRIS observed the outburst site in the Imhotep Basin F multiple times during the mission. We here analyse a set of images obtained between January and August of 2016 to characterise the terrain at the outburst site. Selection criteria to assemble the data set included resolution and viewing geometry (Table~\ref{tab:image_parameters}). Some observations consist of multiple exposures in different bandpasses obtained within a short time interval, characterising the spectral properties of the light scattered by the surface.
\begin{figure*}
\includegraphics[width=\textwidth]{mar19-jul02_composite_cmap.png}
\caption{The outburst site on 2016 March 19 (left) and July 02 (right). The left panel has two brightness scales: illuminated areas are shown at a logarithmic scale between 0 and 0.001\,W\,m$^{-2}$\,nm$^{-1}$\,sr$^{-1}$, while a linear scale between 0 and 4$\times$10$^{-5}$\,W\,m$^{-2}$\,nm$^{-1}$\,sr$^{-1}$ is employed for areas hidden from direct sunlight but indirectly illuminated by the surrounding bright surface. The right panel is a false-colour rgb composite with the red, green, and blue channels corresponding to the NIR, orange, and blue filters.
The labels in the right panel indicate the roundish depressions D1 at the foot of the plume of 2016 July 03, and D2, close to which a plume was observed on 2016 January 06. The wall R is located where after the outburst a bright blue patch was observed (Fig~\ref{fig:july24_details}), and the boulders B1 and B2 are indicated for orientation. }
\label{fig:mar19-jul02}
\end{figure*}
The plume originated from a 20\,m-diameter, roundish depression (D1) bounded to the southwest by a steep wall, R, of a few meters height and $\sim$20\,m length, to the northeast by a row of larger boulders (B1) and to the southeast by a single large and roundish boulder, B2 (Fig.~\ref{fig:outburst_site},\ref{fig:mar19-jul02}).
The best images we found of the face of the wall R were obtained on 2016 March 19 with NAC at a resolution of 20\,cm per pixel and lossless compression (Fig.~\ref{fig:mar19-jul02}, left panel). The wall is in shadow, but indirectly illuminated by the surrounding sunlit surface. Its face shows some indications of thermal fracturing similar to that seen on the neighbouring boulders B1 and B2. It is possible that R is overhanging. In that case, the floor below would receive even less sunlight than the wall itself. The dark shadow at the foot of R could hide a crack.
The images constituting the right panel of Fig.~\ref{fig:mar19-jul02} were obtained 10\,h before the outburst. The floor of D1 and of the neighbouring depression D2 shows patches of a bluish colour, indicating the presence of water ice \citep{pommerol-thomas2015,oklay-sunshine2016,barucci-filacchione2016,fornasier-mottola2016}. Since the July 02 observation was obtained at 14:20 local time, and the region emerged from shadow at 10:17 local time, the face of the wall R was illuminated for not more than 4 local hours per rotation in July 2016.
\begin{figure*}
\includegraphics[width=\textwidth]{surface_change_3panels_cmap.png}\\[0.05\baselineskip]
\includegraphics[width=\textwidth]{surface_change_3panels_circles_cmap.png}\\[0.1\baselineskip]
\includegraphics[width=\textwidth]{surface_change_3panels_topography_arrows_cmap.png}\caption{Left and centre columns: False colour rgb images of the outburst site, with different stretching levels, composed from OSIRIS/NAC images in NIR (red channel), orange (green channel) and blue (blue channel) filters. Right: two-colour composite from orange (green channel) and blue (blue channel) filters, as no NIR data are available. The left column shows the image of May 02, the central and right columns show the images of July 24, 10:15 and 10:30, all at a similar spatial scale (cf. Fig.~\ref{fig:ice_patch} in SM). In the central row, the positions of characteristic surface features are marked by green circles indicating the maximum extent of the region affected by the surface change.
The bottom row shows a close-up of the bright patch, with the same green circles as above. The arrows point to a boulder row that seems to smoothly continue between the bright area and the surrounding darker area, and to have been in a similar position before and after the outburst. This may indicate that an ice layer froze out on top of the pre-existing surface.}
\label{fig:july24_details}
\end{figure*}
On July 24, NAC images show a bright, bluish patch at the outburst site of a projected size of 15\,$\times$\,5\,m$^{2}$ (Fig.~\ref{fig:july24_details}). The bright patch is also visible in images obtained under similar circumstances on July 09 and August 21 (Fig~\ref{fig:ice_patch}). An image of May 02 (12:59) that was also obtained under similar viewing conditions does not show the bright patch. Comparison of surface features in the May 02 and July 24 images shows that the terrain has not been altered outside a region between the bright patch and the boulder row B1, limiting the size of the affected area to a radius of $\sim$10\,m.
The visible bright patch is bounded towards the side of B1 by a shadow that gives the impression of a deep crack. To the opposite side, the bright surface makes an abrupt transition to terrain of more typical colour and brightness. The bright patch shows intrinsic brightness variations similar to those of the adjacent surface, which may indicate a similar, boulder dominated terrain. An apparent continuity of the light-shadow pattern between the bright and the typical terrain (marked by the arrow in the bottom panels of Fig.~\ref{fig:july24_details}) may suggest that the bright material is a sharply bounded ice coating on the bouldered surface. Alternatively, the bright material could be a freshly excavated stretch of sub-surface material, and the sharp transition to the typical terrain could be a topographic feature such as the upper edge of a cliff.
Fig.~\ref{fig:colour_ratios} shows the relative reflectance of selected regions of interests (ROIs), normalised at a wavelength of 535 nm using a linear interpolation between 480 and 649 nm when the observations were not acquired in the green filter centred at 535 nm. Three of the selected ROIs are at the location of the bright patch, and three are on the adjacent terrain. The ROIs in the 24 July bright patch clearly show a much lower spectral slope than the surroundings indicating exposure of some water ice \citep{fornasier-mottola2016, barucci-filacchione2016}.
\begin{figure}
\centering
\includegraphics[width=\columnwidth]{spec_2016-05-02_seq_12h57_screen.jpg}
\includegraphics[width=\columnwidth]{spec_2016-07-02T21h25_Pro_screen.jpg}
\includegraphics[width=\columnwidth]{spec_2016-07-24T10h13_Pro_screen.jpg}
\caption{Spectral reflectance as a function of wavelength for the six regions of interest following the method described in \citep{fornasier-hasselmann2015,fornasier-mottola2016}. The bright patch on July 24 shows a strong blue colour (red square, black circle, and orange triangle symbols).}
\label{fig:colour_ratios}
\end{figure}
The bright patch at the outburst site was observable for at least 7 weeks. There are no suitable observations after August 21 to judge on its presence. From the observations of July 02 and 09, we constrain the diurnal duration of solar illumination of the icy spot to 1.18 -- 3.11 local hours, corresponding to 0.59 -- 1.56 hours on Earth. An ice surface in vacuum at the temperature $T$ sublimates at the rate of
\begin{equation}
Q_{H_2O} = p_{subl}(T) \sqrt{\frac{m_{H_2O}}{2 \pi k_B T}},
\label{eq:QM}
\end{equation}
where $m_{H_2O}$ is the molecular mass of water, $Q_{H_2O}$ is in kg\,s$^{-1}$\,m$^{-2}$, and the sublimation pressure is given by $p_{subl}(T) = A \exp({-B/T})$ with $A$ = 3.56$\times$10$^{12}$\,Pa and $B$ = 6141\,K \citep{fanale-salvail1984}.
We calculate the temperature from the balance of radiative heating and cooling and sublimation cooling:
\begin{equation}
\frac{L}{N_A m_{H_2O}} Q_{H_2O} + \epsilon \sigma T^4 = (1 - A_B) \frac{I_\odot}{r_h^2} \cos \theta + I_{indirect},
\end{equation}
where $\epsilon$ and $A_B$ are the emissivity and Bond albedo of the surface, $\sigma$ and $N_A$ are the Stefan-Boltzmann and Avogadro constants, $L$ = 51000 J/mol is the latent heat of water ice, $\theta$ is the angle between the surface normal and the solar direction, and $I_{indirect}$ represents illumination by scattered light and thermal radiation from other parts of the surface. We approximate this indirect illumination by the expression
\begin{equation}
I_{indirect} = \left[ \frac{I_\odot}{r_h^2} A_B + \epsilon \sigma T_{extern}^4 \right] f_{sky},
\end{equation}
where $f_{sky}$ is the fraction of sky of the primary surface occupied by other parts of the surface having the temperature $T_{ext}$.
For the emissivity we consider a range between 1 (corresponding to a blackbody) and an extreme of 0.6, consistent with excess temperatures of material in the debris trail \citep{sykes-walker1992a}.
The average Bond albedo of the 67P surface in the green filter is $A_B$ = 0.012 \citep{fornasier-hasselmann2015}, and we use $A_B$ = 0.24 measured on the Occator bright spots on Ceres \citep{li-reddy2016} as an upper limit for the bright icy patch.
Without indirect illumination, an ice surface having $A_B$=0.012 and $\epsilon=0.6$ illuminated at normal incidence at 3.32\,AU would have a temperature of $T_{max}$=187\,K. For higher albedo and emissivity, and more shallow incidence, the temperature drops to $T_{low}$=177\,K (cf.~Table~\ref{tab:temperatures}). Indirect illumination from a sky fraction of $f_{sky}$ = 0.5 and a dry and therefore hot (215\,K) surface increases the temperatures by a few Kelvin.
Sub-mm and mm-measurements by the MIRO instrument between 3.45 and 3.27\,AU in-bound do not show evidence for near-surface temperatures above 180\,K \citep{schloerb-keihm2015}.
Sublimation rates corresponding to the above temperature range lie between 4$\times$10$^{-6}$ and 4$\times$10$^{-5}$\,kg\,s$^{-1}$\,m$^{-2}$.
Assuming a bulk density of 500\,kg\,m$^{-3}$, and an illumination duration of 0.59 -- 1.56\,h per 12.055\,h rotation, we expect that the ice layer eroded by 0.8 -- 28\,mm during 7 weeks, such that its initial thickness must have been at least 1\,mm.
\begin{table}
\centering
\caption{Equilibrium temperatures of a sublimating ice surface at 3.32\,AU as a function of the Bond Albedo, $A_B$, the emissivity, $\epsilon$, and the incidence angle of sunlight, $\theta$, measured from the zenith. In all except the last line, no indirect illumination was considered. In the last line it was assumed that the surface was additionally heated by scattered visible light and thermal radiation from nearby surfaces at 215\,K covering 50\% of its sky. $^{(1)}A_B$=0.012 was found for comet 67P \citep{fornasier-hasselmann2015}. $^{(2)}\epsilon=0.6$ was derived for the debris trail of comet 67P \citep{sykes-walker1992a}. $^{(3)}A_B$=0.24 was found for Occator bright spots on Ceres \citep{li-reddy2016}.}
\label{tab:temperatures}
\begin{tabular}{llr|rr}
\hline
$A_B$ & $\epsilon$ & $\theta$ & $T$ [K] & Q$_{H_2O}$ [kg\,s$^{-1}$\,m$^{-2}$]\\
\hline
0.012$^{(1)}$ & 0.6$^{(2)}$ & 0$^\circ$ & 187 & 2.64$\times$10$^{-5}$\\
0.012 & 0.6 & 45$^\circ$ & 184 & 1.56$\times$10$^{-5}$\\
0.012 & 1.0 & 0$^\circ$ & 185 & 1.86$\times$10$^{-5}$\\
0.012 & 1.0 & 45$^\circ$ & 181 & 9.05$\times$10$^{-6}$\\
0.24$^{(3)}$ & 0.6 & 0$^\circ$ & 185 & 1.86$\times$10$^{-5}$\\
0.24 & 0.6 & 45$^\circ$ & 182 & 1.09$\times$10$^{-5}$\\
0.24 & 1.0 & 0$^\circ$ & 182 & 1.09$\times$10$^{-5}$\\
0.24 & 1.0 & 45$^\circ$ & 177 & 4.25$\times$10$^{-6}$ \\
\multicolumn{3}{l|}{Measured (Ref. \citep{schloerb-keihm2015})}&180 & 3.76$\times$10$^{-6}$ \\
0.012 & 1.0 & 0$^\circ$+ & 189 & 3.72$\times$10$^{-5}$\\
\hline
\end{tabular}
\end{table}
\subsection{Frequency of outbursts}
\label{subsec:jan06}
On 2016 January 06, a dust plume similar in shape to that seen on July 3 but a factor 10 less bright was observed near D2. The plume appeared within 10\,minutes from the time when the surface emerged from the shadow cast by the northeastern wall of basin F. Comparison with a similar image obtained on 2016 May 03 shows that the location of the plume is consistent with the southwestern wall of D2 (Fig.~\ref{fig:jan06}). This suggests that the southwestern walls of circular depressions in the Imhotep Basin F may be preferred locations for morning outbursts. However, the plume activity does not occur on every morning, because we saw each depression emerge from shadow without displaying a plume at least twicc (D1: on 2016 May 03, 00:42, and on 2016 June 13, 17:20; D2: on 2016 May 03, 12:25, and on 2016 June 02, 16:56).
\begin{figure*}
\includegraphics[width=\textwidth]{jan06_2panels.png}
\includegraphics[width=\textwidth]{jan06_ref0503_2panels.png}
\caption{Basin F in Imhotep observed with NAC on 2016 January 06 and May 03. The two upper panels show the same image at different brightness scales. The left panel is at a linear scale to show the topography, the right panel at a square-root scale to show the dust plume. The bottom panels show images of May 03 (left: square root scale, right: linear scale) for reference. In the left panel, the circular depression is still in shadow, while on the right it is already exposed to sunlight. Comparison shows that the circular depression is the likely source region of the plume. The observation also shows that a dust plume does not occur at every sunrise.}
\label{fig:jan06}
\end{figure*}
\section{Discussion}
\label{sec:processes}
\subsection{Free sublimation of an icy surface}
\noindent The GIADA data show that a particle of 310\,$\mu$m radius was accelerated to a terminal speed of 1.4\,m\,s$^{-1}$. In the following we examine if this velocity is consistent with the free sublimation of an icy surface.
The acceleration of dust from a small sublimating patch is described in \citep{jewitt_133P}.
From Table~\ref{tab:temperatures}, we expect equilibrium temperatures between 177 and 189\,K, and corresponding production rates between 1.4$\times$10$^{20}$ and 1.2$\times$10$^{21}$\,s$^{-1}$\,m$^{-2}$. The surface temperature may drop significantly once the optically thick dust plume has formed (ranging from 165 to 180\,K for $A_B$=0.012, 0.6$<\epsilon<$1, and 0$^\circ < \theta <$ 45$^\circ$, and a reduction of the solar irradiation to 50\%).
Assuming a gas speed of 600\,m\,s$^{-1}$ and an active patch of 10\,m radius (Sec.~\ref{subsec:site}), we plot the size-velocity relation from Eq.~A5 in \citet{jewitt_133P} for bulk densities of 250 and 800\,kg\,m$^{-3}$ and surface temperatures of 177 and 189\,K in Fig.~\ref{fig:speed_limits}. For a density near the lower end and a temperature near the high end of the assumed intervals, the maximum liftable grain size is of order 1\,mm and compatible with the GIADA and STR measurements. The dust velocities are therefore marginally consistent with a sublimating ice patch.
\begin{figure}
\includegraphics[width=\columnwidth]{velocity_limits.pdf}
\caption{Terminal velocity as a function of particle radius derived from GIADA and COSIMA measurements, and expected maximum values $v_T$ for an active patch of 10\,m radius and gas speed of 600\,m\,s$^{-1}$ \citep{jewitt_133P}. The assumed bulk density is colour-coded. Red: 250\,kg\,m$^{-3}$ (COSIMA=CS best estimate), blue: 800\,kg\,m$^{-3}$ (GIADA best estimate). The long dashed lines correspond to the maximum expected surface temperature of 187\,K. The dotted lines correspond to the maximum temperature of 180\,K measured by the MIRO instrument \citep{schloerb-keihm2015}. The particle radii for GIADA data are derived from the measured momentum and the velocity assuming spheres of the indicated bulk density.}
\label{fig:speed_limits}
\end{figure}
However, the derived dust production rate of (18.4 $\pm$ 10.6)\,kg\,s$^{-1}$ (Sec.~\ref{subsec:mass}) corresponds to (0.06 $\pm$ 0.03)\,kg\,s$^{-1}$\,m$^{-2}$ for a 10\,m-radius patch, a factor(1600 $\pm$ 800) higher than the highest gas production rate listed in Table~\ref{tab:temperatures}. At such a high dust-to-gas mass ratio, the mass loading with dust would significantly influence the gas dynamics and reduce the velocity of both gas and dust. With a dust-to-gas velocity ratio of $\sim$1/200, the dust at terminal velocity would carry only (4 $\pm$ 2)\% of the initial kinetic energy of the gas, but (8 $\pm$ 4)$\times$ its initial momentum, requiring a huge deceleration of the gas.
It seems therefore highly unlikely that a freely sublimating surface of crystalline water ice can have caused the observed dust plume.
\subsection{Outflow from a pressurised sub-surface reservoir}
An alternative model to explain elevated gas production rates is a pressurised sub-surface reservoir that vents into vacuum through a small opening, such as a crack formed in response to thermal stress.
The tensile strength of the surface layers of comet 67P is estimated to $P_t$ = 3 -- 150\,Pa \citep{vincent-bodewits2015,groussin-jorda2015,basilevsky-krasilnikov2016}, which gives an upper limit to the possible pressure inside the cavity.
The mass flow rate of gas from a container at pressure $p_{in}$ and temperature $T_{in}$ through a slit of width $a$ and length $l$ into vacuum is given in \citep{sharipov-kozac2009} as
\begin{equation}
\dot{M} = \frac{W \sqrt{m}}{\sqrt{2 \pi k_B}} \frac{p_{in}\,a\,l}{\sqrt{T_{in}}},
\label{eq:mdot}
\end{equation}
where $m$ is the molecular mass of the gas, $W$ is a dimensionless parameter characteristic of the flow regime (we use $W$ = 1.5 for a viscous flow), and $k_B$ is Boltzmann's constant.
Substituting $p_{in}$ with the sublimation pressure $P_{subl} (T)$ \citep{fanale-salvail1984} and requiring a minimum total gas production rate of 7.9\,kg\,s$^{-1}$ (to match the minimum dust production rate), we require a temperature $T_{in}$=260\,K for $l$=20\,m and $a$=1\,m and water vapour, corresponding to an internal pressure of 200\,Pa. This temperature is significantly higher than the equilibrium temperature derived in Table~\ref{tab:temperatures}.
For CO$_2$ gas, an internal pressure of 120\,Pa at 180\,K would be sufficient to provide the required gas mass flux, which is easily compatible with a sublimation pressure of $\sim$30,000\,Pa.
Behind the crack, the gas density drops approximately twice as fast as the temperature \citep{sharipov-kozac2009}, while the sublimation pressure drops exponentially with temperature. The gas immediately behind the crack therefore is in a supercooled state and is expected to freeze out, especially in the presence of condensation nuclei such as dust grains. This could explain the observation of micron-sized water ice particles by Alice.
Assuming that the reservoir is not significantly refilled during the duration of the outburst, that the temperature inside the cavity remains constant, and that the gas inside the cavity can be described by the ideal gas law, the pressure inside the cavity and the mass flux though the crack drop exponentially with an e-folding time, $\tau$, proportional to the volume of the cavity:
\begin{equation}
\tau = \left( \frac{2 \pi m}{k_B T_{in}}\right)^{\frac{1}{2}} \frac{V}{W\,a\,l}.
\end{equation}
For the production rate to drop to 1/1000 of its initial value (maximum liftable grain size of 1\,$\mu$m) in 14 -- 68\,min, we require (120$<\tau<$590)\,s. For water at 250\,K, a volume of {(5 -- 24)$\times$10$^{5}$\,m$^3$ is required, corresponding to a sphere of radius (49 -- 84)\,m, or a half sphere of radius (62 -- 105)\,m. For CO$_2$ at 180\,K, the required volume would be a factor 2 smaller. The crack would therefore have extended over a considerable fraction of the cavity.
We now estimate how the production rate from the outburst would compare to the overall background level, if CO$_2$ was the driving gas. Assuming a global CO$_2$ production rate of 10$^{25}$\,s$^{-1}$ \citep{fougere-altwegg2016b}, and assuming that this distributes homogeneously over the illuminated hemisphere, we expect a typical CO$_2$ flux of $6 \times 10^{-10}$\,kg\,s$^{-1}$\,m$^{-2}$ at the position of the spacecraft ($\sim$10\,km from the comet centre). For the outburst, we assume that the gas production rate should be comparable to the dust production rate, 18.4\,kg\,s$^{-1}$, and that this gas would distribute homogeneously over a half-sphere, such that at a distance of 8.5\,km, the flux would be $4 \times 10^{-8}$\,kg\,s$^{-1}$\,m$^{-2}$, a factor 68 above the estimated background. For CO, a similar calculation gives a factor of 110, if the global number production rate was comparable to that of CO$_2$.
If water vapour was the driving species, it must have been $\sim$80\,K warmer than the surface equilibrium temperature.
A possible energy source to heat water vapour could be the steady crystallization of amorphous ice in a deeper layer \citep{gonzalez-gutierrez2008}. It is possible that this process supplied a constant rate of sublimation and sufficient heat to build up a pressurised reservoir below a surface layer impenetrable for the vapour \citep{belton-feldman2008}. Such a layer would need to have a thickness of centimeters to decimeters, and could consist of sintered material or of ice frozen out at a depth not reached by the diurnal heat wave.
The accumulation of a sub-surface gas reservoir due to an internal heat source has been suggested by \citet{belton-feldman2008}. We here suggest a different trigger mechanism (thermal cracking) to explain the coincidence of the outburst with exposure to sunlight.
An alternative heating process could be the solid state greenhouse effect \citep{matson-brown1989}, where heat is trapped below a surface composed of a visually translucent medium (such as ice or snow) that is opaque in the mid-IR and shows strong forward scattering \citep{hapke1996}. This effect can lead to a significant increase in temperature below the surface, although the magnitude and depth of the effect is strongly model-dependent \citep{davidsson-skorov2002}.
It is also possible that the sealed cavity was heated and filled with vapour around the time of perihelion, when solar irradiation was sufficient \citep{yelle-soderblom2004}, and preserved both temperature and pressure due to a cover layer of low permeability and heat conductivity until it was opened by the crack formation.
Future modelling work will have to investigate if the heating processes outlined above are consistent with the observed properties of the cometary surface and subsurface.
\subsection{Transition from amorphous to hexagonal ice}
\noindent
Alternative to a pressurized gas bubble, we propose that amorphous ice may have been present behind the wall R and transformed to crystalline ice when, upon local sunrise on July 3, either a part of the overhanging wall collapsed or a newly formed thermal crack exposed it to solar irradiation. The temperature increase induced by the phase transition can have been sufficient to raise the sublimation rate to a level consistent with the observed dust production rate and velocities.
At temperatures below $T_c$=200\,K and low pressure, ice freezing out from a vapour assumes the metastable crystal structure of cubic ice before transforming to the stable hexagonal ice, and below $T_{as}$=160\,K, amorphous ice can initially form \citep{murphy-koop2005}. Since the face of the wall R was exposed to sunlight only for $\sim$1/6 of a comet rotation and falls into shadow much earlier than the terrain bordering its top edge, it is possible that sublimation continued below the still illuminated surface and the vapour froze out behind the cold face of the wall.
Since temperatures in the shadow fall easily below 160\,K, this ice could be initially of cubic or even
amorphous structure, as long as the deposition rate was sufficiently low for the substrate to absorb the considerable latent heat of condensation ($L \sim$51\,000\,J\,mol$^{-1}$ = 2.83$\times$10$^6$\,J\,K$^{-1}$) without a significant rise in temperature.
It is beyond the scope of this paper to explore this possibility in due detail, such that we limit the discussion to simple energetic considerations. Assuming that the subsurface has a warmer ($\sim$100\,K, \citet{desanctis-capaccioni2015}) region below the surface illuminated during local afternoon, and a colder region behind the shortly-illuminated wall, water vapour from the warmer subsurface could diffuse to the colder part and recondense there. The free sublimation rate of crystalline water ice at 100\,K is 1.4$\times$10$^{-17}$ kg\,s$^{-1}$\,m$^{-2}$. This provides a condensation energy flux of 4$\times$10$^{-11}$\,W\,m$^{-2}$. For the local increase in temperature not to exceed $\Delta T$ = 10\,K, and assuming that at a distance of} $l$=4\,cm behind the condensation front the temperature is not elevated, we obtain a heat flux of $\dot{Q} = k \Delta T \ l = 2.5$\,W\,m$^{-2}$, where k=10$^{-2}$ is the heat conductivity \citep{blum-gundlach2017}. The surrounding material may therefore be able to conduct the latent heat of condensation away from the condensation region without elevating the temperature to a point where amorphous ice could not exist. Even a significantly higher gas flux up to $\dot{Q}/L = 9\times 10^{-7}$\,kg\,s$^{-1}$\,m$^{-2}$ (corresponding to T=170\,K) could be sustained, such that also vapour released in the immediate sub-surface could diffuse to the colder region and recondense there.
The metastable states transform to hexagonal ice on timescales of minutes to days. The transformation can be accelerated by heating above $T_c$ and $T_{as}$ for cubic and amorphous ice, respectively \citep{murphy-koop2005}. The transformations are exothermic. The latent heat of the transition from cubic to hexagonal ice is (110 $\pm$ 50)\,J\,mol$^{-1}$, and the heat capacity of hexagonal ice at 180\,K is 26\,J\,mol$^{-1}$\,K$^{-1}$ \citep{murphy-koop2005}, such that the transformation would lead to a temperature increase of (4 $\pm$ 2)\,K. The latent heat of the transition from amorphous to crystalline ice is of order 9$\times$10$^{4}$\,J\,kg$^{-1}$ \citep{gonzalez-gutierrez2008} or 1620\,J\,mol$^{-1}$, corresponding to a temperature increase of 62\,K following the phase transition in pure ice. Assuming that the freshly exposed surface had a radiative equilibrium temperature of $\sim$180\,K (Table~\ref{tab:temperatures}), the temperature would have increased to $\sim$240\,K due to the crystallization. The corresponding sublimation rate would have been 0.033\,kg\,s$^{-1}$\,m$^{-2}$, comparable to the inferred dust production rate of (0.06 $\pm$ 0.03)\,kg\,s$^{-1}$\,m$^{-2}$.
In order to sustain a gas production rate of 0.033\,kg\,s$^{-1}$\,m$^{-2}$ for at least 20\,min, an ice mass of 40\,kg is required. The face of the wall has an area of 20$\times$10\,m$^{2}$ (Fig.~\ref{fig:mar19-jul02}). For a condensation rate of 9$\times$10$^{-7}$\,kg\,s$^{-1}$\,m$^{-2}$, the time required to build the crystallizing area is 3\,days. For a condensation rate of 6$\times$10$^{-9}$\,kg\,s$^{-1}$\,m$^{-2}$, the build-up time would be one year, comparable to the duration of southern summer on 67P.
\section{Summary and conclusion}
\label{sec:summary}
The described observations combine multi-faceted measurements of the outflowing material with detailed information on the surface morphology and composition at the outburst site. Our key findings are:
\begin{itemize}
\item The outburst was located near a northeast-facing wall of $\sim$10m height in the southern hemisphere.
\item The wall emerged from the shadow of a higher, opposite wall after the cometary night 6 minutes before the first detection of the outburst.
\item The surface at the foot of the wall was enriched in water ice before the outburst.
\item A similar dust plume was observed 6 months earlier to originate from a neighbouring depression with similar properties.
\item The dust production was continuous, lasting at least 14 and not longer than 68 minutes.
\item The outburst altered a 10m radius area of the surface and left an icy patch of a projected size of 15$\times$5\,m$^2$.
\item The ejected material comprised sub-micron-sized water ice grains at (12 -- 25)\% of the cross-section, and refractory dust several hundred micron in size.
\item The ejected dust mass was (6\,500 -- 118\,000)\,kg, corresponding to a layer of (8 -- 47)\,cm for a 10m-radius patch.
\item The dust production rate was (18.4 $\pm$ 10.6)\,kg\,s$^{-1}$.
\item For a freely sublimating water ice patch at 3.32\,AU, this would have corresponded to a dust-to-ice mass ratio of (1600$\pm$800).
\item As such a high mass loading is inconsistent with the observed dust velocities, the free sublimation of water ice alone cannot explain the observed dust production.
\item We conclude that the release of energy stored in the sub-surface must have supported the acceleration of dust.
\end{itemize}
The measurements of July 3 provide reasonably robust evidence that the event was driven by a process more vigorous than the free sublimation of ice, and that some form of energy stored in the sub-surface must have supported direct solar irradiation in accelerating dust. We have discussed two possible forms of such energy storage (a pressurised cavity and near-surface amorphous ice), but the viability of these propositions will have to be tested by future in-depth thermal models and comparison to a larger data set.
\citet{auger-groussin2015} concluded from the radial pattern of fractures around Basin F, that it formed either by an impact or by the rising of a gas bubble. They interpret nearby roundish features as the walls of ancient gas conduits. It is therefore possible that there still is a gas-filled cavity below Basin F, and that the roundish features inside it are venting tubes still active.
Primordial amorphous ice has long been suspected to play a significant role in the evolution of the cometary interior and for outbursts \citep[e.g.][]{prialnik-benkhoff2004,prialnik-sarid2008}. We here propose that ice recondensed from a vapour below a badly illuminated surface could initially be amorphous, too, and may cause violent outbursts when eventually exposed to sunlight.
However, \citet{capria2017} find that primordial amorphous ice can exist as shallow as 1\,m below the cometary surface, such that it is possible that the collapse of a 10\,m high overhanging wall exposed such material.
Near-surface accelerations inconsistent with the free sublimation of water ice have been found in earlier studies \citep{kramer-noack2016,agarwal-ahearn2016}, suggesting that the underlying process may be quite common and significantly contribute to the mass loss in comet 67P.
\section*{Acknowledgements}
We thank the Rosetta Science Ground Segment at ESAC, the Rosetta Missions Operations Centre at ESOC, and the Rosetta Project at ESTEC for their outstanding work enabling the science return of the Rosetta Mission. Rosetta is an ESA mission with contributions from its Member States and NASA.
The Alice team acknowledges continuing support from NASA's Jet Propulsion Laboratory through contract 1336850.
COSIMA was built by a consortium led by the Max-Planck-Institut f\"ur Extraterrestrische Physik, Garching, Germany in collaboration with Laboratoire de Physique et Chimie de l'Environnement et de l'Espace, Orl\'eans, France, Institut d'Astrophysique Spatiale, CNRS/Universit\'e Paris Sud, Orsay, France, Finnish Meteorological Institute, Helsinki, Finland, Universit\"at Wuppertal, Wuppertal, Germany, von Hoerner und Sulger GmbH, Schwetzingen, Germany, Universit\"at der Bundeswehr, Neubiberg, Germany, Institut f\"ur Physik, Forschungszentrum Seibersdorf, Seibersdorf, Austria, Space Research Institute, Austrian Academy of Sciences, Graz, Austria and is led by the Max-Planck-Institut f\"ur Sonnensystemforschung, G\"ottingen, Germany. The support of the national funding agencies of Germany (DLR, grant 50 QP 1302), France (CNES), Austria, Finland and the ESA Technical Directorate is gratefully acknowledged.
GIADA was built by a consortium from Italy and Spain under the scientific responsibility of the Universit{\`a} di Napoli ``Parthenope'' and INAF-OAC. GIADA was operated by the Istituto di Astrofisica e Planetologia Spaziali of INAF. GIADA development for ESA has been managed and funded by the Italian Space Agency (ASI-INAF agreements I/032/05/0 and I/024/12/0) with a financial contribution by MEC/ES.
OSIRIS was built by a consortium of the Max-Planck-Institut f{\"u}r Sonnensystemforschung, G{\"o}ttingen, Germany, CISAS University of Padova, Italy, the Laboratoire d'Astrophysique de Marseille, France, the Instituto de Astrof\`{\i}sica de Andalucia, CSIC, Granada, Spain, the Research and Scientific Support Department of the European Space Agency, Noordwijk, The Netherlands, the Instituto Nacional de T\`ecnica Aeroespacial, Madrid, Spain, the Universidad Polit{\`e}chnica
de Madrid, Spain, the Department of Physics and Astronomy of Uppsala University, Sweden, and the Institut f{\"u}r Datentechnik und Kommunikationsnetze der Technischen Universit{\"a}t Braunschweig, Germany. The support of the national funding agencies of Germany (DLR), France(CNES), Italy(ASI), Spain(MEC), Sweden(SNSB), and the ESA Technical Directorate is gratefully acknowledged.
We acknowledge the contributions made by Alan Stern and Eric Schindhelm to the Alice measurements, and by Hans Rickman to the OSIRIS measurements.
We thank the referee, Gal Sarid, for his comments that helped to improve the manuscript.
\bibliographystyle{mnras}
| {
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{"url":"http:\/\/www.chegg.com\/homework-help\/questions-and-answers\/compton-scattering-experiment-x-ray-photon-scatters-angle-178-free-electron-initially-rest-q2460379","text":"## HELP:)!!!!!!!!!\n\nIn a Compton scattering experiment, an x-ray photon scatters through an angle of 17.8\u00c2\u00b0 from a free electron that is initially at rest. The electron recoils with a speed of 1,240 km\/s.\n(a) Calculate the wavelength of the incident photon.\n=_______ nm\n\n(b) Calculate the angle through which the electron scatters.\n=________\u00c2\u00b0\nReport Abuse","date":"2013-05-24 16:33:11","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\": 0.8240167498588562, \"perplexity\": 1204.339418924936}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2013-20\/segments\/1368704752145\/warc\/CC-MAIN-20130516114552-00034-ip-10-60-113-184.ec2.internal.warc.gz\"}"} | null | null |
May Lent be for us all a season of turning more deeply to Our Lord and serving others in charity! Every Friday during the season of Lent, Stations of the Cross will be held at 6:30pm. See the church calendar for location.
Abstaining from meat is required for Catholics 14 years old and older on Ash Wednesday and the Fridays during Lent. Meat is the flesh of warm blooded creatures. Eggs and fish are not meat.
Fasting also is required on Ash Wednesday (March 6) and Good Friday (April 19) for Catholics who have reached their 18th birthday and have not reached their 59th. This fasting means one full meal at any time, and eating two other times a total of food less than or equal to one full meal. This fast includes avoiding food between meals. For this fast, beverages like coffee, milk, and juice are not food.
Catholics are encouraged to continue the Good Friday fast until the Easter Vigil on Holy Saturday night.
The Eucharistic Fast is required of all Catholics preparing to receive the Holy Eucharist on any day. This means avoiding all food and beverages for one hour before Mass -- water and medicine being the only exception. | {
"redpajama_set_name": "RedPajamaC4"
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Holboca – gmina w Rumunii, w okręgu Jassy. Obejmuje miejscowości Cristești, Dancu, Holboca, Orzeni, Rusenii Noi, Rusenii Vechi i Valea Lungă. W 2011 roku liczyła 11 971 mieszkańców.
Przypisy
Gminy w Rumunii
Okręg Jassy | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 2,859 |
{"url":"https:\/\/royalfixphoto.com\/examples\/","text":"Welcome to royalfix photo\n\n\u2022 Call us:\n\u2022 07553949353\n\n## Examples\n\n#### Group product editing\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### jewellery complex necklace editing\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### Manipulations images\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### product image with reflection Info graphic\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### product image with reflection or shadow\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### Ring and earring gold and silver\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\n\n#### skin retouch\n\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After\nClick to see Before & After","date":"2020-10-27 02:37:05","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\": 0.873466968536377, \"perplexity\": 8914.493969296725}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.3, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2020-45\/segments\/1603107893011.54\/warc\/CC-MAIN-20201027023251-20201027053251-00590.warc.gz\"}"} | null | null |
Q: Change font style in openpyxl Hi I am working on setting the font style to automate the stuff and I can't get the results I want. I want to change the font of column A but I cannot find the correct command for it. Thanks for your time!
import openpyxl
from openpyxl.styles import Font
wb = openpyxl.Workbook()
sheet = wb["Sheet"]
italic24Font = Font( size = 24, italic = True)
sheet['A'] #I do not know the command here
wb.save( 'test.xlsx' )
A: You can use font attribute of worksheet column, something like this:
>>> my_col = sheet.column_dimensions['A']
>>> my_col.font = italic24Font
But, note that this applies only to cells created (in Excel). If you want to apply styles to entire column then you must apply the style to each cell by iteration.
| {
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{"url":"https:\/\/openjij.github.io\/OpenJij\/tutorial\/en\/optimization\/number_partition.html","text":"Number Partitioning#\n\nHere we show how to solve the number partitioning problem using OpenJij, JijModeling, and JijModeling Transpiler. This problem is also mentioned in 2.1. Number Partitioning in Lucas, 2014, \u201cIsing formulations of many NP problems\u201d.\n\nOverview of the Number Partitioning Problem#\n\nNumber partitioning is the problem of dividing a given set of numbers into two subsets such that the sum of the numbers is equal.\n\nExample#\n\nLet us have a set of numbers $A=\\{1, 2, 3, 4\\}$. It is easy to divide this set into equal sums: $\\{1, 4\\}, \\{2, 3\\}$ and the sum of each subset is 5. Thus, when the size of the set is small, the answer is relatively easy to obtain. When the problem is large, however, it is not immediately solvable. Here, we solve this problem using annealing.\n\nfrom jijmodeling.transpiler.pyqubo import to_pyqubo\nimport openjij as oj\nimport jijmodeling as jm\nimport numpy as np\n\n\nMathematical Model#\n\nFirst, let us model the Hamiltonian of this problem. Let $A$ be the set to be partitioned and $a_i (i = \\{0,1,\\dots,N-1\\})$ be its elements. Here $N$ is the number of elements in this set. We consider dividing $A$ into two sets $A_0$ and $A_1$. Let $x_i$ be a variable whose $i$th element of $A$ is 0 when it is contained in the set $A_0$ and 1 when it is contained in $A_1$. Using this variable $x_i$, the total value of the numbers in $A_0$ is written as $\\sum_i a_i (1-x_i)$ and $\\sum_i a_i x_i$ for $A_1$. As we find a solution that satisfies the constraint that the sum of the numbers contained in $A_0$ and $A_1$ be equal, this can be expressed as:\n\n$\\sum_i a_i (1-x_i)=\\sum_i a_i x_i$\n\nThe problem is to find $x_i$ that satisfies the constraint. By transforming this expression, we can write $\\sum_i a_i (2-x_i)=0$, and by using the Penalty method and squaring this constraint, the Hamiltonian for the number-splitting problem is:\n\n$H=\\left( \\sum_{i=0}^{N-1} a_i (2-x_i)\\right)^2$\n\nModeling by JijModeling#\n\nNext, we show how to implement the above equation using JijModeling. We first define variables for the mathematical model described above.\n\nproblem = jm.Problem(\"number partition\")\na = jm.Placeholder(\"a\",dim = 1)\nN = a.shape[0].set_latex(\"N\")\nx = jm.Binary(\"x\",shape=(N,))\ni = jm.Element(\"i\",(0,N))\ns_i = 2*x[i] - 1\nproblem += (jm.Sum(i,a[i] * s_i))**2\nproblem\n\n\\begin{alignat*}{4}\\text{Problem} & \\text{: number partition} \\\\\\min & \\quad \\left( \\sum_{ i = 0 }^{ N - 1 } a_{i} \\cdot \\left( 2 \\cdot x_{i} - 1 \\right) \\right) ^ { 2 } \\\\& x_{i_{0}} \\in \\{0, 1\\}\\end{alignat*}\n\nInstance#\n\nAs an example, let us solve an easy problem; let us consider the problem of dividing numbers from 1 to 40. When dividing consecutive numbers from $N_i$ to $N_f$ and keeping the total number of consecutive numbers even, there are several patterns of division. However, the total value of the divided set is:\n\n$\\mathrm{total\\ value} = \\frac{(N_{i} + N_{f})(N_{f} - N_{i} + 1)}{4}$\n\nIn this case, the total value is expected to be 410. Let us confirm this.\n\nN = 40\ninstance_data = {\"a\":np.arange(1,N+1)}\n\n\nConversion to PyQUBO by JijModeling Transpiler#\n\nJijModeling has executed all the implementations so far. By converting this to PyQUBO, it is possible to perform combinatorial optimization calculations using OpenJij and other solvers.\n\nmodel,cache = to_pyqubo(problem,instance_data,{})\nQ,offset = model.compile().to_qubo()\n\n\nThe PyQUBO model is created by to_pyqubo with the problem created by JijModeling and the instance_data we set to a value as arguments. Next, we compile it into a QUBO model that can be computed by OpenJij or other solver.\n\nOptimization by OpenJij#\n\nThis time, we will use OpenJij\u2019s simulated annealing to solve the optimization problem. We set the SASampler and input the QUBO into that sampler to get the result of the calculation.\n\nsampler = oj.SASampler(num_reads=100)\nresponse = sampler.sample_qubo(Q=Q)\n\n\nDecoding and Displaying the Solution#\n\nLet us take a look at the results obtained. We decode the returned calculation results to facilitate analysis.\n\nresult = cache.decode(response)\n\n\nWe sum the indices classified as $A_1$ and $A_0$ in $A$ here.\n\nclass_1_index = result.record.solution['x'][0][0][0]\nclass_0_index = [i for i in range(0,N) if i not in class_1_index]\n\nclass_1 = instance_data['a'][class_1_index]\nclass_0 = instance_data['a'][class_0_index]\n\nprint(f\"class 1 : {class_1} , total value = {np.sum(class_1)}\")\nprint(f\"class 0 : {class_0} , total value = {np.sum(class_0)}\")\n\nclass 1 : [ 2 4 7 8 11 12 13 15 20 22 23 27 29 31 35 36 37 38 40] , total value = 410\nclass 0 : [ 1 3 5 6 9 10 14 16 17 18 19 21 24 25 26 28 30 32 33 34 39] , total value = 410\n\n\nAs expected, both total values are 410. Above, we dealt with a problem whose solution is known because it is a consecutive number. We recommend you try more complex problems, such as generating numbers randomly.","date":"2023-01-28 15:59:54","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 31, \"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\": 0.9340953826904297, \"perplexity\": 430.67020314551945}, \"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-2023-06\/segments\/1674764499646.23\/warc\/CC-MAIN-20230128153513-20230128183513-00369.warc.gz\"}"} | null | null |
The Partner () é um reality show do canal de TV americano CNBC e um spin-off do reality The Profit. O programa apresenta o bilionário empreendedor americano Marcus Lemonis entrevistando dez candidatos para ajudá-lo a cuidar das empresas em que Lemonis investiu durante o The Profit.
Os candidatos serão entrevistados durante um período de seis semanas, sendo um deles escolhido para ser o parceiro de Lemonis. O vencedor receberá um contrato de três anos, incluindo um salário de US$ 163.000 e uma participação acionária de 1% no portfólio de Lemonis. O programa guarda semelhanças com o reality The Apprentice, de Donald Trump.
O programa foi anunciado em 14 de janeiro de 2016 e originalmente lançado no verão de 2016. A estreia foi em 7 de março de 2017.
Ver também
The Profit, de Marcus Lemonis
The Apprentice, de Donald Trump
Reality shows
Programas de televisão da CNBC | {
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\section{Introduction}\noindent
The recent paper by Jones and Kok \cite{jones10} presented alternative geometric derivations of the Mandelstam-Tamm \cite{mandelstam45} and Margolus-Levitin \cite{margolus98} inequalities for the quantum speed of dynamical evolution. The derivations were based on two independent bounds on the rate of change of the statistical distance between two arbitrary pure quantum states. Whereas the derivation of the Mandelstam-Tamm inequality is correct, the derivation of the Margolus-Levitin inequality (specifically, the derivation of a bound on the rate of change of the statistical distance) is wrong.
This Comment is organized as follows. In Sec.~\ref{sec::errors} we point out the error in the derivation of Eq.~(35) in Ref.~\cite{jones10}. In Secs.~\ref{sec::standard} and \ref{sec::mean}, we present two upper bounds on the rate of change of the statistical distance, expressed in terms of the standard deviation of the generator $K$ and its expectation value above the ground state, respectively. Finally, in Sec.~\ref{sec::mean} we also identify an immediate consequence of the new bound, namely, a quantum speed limit.
\section{Incorrect derivation}\label{sec::errors}\noindent
In the paper, the authors considered the unitary evolution parametrized by $\theta$ and generated by the Hermitian operator $K$. According to this evolution, a quantum system prepared in an initial pure state $|\psi_{0}\rangle$ evolves to
\begin{equation}\label{finalstate}
|\psi_{\theta}\rangle = \exp\left(-\frac{i}{\hbar} K \theta\right) |\psi_{0}\rangle\, .
\end{equation}
Let us point out a subtlety. The authors invoked the Wootters distance \cite{wootters81} between two pure states (which represents an angle between these states in Hilbert space),
\begin{equation}
s_{W}(\psi_{0},\psi_{\theta}) = \arccos(|\langle \psi_{0}|\psi_{\theta}\rangle|), \ \mbox{with} \ s_{W} \in \left[0, \frac{\pi}{2}\right]\, ,
\end{equation}
and expressed the rate of change of the \textit{statistical} distance as a derivative of the Wootters distance with respect to $\theta$. However, the statistical distance between two pure states is defined as twice the Wootters distance \cite{anandan90}, that is,
\begin{equation}\label{distance}
s = 2 s_{W}(\psi_{0},\psi_{\theta}) = 2 \arccos(|\langle \psi_{0}|\psi_{\theta}\rangle|), \ \mbox{with} \ s \in \left[0, \pi\right]\, .
\end{equation}
Therefore, the rate of change of the statistical distance expressed in terms of the Wootters distance can be written as
\begin{eqnarray}
\frac{ds}{d\theta} &=& 2\frac{d}{d\theta} \arccos(|\langle \psi_{0}|\psi_{\theta}\rangle|) \label{derivative} \\
&=& -\frac{2}{\sqrt{1-|\langle \psi_{0}|\psi_{\theta}\rangle|^2}} \frac{d}{d\theta} |\langle \psi_{0}|\psi_{\theta}\rangle|\, . \label{derivative2}
\end{eqnarray}
The missing factor of 2 is a minor point. Unfortunately then the authors transformed Eq.~(27) [our Eq.~(\ref{derivative2})] to Eq.~(28) by assuming that the derivative of $|\langle \psi_{0}|\psi_{\theta}\rangle|$ over the parameter $\theta$ is \textit{always} positive (and using $1/\sqrt{1-|\langle \psi_{0}|\psi_{\theta}\rangle|^2} \geq 1$). However, $|\langle \psi_{0}|\psi_{\theta}\rangle|$ can be a decreasing or increasing function of $\theta$ \cite{brody}. Furthermore, for small values of the parameter, $|\langle \psi_{0}|\psi_{\theta}\rangle|$ must decrease with $\theta$ (since $|\langle \psi_{0}|\psi_{\theta}\rangle|$ equals unity for $\theta=0$), and therefore its derivative is \textit{negative}. This invalidates the chain of relations following Eq.~(27) that led to the Margolus-Levitin inequality given in Eq.~(38). As a consequence, the extension of the derivation of the Margolus-Levitin inequality to the case of unitary evolutions of arbitrary mixed states presented in the paper does not hold either.
\section{Bound in terms of the standard deviation of the generator}\label{sec::standard}\noindent
In the paper, the authors introduced an upper bound on the rate of change of the statistical distance expressed in terms of the standard deviation of the generator $K$ by invoking the concept of Fisher information (see Eqs.~(22) and (23) in Ref.~\cite{jones10}). It is important to note at this point that in the paper two different statistical distances were considered (these distances are equal only in a special case discussed below). The (infinitesimal) statistical distance defined in Eq.~(14) [or equivalently in Eq.~(23)] in Ref.~\cite{jones10} is the (infinitesimal) distance along a given path generated by the Hermitian operator $K$ between the initial and final quantum states in the projective Hilbert space. This distance is measured by the Fubini-Study metric which is defined naturally from the inner product in Hilbert space \cite{anandan90} and furthermore can be related to the Fisher information. Whereas the statistical distance defined in Eq.~(15) in Ref.~\cite{jones10} [our Eq.~(\ref{distance}) with a missing factor of 2 included] is the distance along the shortest geodesic joining the initial and final quantum states in the projective Hilbert space \cite{anandan90}. In general, (the finite value of) the former distance is always greater than or equal to the latter distance \cite{anandan90} (the same relation applies to the absolute values of the rates of change of the respective statistical distances).
For the sake of completeness, we present a derivation of a bound \textit{analogous} to the bound given in Eq.~(23) in Ref.~\cite{jones10}; however, here we express the rate of change of the statistical distance as a derivative of the Wootters distance with respect to $\theta$. This bound results in the Mandelstam-Tamm inequality on the quantum speed of dynamical evolution. We begin by pointing out that in a paper by Bhattacharyya \cite{bhattacharyya83} the rate of change of the Wootters distance was shown to be upper-bounded by
\begin{equation}
\frac{d}{d\theta} \arccos(|\langle \psi_{0}|\psi_{\theta}\rangle|) \leq \frac{\Delta K}{\hbar}\, ,
\end{equation}
where $\Delta K$ is the standard deviation of $K$. Combining this bound with Eq.~(\ref{derivative}) yields
\begin{equation}
\frac{ds}{d\theta} \leq \frac{2 \Delta K}{\hbar}\, , \label{bound}
\end{equation}
which is \textit{analogous} to Eq.~(23) of Ref.~\cite{jones10} and (in the case where $\theta$ is the time parameter generated by the Hamiltonian $K \equiv H$) leads to the Mandelstam-Tamm inequality for the minimum time needed for a quantum system to evolve to an orthogonal state \cite{jones10}:
\begin{equation}
t_{MT} \geq \frac{\pi}{2} \frac{\hbar}{\Delta E}\, . \label{MT}
\end{equation}
The above bound on the rate of change of the statistical distance and the Mandelstam-Tamm inequality are saturated by the following \textit{optimal} states,
\begin{equation}
|\psi\rangle = \frac{1}{\sqrt{2}} \left( |k_{\rm min}\rangle + e^{i \varphi} |k_{\rm max}\rangle \right)\, , \label{optimal}
\end{equation}
where $|k_{\rm min}\rangle$ and $|k_{\rm max}\rangle$ are the eigenvectors corresponding to the maximal and minimal eigenvalues of the generator $K$ (here, we assume that the spectrum of the generator $K$ is upper- and lower-bounded). In the case of optimal states the two statistical distances discussed above are equal, which implies that the quantum system moves along a geodesic joining the initial and final states in the projective Hilbert space \cite{anandan90}.
\section{Bound in terms of the expectation value of the generator}\label{sec::mean}\noindent
Since the aim of the derivation in Ref.~\cite{jones10} was to obtain a bound on the rate of change of the statistical distance expressed in terms of the expectation value of the generator $K$ above the ground state, we show here how such a bound may indeed be obtained. In this Comment, we deal with upper bounds; therefore, it is not surprising that the rate of change of the statistical distance can be bounded in more than one way.
Let us begin with an observation. According to the unitary evolution governed by the generator $K$, a quantum system prepared in an initial pure state $|\psi_{0}\rangle$ evolves to the final pure state $|\psi_{\theta}\rangle$ as given in Eq.~(\ref{finalstate}). However, this expression does not take into account the freedom we have to multiply $|\psi_{\theta}\rangle$ by an arbitrary phase factor \cite{braunstein96},
\begin{equation}
|\psi'_{\theta}\rangle = e^{i f(K,\theta)} |\psi_{\theta}\rangle\, , \nonumber
\end{equation}
where $f(K, \theta) = h(K) + g(\theta)$ is a real-valued function with $h(K)$ and $g(\theta)$ denoting functions of the generator $K$ and parameter $\theta$, respectively. This form of $f(K, \theta)$ ensures that the overlap between the arbitrarily phase-shifted states is left unchanged, that is, $|\langle \psi'_{0}|\psi'_{\theta}\rangle| = |\langle \psi_{0}|\psi_{\theta}\rangle|$. The phase freedom in $|\psi_{\theta}\rangle$ corresponds to the freedom to rephase independently each of the eigenstates (eigenvalues) of $K$ without changing the statistical distance \cite{braunstein96}. A convenient phase choice,
\begin{equation}
f(K, \theta) = g(\theta) = \frac{K_{\rm min} \theta}{\hbar}\, ,
\end{equation}
where $K_{\rm min}$ is the minimal eigenvalue of $K$, yields
\begin{eqnarray}
|\psi'_{0}\rangle &=& |\psi_{0}\rangle\, , \nonumber \\
|\psi'_{\theta}\rangle &=& \exp\left( -\frac{i}{\hbar} (K - K_{\rm min}) \theta \right) |\psi_{0}\rangle \nonumber \, .
\end{eqnarray}
Keeping in mind this subtlety, we begin the derivation by writing
\begin{eqnarray}
\frac{ds}{d\theta} &=& 2\frac{d}{d\theta} \arccos(|\langle \psi'_{0}|\psi'_{\theta}\rangle|)\nonumber \\
&=& -\frac{2}{\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}} \frac{d}{d\theta} |\langle \psi'_{0}|\psi'_{\theta}\rangle|\, .
\end{eqnarray}
From here we proceed along the similar lines as laid out in Ref.~\cite{jones10}; however, we retain the troublesome prefactor $1/\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}$ and pay special attention to the derivative of $|\langle \psi'_{0}|\psi'_{\theta}\rangle|$ over $\theta$. Thus, we write
\begin{equation}\label{derivativeprime}
\frac{ds}{d\theta} \leq \left| \frac{ds}{d\theta} \right| = \frac{2}{\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}} \left| \frac{d}{d\theta} |\langle \psi'_{0}|\psi'_{\theta}\rangle | \right|\, .
\end{equation}
Using the generalized Schr\"{o}dinger equation
\begin{equation}
i\hbar \frac{d}{d\theta} |\psi'_{\theta}\rangle = (K - K_{\rm min}) |\psi'_{\theta}\rangle\, ,
\end{equation}
we can bound the derivative as
\begin{eqnarray}
&&\left| \frac{d}{d\theta} |\langle \psi'_{0}|\psi'_{\theta}\rangle| \right| = \nonumber \\
&&= \frac{|i \langle \psi'_{0}|\psi'_{\theta}\rangle \langle \psi'_{\theta}|K - K_{\rm min} |\psi'_{0}\rangle - i \langle \psi'_{0}|K - K_{\rm min} |\psi'_{\theta}\rangle \langle \psi'_{\theta}|\psi'_{0}\rangle |}{2 \hbar |\langle \psi'_{0}|\psi'_{\theta}\rangle|} \nonumber \\
&&= \frac{| \mbox{Im} (\langle \psi'_{0}|K - K_{\rm min} |\psi'_{\theta}\rangle \langle \psi'_{\theta}|\psi'_{0}\rangle) |}{\hbar |\langle \psi'_{0}|\psi'_{\theta}\rangle|} \nonumber \\
&&\leq \frac{| \langle \psi'_{0}|K - K_{\rm min} |\psi'_{\theta}\rangle \langle \psi'_{\theta}|\psi'_{0}\rangle |}{\hbar |\langle \psi'_{0}|\psi'_{\theta}\rangle|} \nonumber \\
&&= \frac{| \langle \psi'_{0}|K - K_{\rm min} |\psi'_{\theta}\rangle | \cdot | \langle \psi'_{\theta}|\psi'_{0}\rangle |}{\hbar |\langle \psi'_{0}|\psi'_{\theta}\rangle|}\, , \nonumber
\end{eqnarray}
where in the last line we use $|ab| = |a| |b|$. We combine this bound with Eq.~(\ref{derivativeprime}) to obtain
\begin{eqnarray}
\frac{ds}{d\theta} &\leq& \frac{2}{\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}} \frac{| \langle \psi'_{0}|K - K_{\rm min} |\psi'_{\theta}\rangle |}{\hbar} \nonumber \\
&\leq& \frac{2}{\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}} \frac{\langle \psi'_{0}|K - K_{\rm min}|\psi'_{0}\rangle}{\hbar} \nonumber \\
&=& \frac{2}{\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2}} \frac{\langle K \rangle - K_{\rm min}}{\hbar}\, .
\end{eqnarray}
The second line can be verified directly by expanding $|\psi'_{0}\rangle$ and $|\psi'_{\theta}\rangle$ in the eigenbasis of $K$ and using $\cos x \leq 1$. Finally, we rewrite the denominator of the prefactor as
\begin{equation}
\sqrt{1-|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2} = \sin(s/2)\, , \label{fidelity}
\end{equation}
where we use $|\langle \psi'_{0}|\psi'_{\theta}\rangle|^2 = |\langle \psi_{0}|\psi_{\theta}\rangle|^2 = \cos^{2}(s/2)$, with $s \in \left[0, \pi\right]$ [see also Eq.~(\ref{distance})] \cite{anandan90}. This yields
\begin{equation}
\frac{ds}{d\theta} \leq \frac{2}{\sin(s/2)} \frac{\langle K \rangle - K_{\rm min}}{\hbar}\, . \label{newbound}
\end{equation}
This is an upper bound on the rate of change of the statistical distance expressed in terms of the expectation value of the generator $K$ above the ground state (here, we assume that the spectrum of the generator $K$ is lower-bounded). A similar result for parameter (time)-dependent generators was derived by Deffner and Lutz \cite{deffner11}.
Our result can be easily generalized to the following bound,
\begin{equation}
\frac{ds}{d\theta} \leq \frac{2}{\sin(s/2)} \frac{\langle |K - \kappa| \rangle}{\hbar}\, , \label{newboundgeneral}
\end{equation}
where $\kappa$ is some arbitrary real constant that appears in an appropriately defined phase factor: $f(K, \theta) = g(\theta) = \kappa \theta/\hbar$. The bounds given in Eqs.~(\ref{newbound}) and (\ref{newboundgeneral}) apply to the unitary evolution of pure quantum states; however, these bounds can also be extended to the unitary evolution of arbitrary mixed states by employing a standard purification procedure \cite{jones10}.
Here, we use the bound given in Eq.~(\ref{newbound}) to derive a quantum speed limit. To this end, we separate the variables $s$ and $\theta$, and we integrate both sides:
\begin{eqnarray}
\int^{\theta}_{0} d\theta' &\geq& \frac{\hbar}{2 (\langle K \rangle - K_{\rm min})} \int^{s_{\rm max}}_{0} \sin(s/2) \, ds \ \Rightarrow \nonumber \\
\theta &\geq& 2 \sin^{2}(s_{\rm max}/4) \, \frac{\hbar}{\langle K \rangle - K_{\rm min}}\, ,
\end{eqnarray}
where $s_{\rm max}$ is the maximal statistical distance traversed by the quantum system in Hilbert space. This is a generalized quantum speed limit. In the case where $\theta$ is the time parameter generated by the Hamiltonian $K \equiv H$ that evolves an initial state of the quantum system to its orthogonal counterpart, i.e., $s_{\rm max} = \pi$, we obtain the following quantum speed limit,
\begin{equation}
t \geq \frac{\hbar}{E}\, ,
\end{equation}
where $E = \langle H \rangle - H_{\rm min}$ is the average energy above the ground state of the quantum system. Note that this inequality is only slightly weaker than the Margolus-Levitin inequality \cite{margolus98}
\begin{equation}
t_{ML} \geq \frac{\pi}{2} \frac{\hbar}{E}\, .
\end{equation}
Similarly as in the case of the Mandelstam-Tamm inequality, the Margolus-Levitin inequality is saturated by the optimal states given in Eq.~(\ref{optimal}).
\section{Conclusions}
In summary, we provide a valid derivation of an upper bound on the rate of change of the statistical distance expressed in terms of the expectation value of the generator $K$ above the ground state. The bound results in a quantum speed limit that is only slightly weaker than the Margolus-Levitin inequality.
\begin{acknowledgements}\noindent
Valuable discussions with Pieter Kok, Michael Hall, Andy Chia, and Howard Wiseman are gratefully acknowledged. This research was supported by the ARC Centre of Excellence CE110001027.
\end{acknowledgements}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 4,535 |
Q: .NET Core API 502 Bad Gateway on Docker w/ Nginx Proxy I am hosting a .NET Core web API process in a docker container, with a Nginx reverse proxy. I can send a request, and I get back the expected responses. There is one issue that I can't seem to figure out. Every few hours, my API requests begin getting a 502 Bad Gateway error response. If I stop and restart the docker container for the API, the errors stop and everything goes back to normal.
*
*I'm running .NET Core 2.1.1.
*The host machine for the docker containers is Centos 7.
*I have other containers running as part of this application that do not have problems
Thoughts anybody?
A: The problem I described is fixed. I found that issue resolved itself when I changed my Dockerfile base image. When updating my API to .NET Core 2.1.1, I decided to use this image in my Dockerfile:
FROM microsoft/dotnet:2.1.1-aspnetcore-runtime-alpine3.7
I changed that line to this:
FROM microsoft/dotnet:2.1-aspnetcore-runtime
Using the "dotnet:2.1-aspnetcore-runtime" image solves the problem. I can only assume there is something wrong with the "microsoft/dotnet:2.1.1-aspnetcore-runtime-alpine3.7" image.
As a side effect of this switch, my docker image is larger. Previously my docker image was 71mb, but with this change, it is now 107mb. I'm okay with that.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 952 |
Q: JavaScript output issue I am presently trying to get a program to output a table of amortization. The program used to work, as it was a previous assignment. However, on that particular assignment, I was only to return "result" as a paragraph with the details of the loan and a table. The variables were entered due to an alert box.
Now we are trying to get the input via text boxes, and I am trying to output the table and info into a . Problem is, I am getting no output, and I cannot for the life of me find what is going wrong. The real assignment is to have input checking, so this is frustrating to say the least, as I am simply trying to GET TO the assignment at this point. Any help would be greatly appreciated......
<!DOCTYPE html PUBLIC "-//W3C//DTD HTML 4.01//EN"
"http://www.w3.org/TR/html4/strict.dtd">
<html xmlns="http://www.w3.org/1999/xhtml" lang="en">
<head>
<meta http-equiv="Content-Type" content="text/html; charset=utf-8" />
<title>index</title>
<meta name="author" content="Christopher" />
<script src="scripts.js"> </script>
<!-- Date: 2014-03-06 -->
</head>
<body>
<form>
<fieldset>
<legend>
<h3>Inputs:</h3>
</legend>
Loan Amount: <input type="text" id="principal" placeholder="10000" />
<p>
Interest Rate: <input type="text" id="interest" placeholder="5.5" />
<p>
Terms: <select id="selector">
<option value="12">12 months</option>
<option value="24">24 months</option>
<option value="36">36 months</option>
<option value="48">48 months</option>
<option value="60">60 months</option>
</select>
<p>
<input type="button" id="myButton" value="Calculate" onclick="amort()" />
</fieldset>
<fieldset>
<legend>
<h3>Outputs:</h3>
</legend>
<div id="outputArea"> </div>
</fieldset>
</form>
/**
* @author Christopher
*/
function amort(balance, interestRate, terms)
{
var principal = document.getElementById("principal").value;
var interestRate = document.getElementById("interest").value;
var terms = document.getElementById("selector").value;
var monthlyRate = interestRate/12;
var payment = balance * (monthlyRate/(1-Math.pow(
1+monthlyRate, -terms)));
var result = "Loan amount: $" + balance.toFixed(2) + "<br />" +
"Interest rate: " + (interestRate*100).toFixed(2) + "%<br />" +
"Number of months: " + terms + "<br />" +
"Monthly payment: $" + payment.toFixed(2) + "<br />" +
"Total paid: $" + (payment * terms).toFixed(2) + "<br /><br />";
result += "<table border='1'><tr><th>Month</th><th>Balance</th>" +
"<th>Interest</th><th>Principal</th>";
// insert your code here
i=1;
var balance = principal.toFixed(2);
var interestPaid = balance * monthlyRate;
var principalPaid = (payment - interestPaid).toFixed(2);
//var totalPayment = interestPaid + principal;
while (i<=terms){
result+= "<tr><td>" + i + "</td><td>" + balance + "</td><td>"
+ interestPaid.toFixed(2) +"</td><td>" + principalPaid + "</td></tr>";
var interestPaid = balance * monthlyRate;
var principalPaid = (payment - interestPaid).toFixed(2);
var balance = balance - interestPaid;
var balance = (balance - principalPaid).toFixed(2);
i++;
}
result += "</table>";
document.getElementById("outputArea").innerHTML = result;
}
A: You can check what is wrong in the console of your browser.
Remove your parameters, and be carefull .toFixed is a method for a number so you have to parse your value.
function amort()
{
var principal = parseFloat(document.getElementById("principal").value);
var interestRate = parseFloat(document.getElementById("interest").value);
var terms = document.getElementById("selector").value;
var balance = principal.toFixed(2);
var monthlyRate = interestRate/12;
var payment = balance * (monthlyRate/(1-Math.pow(1+monthlyRate, -terms)));
var result = "Loan amount: $" + balance + "<br />" +
"Interest rate: " + (interestRate*100).toFixed(2) + "%<br />" +
"Number of months: " + terms + "<br />" +
"Monthly payment: $" + payment.toFixed(2) + "<br />" +
"Total paid: $" + (payment * terms).toFixed(2) + "<br /><br />";
result += "<table border='1'><tr><th>Month</th><th>Balance</th>";
result += "<th>Interest</th><th>Principal</th>";
// insert your code here
i=1;
var interestPaid = balance * monthlyRate;
var principalPaid = (payment - interestPaid).toFixed(2);
//var totalPayment = interestPaid + principal;
while (i<=terms){
result+= "<tr><td>" + i + "</td><td>" + balance + "</td><td>"
+ interestPaid.toFixed(2) +"</td><td>" + principalPaid + "</td></tr>";
var interestPaid = balance * monthlyRate;
var principalPaid = (payment - interestPaid).toFixed(2);
var balance = balance - interestPaid;
var balance = (balance - principalPaid).toFixed(2);
i++;
}
result += "</table>";
document.getElementById("outputArea").innerHTML = result;
}
FIDDLE
A: If you just want to get output for debugging purposes, then you could try
WScript.Echo( terms );
WScript.Echo( payment );
and so on.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 5,155 |
__author__ = 'fcanas'
import termhelper
class Reporter:
"""
Responsible for displaying results and recording them to log files.
"""
def __init__(self, warg=0):
self.width = warg
self.set_terminal_width(warg) # default width of terminal
templates = {
'test': '[ {0:.<{2}}{1:.>{3}} ]',
'set_tuples': '{0:.<{2}}{1:.>{3}}',
'set_items': '{0:.<{1}}',
'path_display': '[ {0:.<{1}}FAIL ]'
}
def report_test(self, test, items):
"""
Report header for specification results.
"""
template = self.templates['test']
test_width = self.width - 4 # Test tuple is wrapped in [ ], which is 4 characters
print template.format(test, len(items), 0, test_width - len(test), len(test))
self.report_set(items)
def report_set(self, entities):
"""
Human-readable report for a set of unverified entities.
"""
for item in sorted(entities):
if type(item) is tuple:
template = self.templates['set_tuples']
tuple_padding = self.get_tuple_padding(item)
print template.format(item[0], item[1], tuple_padding, len(item[1]))
else:
template = self.templates['set_items']
print template.format(item, self.width)
def set_terminal_width(self, warg=-1):
"""
Overwrites default terminal width with the width of the current terminal window or the width arg passed
in by user (if any and positive).
"""
if warg <= 0:
height, width = termhelper.terminal_height_width()
self.width = max(width, 100)
def get_tuple_padding(self, item):
"""
Returns the proper length of padding for a tuple.
The first item is allocated at least 30 characters of space.
The second item is allocated up to 50 characters.
"""
# Default padding, used when both items fit in their own allocated space without shifting the padding
# and when a line break is unavoidable (default padding keeps the output more readable than no padding
# in the case of a very short first item with a very long second item)
tuple_padding = max(30, self.width - 50, len(item[0]) + 1)
# If the combined length of the items is short enough to fit on one line, avoid a line break
if len(item[0]) + len(item[1]) < self.width:
# If the first item fills up its allocated space, pad by 1 character
if len(item[0]) >= max(30, self.width - 50):
tuple_padding = len(item[0]) + 1
# If the second item is longer than its allocated space, shorten the padding to avoid a line break
elif len(item[1]) > min(self.width - 30, 50):
tuple_padding = self.width - len(item[1])
return tuple_padding
def display_paths(self, paths_dict):
"""
Human readable output for displaying dependency paths.
"""
def node_type(node):
return " (type: {0})".format(str(node[1]))
template = self.templates['path_display']
for condition_id in paths_dict:
for path_index, path in enumerate(list(paths_dict[condition_id])):
tab = len(condition_id)
for node_index, node in enumerate(path):
if node_index == 0:
if path_index == 0:
print template.format(condition_id + node_type(node), self.width - len('[ FAIL ]'))
else:
continue
else:
add_to_tab = 0
if type(node[0]) is tuple:
cid = node[0][0]
add_to_tab += len(cid)
else:
cid = node[0]
add_to_tab += len(cid)
if tab:
branch = '\--> depends on '
add_to_tab += len(branch)
else:
branch = ''
print " " * tab + branch + str(cid) + node_type(node)
tab += add_to_tab
print | {
"redpajama_set_name": "RedPajamaGithub"
} | 2,233 |
Home › United States Coins › 2000 Statehood Quarters
2000 Statehood Quarters
Massachusetts D - $1.50 USD Massachusetts P - $1.50 USD Massachusetts S Clad - $5.00 USD Massachusetts S Silver - $9.00 USD Maryland D - $1.50 USD Maryland P - $1.50 USD Maryland S Clad - $5.00 USD Maryland S Silver - $9.00 USD New Hampshire D - $2.00 USD New Hampshire P - $2.00 USD New Hampshire S Clad - $5.00 USD New Hampshire S Silver - $9.00 USD South Carolina D - $2.25 USD South Carolina P - $2.25 USD South Carolina S Clad - $5.00 USD South Carolina S Silver - $9.00 USD Virginia D - $1.50 USD Virginia P - $1.50 USD Virginia S Clad - $5.00 USD Virginia S Silver - $19.00 USD
Launched in 1999, the United States Mint's 50 State Quarters Program was a 10-year initiative that honored each of the nation's states in the order that they ratified the Constitution or were admitted into the Union. Each quarter was produced for about 10 weeks. State designs are displayed on the reverse (tails) of the quarters, while the obverse design displays the familiar image of George Washington. But, to accommodate state designs on the reverse, the words "United States of America," "Quarter Dollar," "Liberty," and "In God We Trust" all appear on the obverse. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 3,044 |
{"url":"http:\/\/www.theinfolist.com\/php\/SummaryGet.php?FindGo=affine_connection","text":"affine connection\n\nTheInfoList\n\nIn\ndifferential geometry Differential geometry is a mathematical Mathematics (from Greek Greek may refer to: Greece Anything of, from, or related to Greece Greece ( el, \u0395\u03bb\u03bb\u03ac\u03b4\u03b1, , ), officially the Hellenic Republic, is a country located in Southeast E ...\n, an affine connection is a geometric object on a\nsmooth manifold In mathematics, a differentiable manifold (also differential manifold) is a type of manifold that is locally similar enough to a linear space to allow one to do calculus. Any manifold can be described by a collection of charts, also known as an a ...\nwhich ''connects'' nearby\ntangent space In , the tangent space of a generalizes to higher dimensions the notion of tangent planes to surfaces in three dimensions and tangent lines to curves in two dimensions. In the context of physics the tangent space to a manifold at a point can ...\ns, so it permits to be as if they were functions on the manifold with values in a fixed\nvector space In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). ...\n. The notion of an affine connection has its roots in 19th-century geometry and\ntensor calculus In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It ...\n, but was not fully developed until the early 1920s, by\n\u00c9lie Cartan \u00c9lie Joseph Cartan, ForMemRS Fellowship of the Royal Society (FRS, ForMemRS and HonFRS) is an award granted by the judges of the Royal Society The Royal Society, formally The Royal Society of London for Improving Natural Knowledge, is a ...\n(as part of his general theory of connections) and\nHermann Weyl Hermann Klaus Hugo Weyl, (; 9 November 1885 \u2013 8 December 1955) was a German German(s) may refer to: Common uses * of or related to Germany * Germans, Germanic ethnic group, citizens of Germany or people of German ancestry * For citizens of ...\n\n(who used the notion as a part of his foundations for\ngeneral relativity General relativity, also known as the general theory of relativity, is the of published by in 1915 and is the current description of gravitation in . General generalizes and refines , providing a unified description of gravity as a geome ...\n). The terminology is due to Cartan and has its origins in the identification of tangent spaces in\nEuclidean space Euclidean space is the fundamental space of . Originally, it was the of , but in modern there are Euclidean spaces of any nonnegative integer , including the three-dimensional space and the ''Euclidean plane'' (dimension two). It was introduce ...\nby translation: the idea is that a choice of affine connection makes a manifold look infinitesimally like Euclidean space not just smoothly, but as an\naffine space In mathematics Mathematics (from Greek: ) includes the study of such topics as numbers ( and ), formulas and related structures (), shapes and spaces in which they are contained (), and quantities and their changes ( and ). There is no g ...\n. On any manifold of positive dimension there are infinitely many affine connections. If the manifold is further endowed with a\nmetric tensor In the mathematics, mathematical field of differential geometry, one definition of a metric tensor is a type of function which takes as input a pair of tangent vectors and at a point of a surface (or higher dimensional differentiable manifold) an ...\nthen there is a natural choice of affine connection, called the\nLevi-Civita connection In Riemannian or pseudo Riemannian geometry (in particular the Lorentzian geometry of general relativity General relativity, also known as the general theory of relativity, is the differential geometry, geometric scientific theory, theory o ...\n. The choice of an affine connection is equivalent to prescribing a way of differentiating vector fields which satisfies several reasonable properties (\nlinearity Linearity is the property of a mathematical relationship ('' function'') that can be graphically represented as a straight line. Linearity is closely related to proportionality. Examples in physics Physics (from grc, \u03c6\u03c5\u03c3\u03b9\u03ba\u03ae ( ...\n\nand the Leibniz rule). This yields a possible definition of an affine connection as a\ncovariant derivative In mathematics, the covariant derivative is a way of specifying a derivative along tangent vectors of a manifold. Alternatively, the covariant derivative is a way of introducing and working with a connection (mathematics), connection on a manifold ...\nor (linear) connection on the\ntangent bundle Image:Tangent bundle.svg, Informally, the tangent bundle of a manifold (which in this case is a circle) is obtained by considering all the tangent spaces (top), and joining them together in a smooth and non-overlapping manner (bottom). In differen ...\n\n. A choice of affine connection is also equivalent to a notion of\nparallel transport In , parallel transport (or parallel translation) is a way of transporting geometrical data along smooth curves in a . If the manifold is equipped with an (a or on the ), then this connection allows one to transport vectors of the manifold al ...\n\n, which is a method for transporting tangent vectors along curves. This also defines a parallel transport on the\nframe bundle In mathematics, a frame bundle is a principal fiber bundle F(''E'') associated to any vector bundle ''E''. The fiber of F(''E'') over a point ''x'' is the set of all ordered basis, ordered bases, or ''frames'', for ''E'x''. The general linear gro ...\n. Infinitesimal parallel transport in the frame bundle yields another description of an affine connection, either as a\nCartan connection In the mathematical field of differential geometry, a Cartan connection is a flexible generalization of the notion of an affine connection. It may also be regarded as a specialization of the general concept of a connection (principal bundle), princi ...\nfor the\naffine group In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It h ...\nor as a\nprincipal connection In mathematics, and especially differential geometry and gauge theory (mathematics), gauge theory, a connection is a device that defines a notion of parallel transport on the bundle; that is, a way to \"connect\" or identify fibers over nearby points. ...\non the frame bundle. The main invariants of an affine connection are its torsion and its\ncurvature In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). ...\n\n. The torsion measures how closely the\nLie bracket In mathematics, a Lie algebra (pronounced \"Lee\") is a vector space \\mathfrak g together with an Binary operation, operation called the Lie bracket, an Alternating multilinear map, alternating bilinear map \\mathfrak g \\times \\mathfrak g \\rightar ...\nof vector fields can be recovered from the affine connection. Affine connections may also be used to define (affine)\ngeodesics In geometry Geometry (from the grc, \u03b3\u03b5\u03c9\u03bc\u03b5\u03c4\u03c1\u03af\u03b1; ''wikt:\u03b3\u1fc6, geo-'' \"earth\", ''wikt:\u03bc\u03ad\u03c4\u03c1\u03bf\u03bd, -metron'' \"measurement\") is, with arithmetic, one of the oldest branches of mathematics. It is concerned with properties of space t ...\non a manifold, generalizing the ''straight lines'' of Euclidean space, although the geometry of those straight lines can be very different from usual\nEuclidean geometry Euclidean geometry is a mathematical system attributed to Alexandrian Greek mathematics , Greek mathematician Euclid, which he described in his textbook on geometry: the ''Euclid's Elements, Elements''. Euclid's method consists in assuming a smal ...\n; the main differences are encapsulated in the curvature of the connection.\n\n# Motivation and history\n\nA\nsmooth manifold In mathematics, a differentiable manifold (also differential manifold) is a type of manifold that is locally similar enough to a linear space to allow one to do calculus. Any manifold can be described by a collection of charts, also known as an a ...\nis a\nmathematical Mathematics (from Greek Greek may refer to: Greece Anything of, from, or related to Greece Greece ( el, \u0395\u03bb\u03bb\u03ac\u03b4\u03b1, , ), officially the Hellenic Republic, is a country located in Southeast Europe. Its population is approximately 10.7 ...\nobject which looks locally like a smooth deformation of Euclidean space : for example a smooth curve or surface looks locally like a smooth deformation of a line or a plane.\nSmooth function is a smooth function with compact support. In mathematical analysis, the smoothness of a function (mathematics), function is a property measured by the number of Continuous function, continuous Derivative (mathematics), derivatives it has over ...\n\ns and\nvector field In vector calculus and physics, a vector field is an assignment of a vector to each point in a subset of space. For instance, a vector field in the plane can be visualised as a collection of arrows with a given magnitude and direction, each att ...\n\ns can be defined on manifolds, just as they can on Euclidean space, and\nscalar Scalar may refer to: *Scalar (mathematics), an element of a field, which is used to define a vector space, usually the field of real numbers *Scalar (physics), a physical quantity that can be described by a single element of a number field such as ...\nfunctions on manifolds can be differentiated in a natural way. However, differentiation of vector fields is less straightforward: this is a simple matter in Euclidean space, because the tangent space of based vectors at a point can be identified naturally (by translation) with the tangent space at a nearby point . On a general manifold, there is no such natural identification between nearby tangent spaces, and so tangent vectors at nearby points cannot be compared in a well-defined way. The notion of an affine connection was introduced to remedy this problem by ''connecting'' nearby tangent spaces. The origins of this idea can be traced back to two main sources: surface theory and\ntensor calculus In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It ...\n.\n\n## Motivation from surface theory\n\nConsider a smooth surface in 3-dimensional Euclidean space. Near to any point, can be approximated by its\ntangent plane In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It ...\n\nat that point, which is an\naffine subspace In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). ...\n\nof Euclidean space. Differential geometers in the 19th century were interested in the notion of\ndevelopment Development or developing may refer to: Arts *Development hell, when a project is stuck in development *Filmmaking#Development, Filmmaking, development phase, including finance and budgeting *Development (music), the process thematic material i ...\nin which one surface was ''rolled'' along another, without ''slipping'' or ''twisting''. In particular, the tangent plane to a point of can be rolled on : this should be easy to imagine when is a surface like the 2-sphere, which is the smooth boundary of a\nconvex Convex means curving outwards like a sphere, and is the opposite of concave. Convex or convexity may refer to: Science and technology * Convex lens A lens is a transmissive optical device that focuses or disperses a light beam by means of ...\n\nregion. As the tangent plane is rolled on , the point of contact traces out a curve on . Conversely, given a curve on , the tangent plane can be rolled along that curve. This provides a way to identify the tangent planes at different points along the curve: in particular, a tangent vector in the tangent space at one point on the curve is identified with a unique tangent vector at any other point on the curve. These identifications are always given by\naffine transformation In Euclidean geometry Euclidean geometry is a mathematical system attributed to Alexandrian Greek mathematics , Greek mathematician Euclid, which he described in his textbook on geometry: the ''Euclid's Elements, Elements''. Euclid's method con ...\ns from one tangent plane to another. This notion of parallel transport of tangent vectors, by affine transformations, along a curve has a characteristic feature: the point of contact of the tangent plane with the surface ''always moves'' with the curve under parallel translation (i.e., as the tangent plane is rolled along the surface, the point of contact moves). This generic condition is characteristic of\nCartan connection In the mathematical field of differential geometry, a Cartan connection is a flexible generalization of the notion of an affine connection. It may also be regarded as a specialization of the general concept of a connection (principal bundle), princi ...\ns. In more modern approaches, the point of contact is viewed as the ''origin'' in the tangent plane (which is then a vector space), and the movement of the origin is corrected by a translation, so that parallel transport is linear, rather than affine. In the point of view of Cartan connections, however, the affine subspaces of Euclidean space are ''model'' surfaces \u2014 they are the simplest surfaces in Euclidean 3-space, and are homogeneous under the affine group of the plane \u2014 and every smooth surface has a unique model surface tangent to it at each point. These model surfaces are ''Klein geometries'' in the sense of\nFelix Klein Christian Felix Klein (; 25 April 1849\u00a0\u2013 22 June 1925) was a German mathematician and mathematics educator, known for his work with group theory, complex analysis, non-Euclidean geometry, and on the associations between geometry and group ...\n's\nErlangen programme In mathematics, the Erlangen program is a method of characterizing geometry, geometries based on group theory and projective geometry. It was published by Felix Klein in 1872 as ''Vergleichende Betrachtungen \u00fcber neuere geometrische Forschungen.'' ...\n. More generally, an -dimensional affine space is a\nKlein geometry In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It h ...\nfor the\naffine group In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It h ...\n, the stabilizer of a point being the\ngeneral linear group A general officer is an officer of high rank in the armies, and in some nations' air forces, space force A space force is a military branch of a nation's armed forces A military, also known collectively as armed forces, is a hea ...\n. An affine -manifold is then a manifold which looks infinitesimally like -dimensional affine space.\n\n## Motivation from tensor calculus\n\nThe second motivation for affine connections comes from the notion of a\ncovariant derivative In mathematics, the covariant derivative is a way of specifying a derivative along tangent vectors of a manifold. Alternatively, the covariant derivative is a way of introducing and working with a connection (mathematics), connection on a manifold ...\nof vector fields. Before the advent of coordinate-independent methods, it was necessary to work with vector fields by\nembedding In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It ...\ntheir respective\nEuclidean vector In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). I ...\ns into an\natlas Blaeu's world map, originally prepared by Joan Blaeu for his ''Atlas Maior\">Joan_Blaeu.html\" ;\"title=\"world map, originally prepared by Joan Blaeu\">world map, originally prepared by Joan Blaeu for his ''Atlas Maior'', published in the first b ...\n. These components can be differentiated, but the derivatives do not transform in a manageable way under changes of coordinates. Correction terms were introduced by\nElwin Bruno Christoffel#REDIRECT Elwin Bruno Christoffel Elwin Bruno Christoffel (; November 10, 1829 \u2013 March 15, 1900) was a German mathematician A mathematician is someone who uses an extensive knowledge of mathematics Mathematics (from Ancient Greek, Greek ...\n(following ideas of\nBernhard Riemann Georg Friedrich Bernhard Riemann (; 17 September 1826 \u2013 20 July 1866) was a German mathematician A mathematician is someone who uses an extensive knowledge of mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of ...\n) in the 1870s so that the (corrected) derivative of one vector field along another transformed covariantly under coordinate transformations \u2014 these correction terms subsequently came to be known as\nChristoffel symbol In mathematics and physics, the Christoffel symbols are an array of numbers describing a metric connection. The metric connection is a specialization of the affine connection to surface (topology), surfaces or other manifolds endowed with a metric ...\ns. This idea was developed into the theory of ''absolute differential calculus'' (now known as\ntensor calculus In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It ...\n) by\nGregorio Ricci-Curbastro Gregorio Ricci-Curbastro (; 12January 1925) was an Italian mathematician A mathematician is someone who uses an extensive knowledge of mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity ( ...\nand his student\nTullio Levi-Civita Tullio Levi-Civita, (, ; 29 March 1873 \u2013 29 December 1941) was an Italians, Italian mathematician, most famous for his work on absolute differential calculus (tensor calculus) and its applications to the theory of relativity, but who also made s ...\nbetween 1880 and the turn of the 20th century. Tensor calculus really came to life, however, with the advent of\nAlbert Einstein Albert Einstein ( ; ; 14 March 1879\u00a0\u2013 18 April 1955) was a German-born , widely acknowledged to be one of the greatest physicists of all time. Einstein is known for developing the , but he also made important contributions to the develo ...\n\n's theory of\ngeneral relativity General relativity, also known as the general theory of relativity, is the of published by in 1915 and is the current description of gravitation in . General generalizes and refines , providing a unified description of gravity as a geome ...\nin 1915. A few years after this, Levi-Civita formalized the unique connection associated to a Riemannian metric, now known as the\nLevi-Civita connection In Riemannian or pseudo Riemannian geometry (in particular the Lorentzian geometry of general relativity General relativity, also known as the general theory of relativity, is the differential geometry, geometric scientific theory, theory o ...\n. More general affine connections were then studied around 1920, by\nHermann Weyl Hermann Klaus Hugo Weyl, (; 9 November 1885 \u2013 8 December 1955) was a German German(s) may refer to: Common uses * of or related to Germany * Germans, Germanic ethnic group, citizens of Germany or people of German ancestry * For citizens of ...\n\n, who developed a detailed mathematical foundation for general relativity, and\n\u00c9lie Cartan \u00c9lie Joseph Cartan, ForMemRS Fellowship of the Royal Society (FRS, ForMemRS and HonFRS) is an award granted by the judges of the Royal Society The Royal Society, formally The Royal Society of London for Improving Natural Knowledge, is a ...\n,. who made the link with the geometrical ideas coming from surface theory.\n\n## Approaches\n\nThe complex history has led to the development of widely varying approaches to and generalizations of the affine connection concept. The most popular approach is probably the definition motivated by covariant derivatives. On the one hand, the ideas of Weyl were taken up by physicists in the form of\ngauge theory In physics, a gauge theory is a type of Field theory (physics), field theory in which the Lagrangian (field theory), Lagrangian (and hence the dynamics of the system itself) does not change (is Invariant (physics), invariant) under local symmetry, ...\nand gauge covariant derivatives. On the other hand, the notion of covariant differentiation was abstracted by Jean-Louis Koszul, who defined (linear or Koszul) connection (vector bundle), connections on vector bundles. In this language, an affine connection is simply a\ncovariant derivative In mathematics, the covariant derivative is a way of specifying a derivative along tangent vectors of a manifold. Alternatively, the covariant derivative is a way of introducing and working with a connection (mathematics), connection on a manifold ...\nor (linear) connection on the\ntangent bundle Image:Tangent bundle.svg, Informally, the tangent bundle of a manifold (which in this case is a circle) is obtained by considering all the tangent spaces (top), and joining them together in a smooth and non-overlapping manner (bottom). In differen ...\n\n. However, this approach does not explain the geometry behind affine connections nor how they acquired their name. The term really has its origins in the identification of tangent spaces in Euclidean space by translation: this property means that Euclidean -space is an\naffine space In mathematics Mathematics (from Greek: ) includes the study of such topics as numbers ( and ), formulas and related structures (), shapes and spaces in which they are contained (), and quantities and their changes ( and ). There is no g ...\n. (Alternatively, Euclidean space is a principal homogeneous space or torsor under the group of translations, which is a subgroup of the affine group.) As mentioned in the introduction, there are several ways to make this precise: one uses the fact that an affine connection defines a notion of\nparallel transport In , parallel transport (or parallel translation) is a way of transporting geometrical data along smooth curves in a . If the manifold is equipped with an (a or on the ), then this connection allows one to transport vectors of the manifold al ...\n\nof vector fields along a curve. This also defines a parallel transport on the\nframe bundle In mathematics, a frame bundle is a principal fiber bundle F(''E'') associated to any vector bundle ''E''. The fiber of F(''E'') over a point ''x'' is the set of all ordered basis, ordered bases, or ''frames'', for ''E'x''. The general linear gro ...\n. Infinitesimal parallel transport in the frame bundle yields another description of an affine connection, either as a Cartan connection for the affine group or as a principal connection on the frame bundle.\n\n# Formal definition as a differential operator\n\nLet be a smooth manifold and let be the space of vector fields on , that is, the space of section (fiber bundle), smooth sections of the\ntangent bundle Image:Tangent bundle.svg, Informally, the tangent bundle of a manifold (which in this case is a circle) is obtained by considering all the tangent spaces (top), and joining them together in a smooth and non-overlapping manner (bottom). In differen ...\n\n. Then an affine connection on is a bilinear map : $\\begin \\Gamma\\left(\\mathrmM\\right)\\times \\Gamma\\left(\\mathrmM\\right) & \\rightarrow \\Gamma\\left(\\mathrmM\\right)\\\\ \\left(X,Y\\right) & \\mapsto \\nabla_X Y\\,,\\end$ such that for all in the set of smooth functions on , written , and all vector fields on : # , that is, is -''linear'' in the first variable; # , where denotes the directional derivative; that is, satisfies ''Leibniz rule'' in the second variable.\n\n## Elementary properties\n\n* It follows from property 1 above that the value of at a point depends only on the value of at and not on the value of on . It also follows from property 2 above that the value of at a point depends only on the value of on a neighbourhood of . * If are affine connections then the value at of may be written where ::$\\Gamma_x : \\mathrm_xM \\times \\mathrm_xM \\to \\mathrm_xM$ :is bilinear and depends smoothly on (i.e., it defines a smooth bundle homomorphism). Conversely if is an affine connection and is such a smooth bilinear bundle homomorphism (called a connection form on ) then is an affine connection. * If is an open subset of , then the tangent bundle of is the trivial bundle . In this situation there is a canonical affine connection on : any vector field is given by a smooth function from to ; then is the vector field corresponding to the smooth function from to . Any other affine connection on may therefore be written , where is a connection form on . * More generally, a local trivialization of the tangent bundle is a bundle map, bundle isomorphism between the restriction of to an open subset of , and . The restriction of an affine connection to may then be written in the form where is a connection form on .\n\n# Parallel transport for affine connections\n\nComparison of tangent vectors at different points on a manifold is generally not a well-defined process. An affine connection provides one way to remedy this using the notion of\nparallel transport In , parallel transport (or parallel translation) is a way of transporting geometrical data along smooth curves in a . If the manifold is equipped with an (a or on the ), then this connection allows one to transport vectors of the manifold al ...\n\n, and indeed this can be used to give a definition of an affine connection. Let be a manifold with an affine connection . Then a vector field is said to be parallel if in the sense that for any vector field , . Intuitively speaking, parallel vectors have ''all their derivatives equal to zero'' and are therefore in some sense ''constant''. By evaluating a parallel vector field at two points and , an identification between a tangent vector at and one at is obtained. Such tangent vectors are said to be parallel transports of each other. Nonzero parallel vector fields do not, in general, exist, because the equation is a partial differential equation which is overdetermined system, overdetermined: the integrability condition for this equation is the vanishing of the curvature of (see below). However, if this equation is restricted to a curve from to it becomes an ordinary differential equation. There is then a unique solution for any initial value of at . More precisely, if a curve, smooth curve parametrized by an interval and , where , then a\nvector field In vector calculus and physics, a vector field is an assignment of a vector to each point in a subset of space. For instance, a vector field in the plane can be visualised as a collection of arrows with a given magnitude and direction, each att ...\n\nalong (and in particular, the value of this vector field at ) is called the parallel transport of along if #, for all #. Formally, the first condition means that is parallel with respect to the pullback (differential geometry), pullback connection on the pullback bundle . However, in a local trivialization it is a first-order system of linear differential equation, linear ordinary differential equations, which has a unique solution for any initial condition given by the second condition (for instance, by the Picard\u2013Lindel\u00f6f theorem). Thus parallel transport provides a way of moving tangent vectors along a curve using the affine connection to keep them \"pointing in the same direction\" in an intuitive sense, and this provides a linear isomorphism between the tangent spaces at the two ends of the curve. The isomorphism obtained in this way will in general depend on the choice of the curve: if it does not, then parallel transport along every curve can be used to define parallel vector fields on , which can only happen if the curvature of is zero. A linear isomorphism is determined by its action on an Basis (linear algebra)#Ordered bases and coordinates, ordered basis or frame. Hence parallel transport can also be characterized as a way of transporting elements of the (tangent)\nframe bundle In mathematics, a frame bundle is a principal fiber bundle F(''E'') associated to any vector bundle ''E''. The fiber of F(''E'') over a point ''x'' is the set of all ordered basis, ordered bases, or ''frames'', for ''E'x''. The general linear gro ...\nalong a curve. In other words, the affine connection provides a lift of any curve in to a curve in .\n\n# Formal definition on the frame bundle\n\nAn affine connection may also be defined as a connection (principal bundle), principal connection on the\nframe bundle In mathematics, a frame bundle is a principal fiber bundle F(''E'') associated to any vector bundle ''E''. The fiber of F(''E'') over a point ''x'' is the set of all ordered basis, ordered bases, or ''frames'', for ''E'x''. The general linear gro ...\nor of a manifold . In more detail, is a smooth map from the tangent bundle of the frame bundle to the space of matrices (which is the Lie algebra of the Lie group of invertible matrices) satisfying two properties: # is equivariant with respect to the action of on and ; # for any in , where is the vector field on corresponding to . Such a connection immediately defines a\ncovariant derivative In mathematics, the covariant derivative is a way of specifying a derivative along tangent vectors of a manifold. Alternatively, the covariant derivative is a way of introducing and working with a connection (mathematics), connection on a manifold ...\nnot only on the tangent bundle, but on vector bundles associated bundle, associated to any group representation of , including bundles of tensors and tensor density, tensor densities. Conversely, an affine connection on the tangent bundle determines an affine connection on the frame bundle, for instance, by requiring that vanishes on tangent vectors to the lifts of curves to the frame bundle defined by parallel transport. The frame bundle also comes equipped with a frame bundle#Solder form, solder form which is horizontal in the sense that it vanishes on vertical bundle, vertical vectors such as the point values of the vector fields : indeed is defined first by projecting a tangent vector (to at a frame ) to , then by taking the components of this tangent vector on with respect to the frame . Note that is also -equivariant (where acts on by matrix multiplication). The pair defines a bundle isomorphism of with the trivial bundle , where is the Cartesian product of and (viewed as the Lie algebra of the affine group, which is actually a semidirect product \u2013 see below).\n\n# Affine connections as Cartan connections\n\nAffine connections can be defined within Cartan's general framework. In the modern approach, this is closely related to the definition of affine connections on the frame bundle. Indeed, in one formulation, a Cartan connection is an absolute parallelism of a principal bundle satisfying suitable properties. From this point of view the -valued one-form on the frame bundle (of an affine manifold) is a Cartan connection. However, Cartan's original approach was different from this in a number of ways: * the concept of frame bundles or principal bundles did not exist; * a connection was viewed in terms of parallel transport between infinitesimally nearby points; * this parallel transport was affine, rather than linear; * the objects being transported were not tangent vectors in the modern sense, but elements of an\naffine space In mathematics Mathematics (from Greek: ) includes the study of such topics as numbers ( and ), formulas and related structures (), shapes and spaces in which they are contained (), and quantities and their changes ( and ). There is no g ...\nwith a marked point, which the Cartan connection ultimately ''identifies'' with the tangent space.\n\n## Explanations and historical intuition\n\nThe points just raised are easiest to explain in reverse, starting from the motivation provided by surface theory. In this situation, although the planes being rolled over the surface are tangent planes in a naive sense, the notion of a\ntangent space In , the tangent space of a generalizes to higher dimensions the notion of tangent planes to surfaces in three dimensions and tangent lines to curves in two dimensions. In the context of physics the tangent space to a manifold at a point can ...\nis really an differential (infinitesimal), infinitesimal notion, whereas the planes, as\naffine subspace In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). ...\n\ns of , are Infinity, infinite in extent. However these affine planes all have a marked point, the point of contact with the surface, and they are tangent to the surface at this point. The confusion therefore arises because an affine space with a marked point can be identified with its tangent space at that point. However, the parallel transport defined by rolling does not fix this origin: it is affine transformation, affine rather than linear; the linear parallel transport can be recovered by applying a translation. Abstracting this idea, an affine manifold should therefore be an -manifold with an affine space , of dimension , ''attached'' to each at a marked point , together with a method for transporting elements of these affine spaces along any curve in . This method is required to satisfy several properties: # for any two points on , parallel transport is an\naffine transformation In Euclidean geometry Euclidean geometry is a mathematical system attributed to Alexandrian Greek mathematics , Greek mathematician Euclid, which he described in his textbook on geometry: the ''Euclid's Elements, Elements''. Euclid's method con ...\nfrom to ; # parallel transport is defined infinitesimally in the sense that it is differentiable at any point on and depends only on the tangent vector to at that point; # the derivative of the parallel transport at determines a linear isomorphism from to . These last two points are quite hard to make precise, so affine connections are more often defined infinitesimally. To motivate this, it suffices to consider how affine frames of reference transform infinitesimally with respect to parallel transport. (This is the origin of Cartan's method of moving frames.) An affine frame at a point consists of a list , where and the form a basis of . The affine connection is then given symbolically by a first order differential system :$\\left(*\\right) \\begin \\mathrm &= \\theta^1\\mathbf_1 + \\cdots + \\theta^n\\mathbf_n \\\\ \\mathrm\\mathbf_i &= \\omega^1_i\\mathbf_1 + \\cdots + \\omega^n_i\\mathbf_n \\end \\quad i=1,2,\\ldots,n$ defined by a collection of differential forms, one-forms . Geometrically, an affine frame undergoes a displacement travelling along a curve from to given (approximately, or infinitesimally) by :$\\begin p\\left(\\gamma\\left(t+\\delta t\\right)\\right) - p\\left(\\gamma\\left(t\\right)\\right) &= \\left\\left(\\theta^1\\left\\left(\\gamma\\text{'}\\left(t\\right)\\right\\right)\\mathbf_1 + \\cdots + \\theta^n\\left\\left(\\gamma\\text{'}\\left(t\\right)\\right\\right)\\mathbf_n\\right\\right)\\mathrm \\delta t \\\\ \\mathbf_i\\left(\\gamma\\left(t+\\delta t\\right)\\right) - \\mathbf_i\\left(\\gamma\\left(t\\right)\\right) &= \\left\\left(\\omega^1_i\\left\\left(\\gamma\\text{'}\\left(t\\right)\\right\\right)\\mathbf_1 + \\cdots + \\omega^n_i\\left\\left(\\gamma\\text{'}\\left(t\\right)\\right\\right) \\mathbf_n\\right\\right)\\delta t\\,. \\end$ Furthermore, the affine spaces are required to be tangent to in the informal sense that the displacement of along can be identified (approximately or infinitesimally) with the tangent vector to at (which is the infinitesimal displacement of ). Since :$a_x \\left(\\gamma\\left(t + \\delta t\\right)\\right) - a_x \\left(\\gamma\\left(t\\right)\\right) = \\theta\\left\\left(\\gamma\\text{'}\\left(t\\right)\\right\\right) \\delta t \\,,$ where is defined by , this identification is given by , so the requirement is that should be a linear isomorphism at each point. The tangential affine space is thus identified intuitively with an ''infinitesimal affine neighborhood'' of . The modern point of view makes all this intuition more precise using principal bundles (the essential idea is to replace a frame or a ''variable'' frame by the space of all frames and functions on this space). It also draws on the inspiration of\nFelix Klein Christian Felix Klein (; 25 April 1849\u00a0\u2013 22 June 1925) was a German mathematician and mathematics educator, known for his work with group theory, complex analysis, non-Euclidean geometry, and on the associations between geometry and group ...\n's\nErlangen programme In mathematics, the Erlangen program is a method of characterizing geometry, geometries based on group theory and projective geometry. It was published by Felix Klein in 1872 as ''Vergleichende Betrachtungen \u00fcber neuere geometrische Forschungen.'' ...\n, in which a ''geometry'' is defined to be a homogeneous space. Affine space is a geometry in this sense, and is equipped with a ''flat'' Cartan connection. Thus a general affine manifold is viewed as ''curved'' deformation of the flat model geometry of affine space.\n\n## Affine space as the flat model geometry\n\n### Definition of an affine space\n\nInformally, an\naffine space In mathematics Mathematics (from Greek: ) includes the study of such topics as numbers ( and ), formulas and related structures (), shapes and spaces in which they are contained (), and quantities and their changes ( and ). There is no g ...\nis a\nvector space In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). ...\nwithout a fixed choice of origin (mathematics), origin. It describes the geometry of point (mathematics), points and Vector (geometric), free vectors in space. As a consequence of the lack of origin, points in affine space cannot be added together as this requires a choice of origin with which to form the parallelogram law for vector addition. However, a vector may be added to a point by placing the initial point of the vector at and then transporting to the terminal point. The operation thus described is the translation of along . In technical terms, affine -space is a set equipped with a Group action (mathematics), free transitive action of the vector group on it through this operation of translation of points: is thus a principal homogeneous space for the vector group . The\ngeneral linear group A general officer is an officer of high rank in the armies, and in some nations' air forces, space force A space force is a military branch of a nation's armed forces A military, also known collectively as armed forces, is a hea ...\nis the transformation group, group of transformations of which preserve the ''linear structure'' of in the sense that . By analogy, the\naffine group In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It h ...\nis the group of transformations of preserving the ''affine structure''. Thus must ''preserve translations'' in the sense that :$\\varphi\\left(p+v\\right)=\\varphi\\left(p\\right)+T\\left(v\\right)$ where is a general linear transformation. The map sending to is a group homomorphism. Its kernel (algebra), kernel is the group of translations . The Group action (mathematics)#Orbits and stabilizers, stabilizer of any point in can thus be identified with using this projection: this realises the affine group as a semidirect product of and , and affine space as the homogeneous space .\n\n### Affine frames and the flat affine connection\n\nAn ''affine frame'' for consists of a point and a basis of the vector space . The general linear group acts freely on the set of all affine frames by fixing and transforming the basis in the usual way, and the map sending an affine frame to is the quotient map. Thus is a principal bundle, principal -bundle over . The action of extends naturally to a free transitive action of the affine group on , so that is an -principal homogeneous space, torsor, and the choice of a reference frame identifies with the principal bundle . On there is a collection of functions defined by :$\\pi\\left(p;\\mathbf_1, \\dots ,\\mathbf_n\\right) = p$ (as before) and :$\\varepsilon_i\\left(p;\\mathbf_1,\\dots , \\mathbf_n\\right) = \\mathbf_i\\,.$ After choosing a basepoint for , these are all functions with values in , so it is possible to take their exterior derivatives to obtain differential 1-forms with values in . Since the functions yield a basis for at each point of , these 1-forms must be expressible as sums of the form :$\\begin \\mathrm\\pi &= \\theta^1\\varepsilon_1+\\cdots+\\theta^n\\varepsilon_n\\\\ \\mathrm\\varepsilon_i &= \\omega^1_i\\varepsilon_1+\\cdots+\\omega^n_i\\varepsilon_n \\end$ for some collection of real-valued one-forms on . This system of one-forms on the principal bundle defines the affine connection on . Taking the exterior derivative a second time, and using the fact that as well as the linearly independent, linear independence of the , the following relations are obtained: :$\\begin \\mathrm\\theta^j - \\sum_i\\omega^j_i\\wedge\\theta^i &=0\\\\ \\mathrm\\omega^j_i - \\sum_k \\omega^j_k\\wedge\\omega^k_i &=0\\,. \\end$ These are the Maurer\u2013Cartan equations for the Lie group (identified with by the choice of a reference frame). Furthermore: * the Pfaffian system (for all ) is integrability condition, integrable, and its integral manifolds are the fibres of the principal bundle . * the Pfaffian system (for all ) is also integrable, and its integral manifolds define parallel transport in . Thus the forms define a flat\nprincipal connection In mathematics, and especially differential geometry and gauge theory (mathematics), gauge theory, a connection is a device that defines a notion of parallel transport on the bundle; that is, a way to \"connect\" or identify fibers over nearby points. ...\non . For a strict comparison with the motivation, one should actually define parallel transport in a principal -bundle over . This can be done by pullback bundle, pulling back by the smooth map defined by translation. Then the composite is a principal -bundle over , and the forms pullback (differential geometry), pull back to give a flat principal -connection on this bundle.\n\n## General affine geometries: formal definitions\n\nAn affine space, as with essentially any smooth\nKlein geometry In mathematics Mathematics (from Ancient Greek, Greek: ) includes the study of such topics as quantity (number theory), mathematical structure, structure (algebra), space (geometry), and calculus, change (mathematical analysis, analysis). It h ...\n, is a manifold equipped with a flat Cartan connection. More general affine manifolds or affine geometries are obtained easily by dropping the flatness condition expressed by the Maurer-Cartan equations. There are several ways to approach the definition and two will be given. Both definitions are facilitated by the realisation that 1-forms in the flat model fit together to give a 1-form with values in the Lie algebra of the affine group . In these definitions, is a smooth -manifold and is an affine space of the same dimension.\n\n### Definition via absolute parallelism\n\nLet be a manifold, and a principal -bundle over . Then an affine connection is a 1-form on with values in satisfying the following properties # is equivariant with respect to the action of on and ; # for all in the Lie algebra of all matrices; # is a linear isomorphism of each tangent space of with . The last condition means that is an absolute parallelism on , i.e., it identifies the tangent bundle of with a trivial bundle (in this case ). The pair defines the structure of an affine geometry on , making it into an affine manifold. The affine Lie algebra splits as a semidirect product of and and so may be written as a pair where takes values in and takes values in . Conditions 1 and 2 are equivalent to being a principal -connection and being a horizontal equivariant 1-form, which induces a bundle homomorphism from to the associated bundle . Condition 3 is equivalent to the fact that this bundle homomorphism is an isomorphism. (However, this decomposition is a consequence of the rather special structure of the affine group.) Since is the\nframe bundle In mathematics, a frame bundle is a principal fiber bundle F(''E'') associated to any vector bundle ''E''. The fiber of F(''E'') over a point ''x'' is the set of all ordered basis, ordered bases, or ''frames'', for ''E'x''. The general linear gro ...\nof , it follows that provides a bundle isomorphism between and the frame bundle of ; this recovers the definition of an affine connection as a principal -connection on . The 1-forms arising in the flat model are just the components of and .\n\n### Definition as a principal affine connection\n\nAn affine connection on is a principal -bundle over , together with a principal -subbundle of and a principal -connection (a 1-form on with values in ) which satisfies the following (generic) ''Cartan condition''. The component of pullback of to is a horizontal equivariant 1-form and so defines a bundle homomorphism from to : this is required to be an isomorphism.\n\n### Relation to the motivation\n\nSince acts on , there is, associated to the principal bundle , a bundle , which is a fiber bundle over whose fiber at in is an affine space . A section (fiber bundle), section of (defining a marked point in for each ) determines a principal -subbundle of (as the bundle of stabilizers of these marked points) and vice versa. The principal connection defines an Ehresmann connection on this bundle, hence a notion of parallel transport. The Cartan condition ensures that the distinguished section always moves under parallel transport.\n\n# Further properties\n\n## Curvature and torsion\n\nCurvature and torsion are the main invariants of an affine connection. As there are many equivalent ways to define the notion of an affine connection, so there are many different ways to define curvature and torsion. From the Cartan connection point of view, the curvature is the failure of the affine connection to satisfy the Maurer\u2013Cartan equation :$\\mathrm\\eta + \\tfrac12\\left[\\eta\\wedge\\eta\\right] = 0,$ where the second term on the left hand side is the wedge product using the Lie bracket of vector fields, Lie bracket in to contract the values. By expanding into the pair and using the structure of the Lie algebra , this left hand side can be expanded into the two formulae :$\\mathrm\\theta + \\omega\\wedge\\theta \\quad \\text \\quad \\mathrm\\omega + \\omega\\wedge\\omega\\,,$ where the wedge products are evaluated using matrix multiplication. The first expression is called the torsion of the connection, and the second is also called the curvature. These expressions are differential 2-forms on the total space of a frame bundle. However, they are horizontal and equivariant, and hence define tensorial objects. These can be defined directly from the induced covariant derivative on as follows. The Torsion of connection, torsion is given by the formula :$T^\\nabla\\left(X,Y\\right) = \\nabla_X Y - \\nabla_Y X - \\left[X,Y\\right].$ If the torsion vanishes, the connection is said to be ''torsion-free'' or ''symmetric''. The curvature is given by the formula :$R^\\nabla_Z = \\nabla_X\\nabla_Y Z - \\nabla_Y\\nabla_X Z - \\nabla_Z.$ Note that is the Lie bracket of vector fields :$\\left[X,Y\\right]=\\left\\left(X^j \\partial_j Y^i - Y^j \\partial_j X^i\\right\\right)\\partial_i$ in Einstein notation. This is independent of coordinate system choice and : $\\partial_i = \\left\\left(\\frac\\right\\right)_p\\,,$ the tangent vector at point of the th coordinate curve. The are a natural basis for the tangent space at point , and the the corresponding coordinates for the vector field . When both curvature and torsion vanish, the connection defines a pre-Lie algebra structure on the space of global sections of the tangent bundle.\n\n## The Levi-Civita connection\n\nIf is a Riemannian manifold then there is a unique affine connection on with the following two properties: * the connection is torsion-free, i.e., is zero, so that ; * parallel transport is an isometry, i.e., the inner products (defined using ) between tangent vectors are preserved. This connection is called the\nLevi-Civita connection In Riemannian or pseudo Riemannian geometry (in particular the Lorentzian geometry of general relativity General relativity, also known as the general theory of relativity, is the differential geometry, geometric scientific theory, theory o ...\n. The term \"symmetric\" is often used instead of torsion-free for the first property. The second condition means that the connection is a metric connection in the sense that the Riemannian metric is parallel: . For a torsion-free connection, the condition is equivalent to the identity + , \"compatibility with the metric\". In local coordinates the components of the form are called Christoffel symbols: because of the uniqueness of the Levi-Civita connection, there is a formula for these components in terms of the components of .\n\n## Geodesics\n\nSince straight lines are a concept in affine geometry, affine connections define a generalized notion of (parametrized) straight lines on any affine manifold, called affine geodesics. Abstractly, a parametric curve is a straight line if its tangent vector remains parallel and equipollent with itself when it is transported along . From the linear point of view, an affine connection distinguishes the affine geodesics in the following way: a smooth curve is an affine geodesic if is parallel transported along , that is :$\\tau_t^s\\dot\\gamma\\left(s\\right) = \\dot\\gamma\\left(t\\right)$ where is the parallel transport map defining the connection. In terms of the infinitesimal connection , the derivative of this equation implies :$\\nabla_\\dot\\gamma\\left(t\\right) = 0$ for all . Conversely, any solution of this differential equation yields a curve whose tangent vector is parallel transported along the curve. For every and every , there exists a unique affine geodesic with and and where is the maximal open interval in , containing 0, on which the geodesic is defined. This follows from the Picard\u2013Lindel\u00f6f theorem, and allows for the definition of an exponential map (Riemannian geometry), exponential map associated to the affine connection. In particular, when is a (pseudo-Riemannian manifold, pseudo-)Riemannian manifold and is the\nLevi-Civita connection In Riemannian or pseudo Riemannian geometry (in particular the Lorentzian geometry of general relativity General relativity, also known as the general theory of relativity, is the differential geometry, geometric scientific theory, theory o ...\n, then the affine geodesics are the usual geodesics of Riemannian geometry and are the locally distance minimizing curves. The geodesics defined here are sometimes called affinely parametrized, since a given straight line in determines a parametric curve through the line up to a choice of affine reparametrization , where and are constants. The tangent vector to an affine geodesic is parallel and equipollent along itself. An unparametrized geodesic, or one which is merely parallel along itself without necessarily being equipollent, need only satisfy :$\\nabla_\\dot = k\\dot$ for some function defined along . Unparametrized geodesics are often studied from the point of view of projective connections.\n\n## Development\n\nAn affine connection defines a notion of\ndevelopment Development or developing may refer to: Arts *Development hell, when a project is stuck in development *Filmmaking#Development, Filmmaking, development phase, including finance and budgeting *Development (music), the process thematic material i ...\nof curves. Intuitively, development captures the notion that if is a curve in , then the affine tangent space at may be ''rolled'' along the curve. As it does so, the marked point of contact between the tangent space and the manifold traces out a curve in this affine space: the development of . In formal terms, let be the linear parallel transport map associated to the affine connection. Then the development is the curve in starts off at 0 and is parallel to the tangent of for all time : :$\\dot_t = \\tau_t^0\\dot_t\\,,\\quad C_0 = 0.$ In particular, is a ''geodesic'' if and only if its development is an affinely parametrized straight line in .This treatment of development is from ; see section III.3 for a more geometrical treatment. See also for a thorough discussion of development in other geometrical situations.\n\n# Surface theory revisited\n\nIf is a surface in , it is easy to see that has a natural affine connection. From the linear connection point of view, the covariant derivative of a vector field is defined by differentiating the vector field, viewed as a map from to , and then projecting the result orthogonally back onto the tangent spaces of . It is easy to see that this affine connection is torsion-free. Furthermore, it is a metric connection with respect to the Riemannian metric on induced by the inner product on , hence it is the Levi-Civita connection of this metric.\n\n## Example: the unit sphere in Euclidean space\n\nLet be the usual scalar product on , and let be the unit sphere. The tangent space to at a point is naturally identified with the vector subspace of consisting of all vectors orthogonal to . It follows that a vector field on can be seen as a map which satisfies : $\\langle Y_x, x\\rangle = 0\\,, \\quad \\forall x\\in \\mathbf^2.$ Denote as the differential (Jacobian matrix) of such a map. Then we have: :Lemma. The formula ::$\\left(\\nabla_Z Y\\right)_x = \\mathrmY_x\\left(Z_x\\right) + \\langle Z_x,Y_x\\rangle x$ :defines an affine connection on with vanishing torsion. :::Proof. It is straightforward to prove that satisfies the Leibniz identity and is linear in the first variable. So all that needs to be proved here is that the map above does indeed define a tangent vector field. That is, we need to prove that for all in ::::$\\bigl\\langle\\left(\\nabla_Z Y\\right)_x,x\\bigr\\rangle = 0\\,.\\qquad \\text$ :::Consider the map ::::$\\begin f: \\mathbf^2&\\to \\mathbf\\\\ x &\\mapsto \\langle Y_x, x\\rangle\\,.\\end$ :::The map ''f'' is constant, hence its differential vanishes. In particular ::::$\\mathrmf_x\\left(Z_x\\right) = \\bigl\\langle \\left(\\mathrm Y\\right)_x\\left(Z_x\\right),x\\left(\\gamma\\text{'}\\left(t\\right)\\right)\\bigr\\rangle + \\langle Y_x, Z_x\\rangle = 0\\,.$ :::Equation 1 above follows. Q.E.D.\n\n*Atlas (topology) *Connection (mathematics) *Connection (fibred manifold) *Connection (affine bundle) *Differentiable manifold *Differential geometry *Introduction to the mathematics of general relativity *\nLevi-Civita connection In Riemannian or pseudo Riemannian geometry (in particular the Lorentzian geometry of general relativity General relativity, also known as the general theory of relativity, is the differential geometry, geometric scientific theory, theory o ...\n*List of formulas in Riemannian geometry *Riemannian geometry\n\n# References\n\n## Primary historical references\n\n* * * * * :: Cartan's treatment of affine connections as motivated by the study of relativity theory. Includes a detailed discussion of the physics of reference frames, and how the connection reflects the physical notion of transport along a worldline. * :: A more mathematically motivated account of affine connections. * . :: Affine connections from the point of view of Riemannian geometry. Robert Hermann's appendices discuss the motivation from surface theory, as well as the notion of affine connections in the modern sense of Koszul. He develops the basic properties of the differential operator \u2207, and relates them to the classical affine connections in the sense of Cartan. *\n\n## Secondary references\n\n* . :: This is the main reference for the technical details of the article. Volume 1, chapter III gives a detailed account of affine connections from the perspective of principal bundles on a manifold, parallel transport, development, geodesics, and associated differential operators. Volume 1 chapter VI gives an account of affine transformations, torsion, and the general theory of affine geodesy. Volume 2 gives a number of applications of affine connections to homogeneous spaces and complex manifolds, as well as to other assorted topics. * . * . :: Two articles by Lumiste, giving precise conditions on parallel transport maps in order that they define affine connections. They also treat curvature, torsion, and other standard topics from a classical (non-principal bundle) perspective. * . :: This fills in some of the historical details, and provides a more reader-friendly elementary account of Cartan connections in general. Appendix A elucidates the relationship between the principal connection and absolute parallelism viewpoints. Appendix B bridges the gap between the classical \"rolling\" model of affine connections, and the modern one based on principal bundles and differential operators. {{tensors Differential geometry Connection (mathematics) de:Zusammenhang (Differentialgeometrie)#Linearer Zusammenhang","date":"2022-01-27 00:11:30","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 25, \"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\": 0.835395097732544, \"perplexity\": 588.0981141819575}, \"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-2022-05\/segments\/1642320305006.68\/warc\/CC-MAIN-20220126222652-20220127012652-00233.warc.gz\"}"} | null | null |
Q: Factors of circle rotations as measure preserving systems Is there any general criterion for when two circle rotations are isomorphic (or when they are factors of one another)? Let $R_{\alpha}: S^1 \rightarrow S^1$ be defined by $R_{\alpha}(x) = x + \alpha$ (mod $1$). It's not hard to show that when $\alpha:= \frac{p}{q}, \beta:=\frac{p'}{q'} \in \Bbb Q$ then $R_{\alpha} \ncong R_{\beta}$ if $(q, q') =1$ and if $p=p'$ and $q' \ |\ q$ then $R_{\beta}$ is a factor of $R_{\alpha}$.
If $\alpha \notin \Bbb Q$ then it clearly isn't isomorphic to a rational rotation, but does it have any non-trivial factors? They can't be rational because the factors would be ergodic, but I don't see a way to show that they can't have irrational factors...
References or answers are much appreciated. Thanks in advance.
A: It is not hard to see that $R_{n\alpha}$ is a factor of $R_{\alpha}$, where $n$ is an integer. The factor map is $x\mapsto nx$. For other case we can show that the rotation $R_{\alpha}$ and $R_{\beta}$ can not be factor of each other. There are two cases, one is that $\alpha$ and $\beta$ are rationally dependent and none is an integer multiple of the other, and the other is that $\alpha$ and $\beta$ are rationally independent. We shall show the claim for the second case, and the first one is similar.
Assume the claim is false. then there exists a factor map $f:(S^1,R_{\alpha}) \to (S^1,R_{\beta})$. Then one have that $$f(x)+n\beta=f(x+n\alpha).$$ Since $\alpha$ and $\beta$ are rationally independent, then we can find a sequence $\{n_i\}$ such that $n_i\alpha \to 0$ and $n_i\beta \to \frac{1}{2}$. Then from the continuity of $f$ we have $\frac{1}{2}=0$, which is a contradiction.
| {
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Q: Nginx Http Secure Link Module not working I am using nginx secure_link to prevent video from hotlink. If main server key match remote server key. The video will able to access/watch. Otherwise if user access link directly without md5 link video return 403.
. .
The md5 key is match both main and remote. And the server time is the same.
. .
Main server (Apache) Generate link like this.
http://remote_example.com/videos/myvideo.mp4?st=E_Jb6MScgyMqjUo3eNQGkA&e=1485757614
. .
Remote server nginx config. "mypassword" is the same as which main server setup. Remote server using VestaCP panel.
location ^~ /videos/ {
alias /home/admin/web/example.com/public_html/videos;
secure_link $arg_st,$arg_e;
secure_link_md5 mypassword$uri$arg_e;
if ($secure_link = "") {
return 403; # invalid hash or direct link
}
if ($secure_link = "0") {
return 410; # link expired
}
mp4;
gzip off;
gzip_static off;
mp4_buffer_size 5m;
mp4_max_buffer_size 5m;
limit_rate_after 3m;
limit_rate 512k;
}
The server already compiled with "Http Secure Link Module". But when I use the config above and try the access the link. I can still access the mp4 file directly without md5 link. Anyone one can help to fix this problem? Would able to pay for any working solution.
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"redpajama_set_name": "RedPajamaStackExchange"
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package com.github.mustard.chatterbox.msbot.client;
import org.glassfish.jersey.client.JerseyClient;
import org.glassfish.jersey.client.JerseyClientBuilder;
import org.glassfish.jersey.jackson.JacksonFeature;
public class MSBotJerseyClientBuilder {
static JerseyClient makeClient() {
return JerseyClientBuilder.createClient()
.register(JacksonFeature.class);
}
}
| {
"redpajama_set_name": "RedPajamaGithub"
} | 2,760 |
Theodor Anton Blank, född 1905, död 1972, var en tysk politiker (CDU), försvarsminister 1955-1956 och arbets- och socialminister 1957-1965.
Blank har gett namn åt Amt Blank, föregångaren till Tysklands försvarsministerium. Blank gick med i CDU 1945 och tillhörde 1958-1969 förbundsstyrelsen. Han satt i förbundsdagen 1949-1972.
Tysklands försvarsministrar
Tysklands ministrar
CDU-politiker
Tyska förbundsdagsledamöter
Män
Födda 1905
Avlidna 1972
Storkorset av första klassen av Förbundsrepubliken Tysklands förtjänstorden | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 7,163 |
\subsection{Code Structure and Encoding}
Polar codes are based on the Kronecker product $G_N = T_2^{\otimes n}$, $N=2^n$, where $T_2$ denotes the $2 \times 2$ kernel
\begin{equation*}
T_2 = \begin{pmatrix} 1 & 0 \\ 1 & 1 \end{pmatrix} .
\end{equation*}
Let us assume an information set $\mathcal{I} \subset [N]$, $[N] = \{0,1,\ldots,N-1\}$, of size $|\mathcal{I}| = K$ and a corresponding frozen set $\mathcal{F} = [N] \backslash \mathcal{I}$ of size $|\mathcal{F}| = N-K$.
An $(N,K)$ polar code of length $N$ and dimension $K$ is then defined by the encoder $x = u \; G_N$, mapping the input vector $u \in \F2^N$ to the codeword $x \in \F2^N$, where $u_i = 0$ for $i \in \mathcal{F}$, denoting the frozen bits, and $u_i$, $i \in \mathcal{I}$, are the information bits.
Multi-kernel polar codes generalize this construction by mixing binary kernels of different sizes in the Kronecker product forming the transformation matrix.
Examples of such kernels, which are used in this paper, are
\begin{align}
\label{equ:T3_T5}
T_3 &= \begin{pmatrix} 1 & 1 & 1 \\ 1 & 0 & 1 \\ 0 & 1 & 1 \end{pmatrix}, &
T_5 &= \begin{pmatrix}
1 & 1 & 1 & 1 & 1 \\
1 & 0 & 0 & 0 & 0 \\
1 & 0 & 0 & 1 & 0 \\
1 & 1 & 1 & 0 & 0 \\
0 & 0 & 1 & 1 & 1
\end{pmatrix} .
\end{align}
The transformation matrix of a multi-kernel polar code is given by
\begin{equation}
G_N = T_{p_1} \otimes T_{p_2} \cdots \otimes T_{p_s} ,
\label{equ:GN-MK}
\end{equation}
where $T_{p_i}$, $i=1,2,\ldots,s$, denotes the kernel matrix of size $p_i \times p_i$, and kernels of same size can be used multiple times, i.e., it may be that $p_i = p_j$ for some $i,j$.
The length of the code is $N = p_1 \cdot p_2 \cdots p_s$.
Note that the ordering of the kernels in the Kronecker product is important for the frozen set design, as the Kronecker product is not commutative.
An $(N,K)$ multi-kernel polar code is defined by the transformation matrix $G_N$ and the information set $\mathcal{I}$, with corresponding frozen set $\mathcal{F} = [N] \backslash \mathcal{I}$.
Codewords $x \in \F2^N$ are generated from the input words $u \in \F2^N$ by $x = u \; G_N$, where $u_i = 0$ for $i \in \mathcal{F}$ and $u_i$, $i \in \mathcal{I}$, stores the information bits.
In \cite{mk_arxiv}, $\mathcal{I}$ is generated according to the reliabilities of the positions in the input vector $u = (u_0,u_1,\ldots,u_{N-1})$, which can be determined e.g. through density evolution \cite{DE_mori}.
In this case, the information set is composed by the $K$ most reliable positions.
Similar to polar codes, the Tanner graph of multi-kernel polar codes can be constructed.
While the Tanner graph of polar codes consists solely of $2 \times 2$ blocks, each corresponding to the kernel $T_2$, the Tanner graph of multi-kernel polar codes consists of various blocks, corresponding to the different kernels used.
The Tanner graph for the transformation matrix in \eqref{equ:GN-MK} consists of $s$ stages.
On stage $i$, there are $N/p_i$ blocks, each of size $p_i \times p_i$, corresponding to a $T_{p_i}$ kernel, with $p_i$ edges to the left and to the right.
The connections and edge permutations follow from the Kronecker product \cite{mk_arxiv}.
An example is given in Fig.~\ref{fig:G_6}, with edge-permutations indicated by dotted boxes.
\input{figures/G_6.tex}
\subsection{Decoding of Multi-Kernel Polar Codes}
Decoding of multi-kernel polar codes is performed similarly to polar codes, using successive cancellation (SC) decoding on the Tanner graph of the code \cite{mk_arxiv}, or enhanced SC-based decoding methods like SC list (SCL) decoding \cite{list_decoding}.
Log-likelihood ratios (LLRs) are passed along the Tanner graph from the right to the left, while hard decisions on decoded bits are passed from the left to the right.
The major difference to decoding of polar codes is given by the computations in the blocks corresponding to the new kernels.
\begin{figure}[bht]
\begin{center}
\begin{tikzpicture}[scale=0.2, line width=0.8pt]
\draw (0,0) rectangle (4,8) node[midway]{$T_p$};
\draw[] (-2,7) node[left] {$u_0 , \lambda_0$} -- (0,7) ;
\draw[] (-2,5) node[left] {$u_1 , \lambda_1$} -- (0,5) ;
\draw[] (-0.5,3.5) node[left] {$\vdots$} (0,3) ;
\draw[] (-2,1) node[left] {$u_{p-1} , \lambda_{p-1}$} -- (0,1) ;
\draw[] (4,7) -- (6,7) node[right] {$x_0 , L_0$} ;
\draw[] (4,5) -- (6,5) node[right] {$x_1 , L_1$} ;
\draw[] (4,3) (4.5,3.5) node[right] {$\vdots$} ;
\draw[] (4,1) -- (6,1) node[right] {$x_{p-1} , L_{p-1}$} ;
\end{tikzpicture}
\end{center}
\caption{Block in Tanner graph, corresponding to $p \times p$ kernel $T_p$.}
\label{fig:block-Tl}
\end{figure}
The notation used for the $p \times p$ block corresponding to a $T_p$ kernel is depicted in Fig.~\ref{fig:block-Tl}.
Denote $u = (u_0,u_1,\ldots,u_{p-1})$ the binary input vector to this block and $x = (x_0,x_1,\ldots,x_{p-1})$ its binary output vector.
Then we have the relationship $u \; T_p = x$, defining the update rule for the hard-decisions going from left to right.
Further denote $L_i$ the LLR of output bit $x_i$ and $\lambda_i$ the LLR of the input bit $u_i$.
The general structure of the update rule for LLRs, going from right to left, is $ \lambda_i = f( L_0 , L_1 , \ldots , L_{l-1} , \hat{u}_0 , \hat{u}_1 , \ldots, \hat{u}_{i-1} )$, i.e., all LLRs $L_j$ and only previous hard-decisions (estimates) $\hat{u}_j$ may be used for the computation, following the SC principle.
The corresponding LLR calculations for $T_2$ from \cite{polar} are
\begin{align*}
\lambda_0 &= L_0 \boxplus L_1 , \\
\lambda_1 &= (-1)^{u_0} \cdot L_0 + L_1,
\end{align*}
for $T_3$ depicted in (\ref{equ:T3_T5}), from \cite{mk_arxiv}, are
\begin{align*}
\lambda_0 &= L_0 \boxplus L_1 \boxplus L_2 , \\
\lambda_1 &= (-1)^{u_0} \cdot L_0 + L_1 \boxplus L_2 , \\
\lambda_2 &= (-1)^{u_0} \cdot L_1 + (-1)^{u_0 \oplus u_1} \cdot L_2 ,
\end{align*}
and for $T_5$ in (\ref{equ:T3_T5}), presented here for the first time, are
\begin{align*}
\lambda_0 &= L_1 \boxplus L_2 \boxplus L_4 , \\[1ex]
\lambda_1 &= (-1)^{\hat{u}_0} \cdot ( L_0 \boxplus (L_2 + (L_1 \boxplus L_4)) \boxplus L_3 ) , \\[1ex]
\lambda_2 &= (-1)^{\hat{u}_1 } \cdot ( L_0 \boxplus L_1 ) + ( L_3 \boxplus L_4 ) , \\[1ex]
\lambda_3 &= (-1)^{\hat{u}_0 \oplus \hat{u}_1 \oplus \hat{u}_2} \cdot L_0 + (-1)^{\hat{u}_0} \cdot L_1 + ( L_2 \boxplus (L_3 + L_4) ) , \\[1ex]
\lambda_4 &= (-1)^{\hat{u}_0 \oplus \hat{u}_3} \cdot L_2 + (-1)^{\hat{u}_0 \oplus \hat{u}_2} \cdot L_3 + (-1)^{\hat{u}_0} \cdot L_4 .
\end{align*}
The boxplus operator for two LLRs $a$ and $b$ may be evaluated exactly as $ a \boxplus b = 2 \tanh^{-1} \bigl( \tanh\frac{a}{2} \cdot \tanh\frac{b}{2} \bigr)$ or approximately as $ a \boxplus b \approx \sgn a \cdot \sgn b \cdot \min\{|a|,|b|\}$; the extension to multiple LLRs is as usual. For other kernels similar LLR update equations can be derived \cite{arb_ker}.
In the next section, we will show that the presented kernels $T_3$ and $T_5$ permit to construct multi-kernel polar codes with good minimum distance.
\subsection{Minimum-Distance Spectrum}
In the following, we will determine the minimum distance $d$ achievable by a code generated by selecting $K$ rows of a transformation matrix $G_N$.
More formally, we define the \emph{minimum-distance spectrum} $S_{G_N}$ of the transformation matrix $G_N$ to be the mapping from dimension $K$ to the maximal minimum distance $d$ achievable by selecting an information set $\mathcal{I}$ of size $K$, i.e., $S_{G_N}(K)$ is the largest minimum distance achievable by an $(N,K)$ multi-kernel polar code derived from the transformation matrix $G_N$.
Finding the minimum-distance spectrum of a code is in general a complex task, which may be accomplished e.g. by an exhaustive search.
Under certain constraints, however, the minimum-distance spectrum of a multi-kernel polar code can be easily calculated based on the minimum-distance spectra of its building kernels.
In fact, for polar codes,
\begin{equation*}
S_{T_2^{\otimes n}} = \sort([2 \quad 1]^{\otimes n}) ,
\end{equation*}
where $\sort(x)$ is the vector $x$ sorted in decreasing order, since polar codes have the same transformation matrix as Reed-Muller codes.
In the following, we prove that a similar property holds for multi-kernel polar codes, allowing one to calculate the minimum-distance spectrum of the transformation matrix $G_N$ using the Kronecker product of the spectra of the kernels composing it.
\begin{prop}[Minimum-distance spectrum]
\label{prop:spectrum} \rule{1ex}{0ex}\\
If $G_N = T_2^{\otimes n} \otimes T_p$, then $S_{G_N} = \sort(S_{T_2^{\otimes n}} \otimes S_{T_p})$.
\begin{proof}
The proposition is proved by induction on the number $n$ of $T_2$ kernels employed in the transformation matrix $G_N$.
The property obviously holds for $n=0$, and by inductive hypothesis we suppose that $S_{G_{N/2}} = \sort(S_{T_2^{\otimes n-1}} \otimes S_{T_p})$ given $G_{N/2} = T_2^{\otimes n-1} \otimes T_p$.
Given the transformation matrix $G_N = T_2^{\otimes n} \otimes T_p = \tiny\begin{pmatrix} G_{N/2} & 0 \\ G_{N/2} & G_{N/2} \end{pmatrix}$, this matrix can be divided into two parts, an upper matrix $G^U = [G_{N/2} | \mathbf{0}]$ and a lower matrix $G_L = [G_{N/2} |G_{N/2} ]$, for which $S_{G^U} = S_{G_{N/2}}$ and $S_{G^L} = 2 S_{G_{N/2}}$.
Given $V = \sort(S_{T_2^{\otimes n}} \otimes S_{T_p})$, the goal of the proof is to show that $S_{G_N} = V$, i.e., that for every dimension $K$, there exists a subset of $K$ rows of $G_N$ such that the span of these rows has minimum distance $V(K)$.
To do that, for every $K$ we show how to construct a sub-matrix of $G_N$ for which all the vectors of its span have Hamming weight not smaller than $V(K)$.
In fact, by construction, for every $K$ there exist two integers $K^U$ and $K^L$ such that $K^U + K^L = K$, and two sub-matrices $G_A^U$ and $G_B^L$, formed by $K^U$ rows of $G^U$ and by $K^L$ rows of $G^L$ respectively, such that $S_{G_A^U}(K^U) \geq V(K)$ and $S_{G_B^L}(K^L) \geq V(K)$.
To end the proof, it is sufficient to use the distance property of the classical $(u | u+v)$ construction \cite{McW-Sloane} to verify that the code generated by $G_{A,B} = \left[ \frac{G_A^U}{G_B^L} \right]$ has minimum distance $\min(S_{G_A^U}(K),S_{G_B^L}(K)) = V(K)$.
\end{proof}
\end{prop}
The proposition shows how to exploit the spectra of the building kernels to evaluate the minimum-distance spectrum of the multi-kernel polar code.
Moreover, the constructive nature of the proof suggests a greedy technique to build multi-kernel polar codes with optimal minimum distance.
Before describing the algorithm in detail, in the following section we present kernel design principles leading to codes with good minimum distance spectra.
\subsection{Kernel Design}
For polar codes, kernels are usually designed to maximize the polarization effect on the input bits of the transformation $G_N$, and the information positions are then selected in reliability order.
For short codes, however, the polarization effect is far less important than distances of the code, and kernels should be designed taking this aspect into account.
Different kernels have different spectra, while polar codes are limited by the spectrum of the kernel $T_2$.
Multi-kernel polar codes permit to create codes of desired minimum distance by changing the kernels composing the transformation matrix.
If the kernels are designed properly, the information set can then be selected such that a large minimum distance is achieved for the desired length and dimension.
As an example, consider the $T_3$ kernel depicted in (\ref{equ:T3_T5}), introduced in \cite{mk_arxiv}, and its minimum-distance spectrum.
For the information set of size 1, one row has to be selected: in order to maximize the minimum distance, the first row, $(1 \; 1 \; 1)$, is selected, giving minimum distance 3; any other row selection would result in a smaller minimum distance, namely 2.
For the information set of size 2, the last two rows, $(1 \; 0 \; 1)$ and $(0 \; 1 \; 1)$, are selected, generating a code of minimum distance 2; any other row selection would result in a smaller minimum distance.
Finally, for a code of dimension 3, all rows have to be selected, resulting in a code of minimum distance 1.
$T_3$ thus has the minimum-distance spectrum $S_{T_3}=(3,2,1)$.
As opposed to that, the construction by reliability selects the last row for dimension 1, the last two rows for dimension 2, and all rows for dimension 3; this gives minimum-distance spectrum $(2,2,1)$.
The proposed $T_5$ kernel presents a similar behavior, with minimum-distance spectrum $S_{T_5}=(5,3,2,1,1)$.
\subsection{Greedy Row-Selection Algorithm}
In the previous sections, we described how to calculate the minimum-distance spectrum of the transformation matrix of a certain class of multi-kernel polar codes.
The scope of this section is to describe how to determine the actual information set that achieves this minimum distance.
As for the minimum-distance spectrum itself, this may be accomplished by an exhaustive search, which in general will be very complex.
The proof of Proposition~\ref{prop:spectrum}, however, gives an insight on how to select rows of $G_N$ to achieve the minimum-distance spectrum.
In the following we describe a greedy algorithm able to accomplish this task; the pseudo code is provided in Algorithm~\ref{algo}.
Since the algorithm is based on Proposition~\ref{prop:spectrum}, it finds an optimal solution if only one kernel of size larger than 2 is used in the construction, and this kernel is the last term in the Kronecker product.
The algorithm may as well be applied in the case of multiple kernels of size larger than 2, also at the end of the Kronecker product, by treating the Kronecker product of these kernels as one large kernel, for which the minimum-distance spectrum has to be determined before the algorithm is applied.
Given a transformation matrix $G_N = T_2^{\otimes n} \otimes T_p$, we assume the kernel $T_p$ to have minimum-distance spectrum $S_{T_p}= (d_p (1), \cdots, d_p (p))$, where $d_p (k)$ is the minimum distance of the code of dimension $k$.
The list $I^k = \{i^k_1,\dots,i^k_k\}$ is associated to every entry $d_p (k)$ of the spectrum, collecting the indices of the $k$ rows of $T_p$ giving the optimal minimum distance of the kernel.
To begin with, the vector $r_N = (2,1)^{\otimes n} \otimes S_{T_p}$ is created.
This vector is an unsorted version of the minimum-distance spectrum, collecting the minimum achievable distances of each part of $G_N$.
For a code of dimension $K$, at each step the algorithm adds sequentially one row index to the information set $\mathcal{I}$, which is initially empty.
At each step, the position $l$, with $l = 0,\dots,N-1$, of the last largest entry in $r_N$ is found, and $r_N (l)$ is set to zero.
After that, the value $c = (l \: \text{mod} \: p)+1$ and $q = l-c+1$ are calculated, giving the row position within the kernel and the row index in the transformation matrix where the corresponding kernel starts, respectively.
In fact, since in $S_{T_p}$ the distances are sorted in descending order, we know that $\{i^{c}_1+q,\dots,i^{c}_{c}+q\} \subset \mathcal{I}$.
The algorithm deletes these $c$ indices belonging to $I^{c}$, substituting them with the $c+1$ indices given by $I^{c+1}$; by the constructive proof of Proposition~\ref{prop:spectrum}, we know that the resulting code has the desired minimum distance.
Of course, if $c=0$, no rows of that part of the matrix are already in the information set, and therefore no information indices are deleted.
In practice, at each step the information set is updated as $\mathcal{I} = \mathcal{I} \setminus \{i^{c}_1+q,\dots,i^{c}_{c}+q\} \cup \{i^{c+1}_1+q,\dots,i^{c+1}_{c+1}+q\}$.
The algorithm stops when $\mathcal{I}$ includes $K$ elements.
The remaining $N-K$ indices compose the frozen set $\mathcal{F}$.
\begin{algorithm}[htb]
\caption{Information set to maximize minimum distance} \label{algo}
\begin{algorithmic}[1]
\State $\text{Initialize the set } \mathcal{I} = 0$
\State $\text{Load } N \text{-vector } r_N$
\State $\text{Load } j \text{-vectors } I^j, \quad j = 1 \dots p$
\For{$k = 1 \dots K$}
\State $l = \text{argmax} (r_N)$
\State $c = (l \: \text{mod} \: p)+1$
\State $q = l-c+1$
\State $r_N(l) = 0$
\If{$c>1$}
\State $\mathcal{I} = \mathcal{I} \setminus \{i^{c}_1+q,\dots,i^{c}_{c}+q\} \cup \{i^{c+1}_1+q,\dots,i^{c+1}_{c+1}+q\}$
\Else
\State $\mathcal{I} = \mathcal{I} \cup \{i^{1}_1\}$
\EndIf
\EndFor
\end{algorithmic}
\end{algorithm}
\subsection{Construction Example}
To illustrate our construction, in the following we describe the minimum distance design of a multi-kernel polar code of length $N = 6$ depicted in Fig.~\ref{fig:G_6} with transformation matrix
\begin{displaymath}
G_6 = T_2 \otimes T_3
= \begin{pmatrix}
T_3 & 0 \\ T_3 & T_3
\end{pmatrix}
= \begin{pmatrix} 1 & 1 & 1 & 0 & 0 & 0 \\
1 & 0 & 1 & 0 & 0 & 0\\
0 & 1 & 1 & 0 & 0 & 0\\
1 & 1 & 1 & 1 & 1 & 1\\
1 & 0 & 1 & 1 & 0& 1 \\
0 & 1 & 1 & 0 & 1& 1 \\
\end{pmatrix} .
\end{displaymath}
For the described kernel of size 3, we have that $S_{T_3} = (3,2,1)$ with $\mathcal{I}_{T_3}(1) = \{0\}$, $\mathcal{I}_{T_3}(2) = \{1,2\}$ and obviously $\mathcal{I}_{T_3}(3) = \{0,1,2\}$.
The minimum-distance spectrum is given by $S_{G_6} = \sort((2,1) \otimes S_{T_3}) = (6,4,3,2,2,1)$; consequently, $r_6 = (3,2,1,6,4,2)$.
It is worth noticing that the minimum-distance spectrum of the reliability construction is $(4,4,2,2,2,1)$.
If a rate 1/2 code has to be designed, the positions of the $K=3$ information bits are needed.
The information set $\mathcal{I}$ is initially empty.
At the first step, $l=3$, hence $c=0$ and $q=3$; since $c=0$, no entries of $\mathcal{I}$ have to be deleted, and $\mathcal{I} = \{3\}$.
At the second step, $l=4$, so $c=1$ and $q=3$; the information set is calculated as $\mathcal{I} = \mathcal{I} \setminus \{3\} \cup \{4,5\} = \{4,5\}$.
Finally, at the third step $l=0$, and the resulting information set is $\mathcal{I} = \{4,5\} \cup \{0\} = \{0,4,5\}$.
A comparison of the information sets calculated by the proposed algorithm following the distance criterion and the one resulting from the reliability order is presented in Table~\ref{table:comparison} for various dimensions $K$.
We observe that the proposed design always outperforms the reliability-based designs in terms of minimum distance, or performs identically when the reliability-based construction is equivalent to the minimum-distance based construction.
\begin{table}[h]
\begin{center}
\resizebox{8.5cm}{!}{
\begin{tabular}{| c | c | c | c | c |}
\hline
& Rate & $1/6$ & $2/6$ & $3/6$ \\ \hline
Reliability & Information Set & $u_5$ & $(u_4,u_5)$ & $(u_2,u_4,u_5)$ \\
Design & Minimum Distance & 4 & 4 & 2 \\ \hline
Distance & Information Set & $u_3$ & $(u_4,u_5)$ & $(u_0,u_4,u_5)$ \\
Design & Minimum Distance & \bf{6} & 4 & \bf{3} \\ \hline
\end{tabular}}
\end{center}
\caption[]{Comparison of minimum distances for $N=6$.}
\label{table:comparison}
\end{table}
\section{Introduction}
\label{sec:intro}
\input{introduction.tex}
\section{Multi-Kernel Polar Codes}
\label{sec:model}
\input{construction.tex}
\section{Design for Minimum-Distance}
\label{sec:design}
\input{design.tex}
\section{Numerical Illustrations}
\label{sec:num}
\input{numerical_illustrations.tex}
\section{Conclusions}
\label{sec:conclusions}
\input{future_work.tex}
\bibliographystyle{IEEEbib}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 4,407 |
Oragon!
Some reflections on contemporary socio-political realities and issues!
Hunger Striking Farmers and Bishops Rebuke Joint Resolution on CARP Extension
Emancipate Farmers from the Gridlock of Political Indecision:
(A Statement Issued by the Hunger Striking Farmers and Bishops)
The hunger striking farmers and bishops are united in their analysis and rejection of the joint resolution being proposed by the House of Representatives and the Senate. The farmers and bishops are not swayed by this palliative measure which contravenes the Constitution and does not respond to the call of the farmers.
The said resolution supposedly resolves to maintain "the status quo" on the implementation of the Comprehensive Agrarian Reform Law as "its effectiveness extends until June 30, 2009". Setting an expiration date for the CARL is contrary to the constitutional mandate on the continuous implementation of the agrarian reform program until all agricultural lands in the country are covered and distributed to the landless farmers. Neither a resolution nor a law can terminate a program mandated by the Constitution. The Joint Resolution shows the pale resolve of our legislators to perform their mandate. It clearly exposes that the vested interests of the landed in government take precedence over the Constitution and the welfare of the farmers and over national accord.
While the Joint Resolution seeks to extend the implementation of land acquisition and distribution, it does not provide any funds for agrarian reform implementation aside from what is provided in the proposed 2009 National Budget. Without the Agrarian Reform Fund (ARF), the GAA budget is too limited even for a minimal acquisition and distribution of land under CARP. The farmers and bishops demand a more definite decision of extending financial support for CARP and institutionalizing needed reforms which are provided in HB 4077 and SB 2666.
It is ironic how the legislators complain about defective program implementation when the effective implementation of CARP had been historically blocked by interests of influential landowners, among who are members of Congress. The legislators cannot repeatedly ignore the command of the people and the law. They should not be allowed to feign blamelessness and claim non-accountability. Had they willed to do so, the legislators could have studied and incorporated the amendments proposed by the farmers during the past six months. They already bought time the last instance they proposed a similar resolution in June. As expected, such bogus measure resulted in the cessation of all land acquisition and distribution processes as the Department of Agrarian Reform could not boldly implement the very core of this supposed centerpiece program of the government.
What makes this second attempt different from the previous one such that it will suddenly ensure that the DAR will continue fulfilling its duty? The only difference is that this time things are worse as some legislators contemptuously insist on striking down compulsory acquisition without which the program will be at the mercy of landowner volunteerism. As such, CARP would be rendered virtually futile. The very reason for the need to reinforce CARP is the recalcitrance of owners of big landholdings—mostly families of powerful public officials- and the lack of support services to fuel agricultural production.
How could the legislators claim that they need material time to "study and generate consensus on appropriate amendments" and at the same time insist on eliminating the most critical components of the program? Do the legislators think they can convince the farmers that this resolution is being proposed to better the program and not to facilitate its termination? Do the legislators think the bishops cannot perceive that this measure is nothing but a quick fix meant to mislead? The Joint resolution is obviously being devised to merely placate the hunger strikers who demand accountability from the legislators who failed to take decisive action on the CARP extension with reforms in the last six months.
The farmers are convinced that the consensus the legislators contemplate is obviously that which will be acceptable to the landowners' bloc. The bishops discern that what is lacking in this situation is not material time but compelling resolve. And such resolve will not ferment in six months or a year. Such consensus ought not to be the consideration; it is the farmers' predicament which is of concern. In the final analysis, what is inevitable and what would surpass all this filibustering is the imperative of responding to the farmers who feed our nation, fulfilling the constitutional fiat and the policy behind agrarian reform. For the hunger strikers, the problem is not lack of material time but the acute lack of political will and resolve from the country's political leadership to ensure the compliance to the Constitutional mandate of pursuing agrarian reform until its completion.
The agrarian reform program was enshrined in the Constitution to address poverty and promote food security. It is a revolutionary and comprehensive measure which caters to the poor and will never see fulfillment unless the implementers of the law are forced to will themselves to submit to it. The legislators have been given sufficient time to respond and yet we find ourselves at this standstill yet again. It is high time to rouse them to action, to give them reason to accede to the imposition of law and national conscience.
Anti-chacha mobilization in Naga City
BUSINA LABAN SA CHACHA! BUSINA PARA SA DEMOKRASYA!
COALITION FOR A CITIZENS CONSTITUTION (C4CC-NAGA CITY)
Assembly of participants: Social Action Center, Liboton St.
Motorcade to Plaza
BUSINA sa PLAZA
Motorcade to Liboton
Planning/dinner of C4CC core group
CITIZENS ACT NOW!
Stop the War, Stop Charter Change, Fight Martial Law and Term Extension!
WE, the Coalition for a Citizens' Constitution(C4CC), a national coalition composed of at least 3,000 non-government and peoples organizations implementing programs for and working with the basic sectors all over the country;
DEEPLY CONCERNED about the escalation of violence and war between the government and MILF forces in Central Mindanao due to the collapse of the peace talks after the aborted signing of the Memorandum on Agreement on Ancestral Domain (MOA-AD) killing scores and pushing half a million innocent civilians into evacuation centers deprived of food and other basic services;
WORRIED that the current efforts in Congress to speedily convene itself into a Constituent Assembly to revise the 1987 Constitution even without the Senate's concurrence would result to self-serving changes such as the consolidation of power of the President and existing government officials and the extension of their respective terms in office;
UNDERSTANDING that fears for a Martial Law declaration also to extend the term of Mrs. GMA may not be totally unfounded given the current strong influence of Mrs. GMA in Congress and the Supreme Court and the increasing number of possible justifications for such as the raging war in Mindanao and the potential economic recession and depression;
AWARE that these worsening political and economic crises besetting the country are happening amidst the lingering legitimacy issue and fight for political survival and relevance of Mrs. GMA;
JOINTLY AND STRONGLY CALL:
ON THE GOVERNMENT AND THE MILF FORCES
-to immediately stop the war and any act that would worsen the situation,
-go back to the negotiating table and;
-undertake broader stakeholders consultations on the content of the peace settlements to include the indigenous peoples, small farmers and fishers and the urban poor, among others;
ON BOTH HOUSES OF CONGRESS
-to stop all efforts to change the Constitution before the elections in 2010;
ON THE FILIPINO PEOPLE
-to remain vigilant, educate ourselves, organize, and mobilize in a massive active non-violent expression of people power to
STOP THE WAR IN MINDANAO!
STOP CHARTER CHANGE BEFORE 2010 ELECTIONS;
FIGHT MARTIAL LAW and TERM EXTENSION!
Coalition for a Citizens' Constitution
C4CC in Naga City
The Coalition for a Citizens Constitution(C4CC)partnered with
the Naga City Government and the Naga City Peoples Council to do an
orientation and update on charter change(CHACHA) for the city's youth
The YOUTH FORUM ON CHARTER CHANGE will be conducted 1-5pm on Saturday, 18
October 2008, at the Naga City Youth Center. Among the speakers are
Naga City Mayor Jesse Robredo and Mr. Renne Gumba of the ADNU
Institute of Politics. Expected to participate are around 500 youth
leaders representing the Sangguniang Kabataan, community youth
organizations, and student governments of schools and universities in
Naga City.
The Mindanao Situation and Charter Change
A.The BANGSAMORO struggle
The situation in Mindanao is a complex experience of economic, political, and demographic factors flowing into a social context of cultural and ethnic diversity. Professor Randy David aptly describe the situation when he did an article on the Mindanao situation using sociological concepts: "The Bangsamoro problem is entangled in so many historical, legal, cultural and political questions that it is irresponsible to talk about it in a simplistic way. Every attempt to capture the issues in a single frame is bound to inflame passions and exacerbate prejudices. Reason demands that we step back and attempt to sort out the issues."
To further understand the emergence of this situation in Mindanao, Archbishop Orlando Quevedo, OMI of the Archdiocese of Cotabato outlined the historical developments which lead to the present realities in Mindanao: (1.)Islam arrived in the Philippines 200 years before Christianity arrived. Eventually and before the Spaniards came a regime of sultans began. From that time on the Bangsamoro people have asserted and exercised self-determination and sovereignty over their ancestral domain, until the effective political power of the sultanates faded away. The Bangsamoro people came under the control of the Americans. The ancestral domain of the Bangsamoro people became public domain. (2.) But even when the Americans gave independence to the Philippine, many of the Bangsamoro people continued government. Successive waves of migrants from the Visayas and Luzon in the 1900s, authorized by a series of public laws, gained land titles in the form of torrens titles as against the native titles of the Bangsamoro people. (3.)The population pattern in Mindanao significantly changed from the 1920s to the 1960s. In the 1930s the great majority of Mindanao people were Muslims and Indigenous Peoples (IP), with a small minority of Christians. By the time the waves of migrations ended in the 1960s, Christians constituted the great majority of Minadanao people, with a minority of Muslims and IPs. In other words the Bangsamoro bacame a minority in their own ancestral domain. Difference in concepts regarding land ownership also contributed to these major changes in the ancestral Bangsamoro ancestral domain.
It is within this historical context and contemporary social complex that the Bangsamoro people sought to regain their ancestral domain. In the proposed MOA-AD, Bangsamoro refer to "those who are natives or original inhabitants of Mindanao and its adjacent islands including Palawan and the Sulu archipelago at the time of conquest or colonization and their descendants whether mixed or full native blood." Spouses and descendants, including the Lumads (indigenous peoples), under the agreement, are also classified as Bangsamoro "unless they choose otherwise." They are the 'First Nation' with defined territory and with a system of government having entered into treaties of amity and commerce with foreign nations,"
The struggle over ownership and control of the rich terrain of Mindanao continues. Such struggle has included both armed fighting and negotiating for sustainable peace.
B. The peace process in Mindanao
The prolonged armed conflict in Mindanao has been depicted in various ways: either as ideological/political war, religious war, ethnic/clan war, or even a combination of all. As a political war, it is sometimes viewed as the struggle to attain independence from colonizers including those from "Imperial Manila". The conflict is sometimes also viewed as a battle between the Muslims and the Christian settlers who have driven them away from their land. There are also instances when the conflict is viewed as a war among competing clans vying for political spoils or vengeance. But the different perspectives simply underlined the persistent conflict in the island.
Given the persistent armed confrontations, several initiatives to attain peace have been undertaken, both in the domestic and international arena. To cite some, the Mindanao Peace Solidarity, an advocacy network of local government units, non-government and peoples organization in Mindanao identified the following milestones in peace-building efforts: (1.) 1976 Tripoli Agreement – An agreement to create autonomous region in Mindanao, including 13 provinces and 9 cities as possible areas under the autonomous region. The creation of the Autnonomous Region will follow the Constitutional process. This agreement was signed on December 23, 1976 with the help of Libya and Organization of the Islamic Conference (OIC). (2.) 1996 GRP-MNLF agreement - It provided for the present Autonomous Region in Muslim Mindanao (ARMM) and its coverage area. It also created the transitory mechanisms (SPCPD and Consultative Council, SZOPAD) for development. The agreement was Signed in Manila on September 2, 1996 with the help of Indonesia and OIC. (3.)The GRP-MILF Peace Talk – The formal talks with MILF was initiated by former Sec. Ruben Torres in December 1997 upon instructions from Pres. FVR; followed by the signing of a truce between MILF-GRP. In 2000, Erap launched all-out war against MILF and openly insulted Muslims by roasting pigs in Camp Abubakar. In March 24, 2001, the Tripoli Peace Agreement was signed calling for a General Framework for the Resumption of Talks between GRP-MILF. In Feb-March 2003, PGMA launched an attack in the Buliok Complex, the new HQ of the MILF resulting to renewed hostilities.Truce was again declared and both GRP-MILF established the Joint Ceasefire Monitoring committee and calling for the establishment of the International Monitoring Team led by Malaysia.
It is within the latest GRP-MILF peace talk that the Memorandum of Agreement on Ancestral Domain (MOA-AD) was drafted and finalized. After almost twelve years of fighting, the document purports to recognize the aspirations of more that eight million Muslims and indigenous people of Mindanao.
C. The Memorandum of Agreement on Ancestral Domain (MOA-AD)
The MOA-AD is an agreement of the GRP-MILF signed last 27 July 2008 in Kuala Lumpur, Malaysia by Mohaqher Iqbal of the MILF negotiating panel and Mr. Rodolfo Garcia, head of the government negotiating panel and Secretary Hermogenes Esperon of the Office of the presidential Adviser on the Peace Process. The signing was witnessed by the Malaysian special adviser to the Prime Minister.
In general, the document aimed to to define/recognize/undertake the following: (1)defined the Bangsamor people, (2)outlined their territory and the resources therein, guided by the Bangsamoro claim on ancestral domain;(3)provided for the government structure and sovereignty; (4)laid out timeframe and conditions for the completion of a Comprehensive Compact, including the conduct of a plebiscite and eventual referendum. Many of the provisions in the agreement are premised on the introduction of changes to the 1987 Philippine Constitution and amendments to the Organic Act of Muslim Mindanao.
After the signing by both panels in Malaysia, and when the provisions of the agreement reached the public, there was immediate public uproar over the alleged secrecy. A case challenging the constitutionality of the agreement, and a petition for Temporary Restraining Order (TRO) which was eventually granted, was filed in the Supreme Court by local government officials from Mindanao and several national leaders including Senator Mar Roxas and former Senator Frank Drilon.
The issuance of the TRO, and the GMA administrations decision to abide by it, prompted outrage by some MILF leaders. This eventually led to the attach on several towns in Minadanao, to the continuing battle between the rebels and government forces, and to the displacement of thousands of families because of the continuing armed conflict. The situation has prompted Malacanang Palace to announce that it will be reviewing its decision to sign the MOA-AD.
II.Issues Involved
A.In the Mindanao Situation:
1. Perspectives on the Bangsamoro Struggle and the MOA-AD: paradigms, nation-building, constitutionality, and the peace process
The proposed MOA-AD attempted to steer the peace process towards the recognition of a fundamental element in the prolonged armed conflict: the Bangsamoro claim over their ancestral land. Technically, the document is upholding the Bangsamoro claim, even in a limited sense, over ancestral domain. But it must be noted that Mindanao at the moment is populated by the Christians, Muslims, and the indigenous peoples known as Lumads. These phenomenon is more often called the tri-people character of Mindanao. There are distinct differences in the paradigms or world view among these people, each group having their distinctive way of looking at realities around them. A classic case would be that on land ownership. The Christians would look at it in terms of land titles and the corresponding rights it gives to the owner. Muslims and the lumads however would rather look at it from the point of view of ancestral ownership. It is not surprising then that Christians would be up in arms against the perceived taking of what is "rightfully" theirs, as shown by land titles and several generations of their families having occupied the land. Nor will it be surprising that several lumad organizations are now coming out to speak against the proposed MOA-AD. They are claiming that if the Muslims can claim ancestral domain, so can the lumads. In fact, they were in the island long before Islam came into the territory.
Even as the MOA-AD predicament is uncertain because of public pronouncement of the Philippine government to review the decision to sign it, the document still deserved closer scrutiny. The impact and implications of the issues it triggered are too grave to be ignored. Whether it is a boon or bane will depend on whose talking and what perspective is used. For the Bangsamoro, the agreement would have signified a limited advancement in their struggle to regain ancestral domain. As cited by the U.P.-based Center for People Empowerment in Governance (CENPEG): "The MILF views the MOA as step forward for the Bangsamoro goal of self-determination. Its leaders can always invoke the general concepts and principles of the MOA-AD to pursue the MILF'S political goal more so if they choose to declare unilaterally a separate state later on." But for others, the MOA signified an arrogance and abuse of discretion by the government negotiating panel. Atty Barry Guttieres pointed out: "What is bothersome about the current situation is that apparently the negotiations was conducted without recognizing the conditional nature of certain points contained in the agreement...And perhaps this is one point where the GRP panel can be called to task – for failing to adequately delimit the actual parameters of its authority to negotiate."
The question of whether the agreement is constitutional or not would also have contending views. Senator Mar Roxas argued that it is unconstitutional: "This MoA initialed and sought to be formalized, in Malaysia, violates at least three major articles of our Constitution. Unang pahina pa lang, hindi na papasa ito sa ating Saligang Batas. Rather than respect our national territory, this MoA breaks it up into already smaller bits. Rather than uphold the ideal that all government authority emanates from the people, the government had the gall to enter into an agreement that would partition our country, and create a state within a state, all without prior consultation with the people of Mindanao, or with the people in the rest of the country. It had the gall to shroud this agreement in secrecy. Rather than uphold one sovereign people enjoying the equal protection of law, the MOA effectively splits the citizenry in two, each clothed with differing political and economic standards." But Atty. Soliman Santos, a Bicolano human rights lawyer countered: 'To seek constitutional change and reform has not usually been treated as unconstitutional, except it seems when it has to do with the Moro question." And Fr. Joaquin Bernas, S.J., a prominent constitutional expert clarified: "MOA is not a done deal: elaborate collection of "wish list" of those who want to revise the Organic Act of Muslim Mindanao and event the Constitution...But amendment proposals cannot be illegal and much less unconstitutional"
2. On the Peace Process
Thus the main issue now is what will bring lasting peace in Mindanao. Cotabato Archbishop Quevedo is convinced that the MOA-AD can lead to lasting peace: "But the MOA-AD, no matter how one looks at it, is a remarkable document. It is a very serious attempt to balance national sovereignty and Bangsamoro aspirations for self-determination and freedom. For this reason, I believe that the MOA-AD can bring lasting peace." Unfortunately, Macanang Palace is now rethinking the decision to sign it because of the recent atrocities committed by renegade MILF troops.
Allegations of abuse and indiscretion against the government panel is starting to surface. Mr. Mon Casiple of the Institute for Political and Electoral Reforms observed:"Where did the President and her negotiators got their authority to promise what they cannot give?...If what they are thinking of doing is to change the 1987 Constitution in order to shift the Philippine state from its current unitary system to a federal state system with local states, then they are putting the cart before the horse. They should do this before negotiating on a federal framework for the peace process".
With the current peace process being haunted by difficulties in the national political landscape, particularly the spectre of its being used to compel charter change and extend Arroyo's term, the tendency to rely on the military solution is expected from the government side. But several organizations have spoken openly against military solutions, and called for a broader dialogue. They argue that the other stakeholders must be involved in the peace process, going beyond the emphasis of peace process on the armed groups. Special attention must be given to the marginalized sectors, such as women and children who suffered most in the present situation.
Unfortunately, while no effective strategy is being adopted and no decisive action is undertaken, the number of civilians displaced by the on-going battle in several areas of Mindanao will continue to increase. The situation in Lanao del Norte, Maguindanao, Shariff Kabunsuan, North Cotabato , Sarangani, Basilan and other areas of conflict may turn out to be extremely serious humanitarian problem.
B. Charter Change
1. Federalism will bring lasting peace in Mindanao?
Many of the provisions in the MOA-AD will require changes in the 1987 Philippine Consitution to be viable and do-able. For example, the establishment of the BJE will entail a set up akin to federalism, wherein the Bangsamoro will be one state in a federal system. Thus, with the MO-AD being peddled as the blueprint for peace in Mindanao and charter change as the tool to implement that blueprint, the government was quick to play it up and push for federalism and charter change.
Unfortunately, many sectors felt that the situation is not right and the process is so hurried. Thus, instead of focusing on intelligent discourse on the impact of a political set up such as federalism to the persistent armed conflict in Mindanao, critical awareness, inherent caution and even paranoia prompted strong opposition to any discussion of charter change. Such public reaction effective exclude significant discussion on the viability of federalism as a solution to the persistent armed conflict in Mindanao.
It is thus unfortunate that intelligent discourse on alternatives and proposed structural changes in Mindanao is effectively hampered by political considerations.
2. When do we introduce changes in the 1987 Philippine Constitution?
Several provisions in the present Constitution have been identified for possible changes. Among these are the form of government and economic provisions. But as important as the substantial changes being proposed is the debate on the timing for initiating these changes.
There are several options being floated among those who seek structural reforms through charter change. Majority of the legislators seem to have attained consensus on the matter of transforming themselves into a constituent assembly to work immediately on the changes to be proposed in the 1987 Philippine Constitution, allegedly taking into consideration the urgency of the situation in Mindanao. In fact, there are pending bills in the Senate and in the House of Representatives proposing the immediate constitution of a constituent assembly.
But civil society organizations, religious groups, and even the business sector seem to agree on the position that charter change may be undertaken only after GMA is out of Malacanang Palace. From their point of view, it is imperative that discussions about changes in the Philippine Constitution be undertaken only at the right time and in the right situation. It must neither be used for political gains or for entrenching local elites. Charter change must be a tool for broader citizen participation and empowerment of the basic sectors of society.
3. If changes will be made, how will it be done?
Another persistent issue related to charter change is the mode of introducing change. Although the Constitution provides for three options, the more prominent options being considered are Constituent Assembly and Constitutional Convention. This is probably because of the difficulties encountered by those who previously attempted to initiate charter change through peoples initiative.
Constitutional Convention, though admittedly more costly, is more popular among the citizens because people get to elect their delegates to the body that will deliberate on the proposed changes. The other option, Constituent Assembly (which converts the Senate and House of Representatives into deliberative body for charter change), is less attractive because of the perceived political and partisan interests already displayed by congressmen and senators during their term.
III.Challenges
The situation in Mindanao and the resurgent move to introduce changes in the 1987 Philippine Constitution are two significant developments that must be understood, analyzed, and acted upon by the Filipinos. The predicament of our brothers and sisters in Mindanao (the lumads, Muslims, and Christians) must be understood from the informed perspective so that solutions and actions may be guided accordingly. It should also heighten the sense of solidarity with our fellow Filipinos in that island. The charter change initiative must be taken on and exposed for whatever it is: a sincere initiative for structural change and reform or an instrument for manipulation and political interest. Thus, the following challenges are posed to the university community:
1. The education we experience in the university is supposed to enlighten us with the truth and inform us of the actual social conditions. What do we know about the situation in Mindanao? How do we distinguish factual information from biases and stereotypes? Do we understand the charter change issues? What is our take on these issues? Do we have an appreciation of the impact of these issues to our lives as Bicolanos, as Catholics, as Filipinos?
2. Our knowledge and awareness is expected to condition our convictions and principles. Including our notion of what is right and what is wrong; what must be done and what must be discouraged. But most important is the shaping of our social conscience, when we go beyond vague generalizations and learn to train our sight on actual and empirical circumstances. Our paradigms and framework significantly affect how we perceive reality.
3. Most importantly, knowledge/awareness and convictions/principles should inform our action. It triggers a certain response from us. It leads us to ask: What have I done? or What will I do? The question increases in difficulty and complexity when elevated to the societal level. But the impetus to act will not go away. The need to actualize and live out or become witnesses of our principles and convictions will demand a certain response, whether as individuals, as a group, or as an institution.
Waging peace!
What makes peace so attractive? It is because everybody yearns for a condition of relative tranquility, wherein one is free to express oneself, and to pursue one's interest. What makes peace so elusive? It is because many would look for peace from the outside, without realizing that peace comes from within.
Anyway, I attended the 1st Naga City Peace and Order Summit today and the perspectives presented were as varied as the participants gathered in the said event. But what struck me most is the interest manifested by people who are not in the formal structures of the government.
It never cease to inspire me whenever I witness such enthusiasm for citizens participation in governance. It may not always cause miracles, but for me, the phenomenon of active citizenship by itself is extraordinary.
I only hope that the government, including all of its units/sub-units, would continue to sharpen their tools for openess to citizen participation. It will not take a single act to perfect the art, but with patience and perseverance, good things usually come out.
Thus waging peace is not only about catching criminals or silencing the guns. It is also about our growing up, as a people, in the respect for diversity and in the understanding of complexities.
May peace thrive in the heart of Naguenos.
Several reasons why I am supporting the bid of Msgr. Nono Sanado to become a member of the CASURECO 2 Board of Directors:
1. as a consumer, I feel the need for more significant participation of the member-consumers in the affairs of the cooperative. at the same time,it is so frustrating when I feel that the cooperative is not intent on opening itself up to significnt consumer intervention. thus, there is a need to install more leaders who are willing to open up the cooperative and engage the consumers as partners!
2. as a citizen/Nagueno, i believe that transparency and accountability is an imperative every elected leader must uphold. unfortunately, this is not always the case. citizens are then compelled to learn the art of lobying and social movements. groups and organizations are manifestations of collective sentiments. it is extremely important that agenda and interest can be articulated, not only by institutions and leaders, but by the citizens themselves.
3. as a Catholic, i am so proud of a clergyman who identifies with and works for the laity. the seed of solidarity that is sown, when social stratification and differentiation is partly obliterated by common aspirations, actually strengthens the church! the inspiration that is generated when a priest becomes a servant-leader goes beyond this generation. and it makes me proud to be a catholic!
"An Tama, Tama! An Sala, Sala!"
Mons. Nono Sanado is running unopposed. It seems he will be riding high into CASURECO 2 Board of Directors fuelled by the clamor for change and passion for involvement among consumers.
This early, the prelate intends to visit each barangay for a hectic consultation schedule with electric consumers. Such process will not only be campaign sorties but also the initial organizing work for barangad-based consumer groups. It is hoped that upon assumption to office, the prelate will maintain tight working collaboration with the consumer groups in his area of responsibility.
Thus the general call of Mons. Sanado: "An Tama, Tama! An Sala, Sala!" becomes a rallying point for improving the management and service-delivery of CASURECO 2 via greater participation and involvement of the member-consumers.
Consumers are then confronted by a three-pronged challenge: 1. organize themselves and get their acts together; 2. establish working relations with Mons. Sanado, particularly on policy directions to be pursued via the Board; and 3. go out and vote on August 30 as Mons. Sanado calls for more voter turn-out in the elections.
Its been a while since my last entry in this blog. A lot has happened since then. And a lot more is bound to happen soon.
At the moment, we have several interseting phenomenon in the socio-political arena. Mons. Nono Sanado, the parish priest of the Metropolitan Cathedral, is running for a slot in the CASURECO 2 Board of Directors, to represent the North District (at least 15 barangays in Naga City, including the Naga City Public Market).
The Metro Naga Consumer Group has engaged the prelate in their advocacy for wider consumer participation, more transparency and accountability, as well as meaningful reforms in the cooperative.
In the national scene, the Memorandum of Agreement on Ancestral Domain (MOA-AD) is turning out to be the GMA administrations latest justification for charter change. CHACHA and the MOA-AD is now being peddled as the solution to the peace problems in Minadanao.
In response, the Coalition for a Citizens Consititution (C4CC) has launched a capaign premised on the following: (1)affirm the struggle for self-determination of Moros as crucial element in the attainment of PEACE , (2)TANGO before CHACHA; GMA must be out of the picture before we talk about changes in the Philippine Constitution; (3)PEACE and CHACHA must be a truthful, transparent, and participatory process; (4)elections of CONCON delegates may be undertaken simultanoeously with the 2010 elections; (5)FEDERALISM must ensure greater resources and power to the citizens, not to local warlords.
The Camarines Sur NGO-PO Formation has also started consolidating its ranks. Several engagements are underway, particularly its membership to the Coalition for Bicol Development (CBD). CBD is a regional network affiliated with the CAUCUS OF DEVELOPMENT NGOS (CODE-NGO).
Of course, we cannot ignore the coming 2010 national elections. Presidentiables have been shuttling back and forth to Naga City. Aspirants for various positions in the local and national level are starting to make their presence felt in various ways. I even heard that campaign funds are strating to circulate this early.
I will discuss these concerns in my coming blog postings. For the moment, I just want to mention those highlights cited above. My blogspot is back.
7th Annual KDC Conference
"Strengthening KDC parnerships for transformational leadership and good governance" is the theme of this year's conference. Some snapshots from Tuguegarao City (Thanks to Moira):
Welcome Dinner at the St. Paul University Philippines
Opening of the KDC Exhibits at SPUP
Formal Session/Discussions
The RED TEAM invades Patio Enrico, Tuguegarao City
Socials and dinner at Patio Enrico
Visit to SPUP partner community, Bgy. Tagga:
(From L-R: myself, Edcel of GPPB, Mark of SPUP, and Mel of AIM)
The Star KDC, University of San Carlos led by the Star KDC Member and USC President, Fr. Rod (3rd from the Left)
Closing Dinner at Hotel Roma, Tuguegarao City
Visiting Tuguegarao City
I was in Tuguegarao City last 21-25 April 2008 for the Annual Conference of the World Bank-Knowldge for Development Center(KDC). Aside from the substance and proceedings of the conference itself, I was pleased to discover the warm reception by the people of Tuguegarao City specially that of the St. Paul University Philippines community led by its President, Sister Remy.
It was a truly revealing visit and an inspiring experience in hospitality for visitors. Thank you Sister Remy, Mam Jo, Mark, Joan, and all the people of St. Paul University Philippines and Tuguegarao City! We hope to reciprocate when Ateneo de Naga University and Naga City hosts the annual conference next year.
Jesuit Guidelines for Communal Discernment and Action
Guidelines for Communal Discernment and Action
to Address the National Crisis
1. The ZTE-NBN controversy has once again raised questions about abuse of power and systemic corruption in the government of President Gloria Macapagal-Arroyo(GMA). This is just the most recent in a series of events that indicates a worrisome pattern of behavior in government, particularly of anomaly and cover-up, leading to the weakening of Philippine democratic institutions. Among these are the "Hello Garci" scandal, the fertilizer scam, the promulgation of calibrated preemptive response (CPR), EO 464 and PP 1017, the unresolved extrajudicial killings and disappearances of activists and media practitioners, the undermining of impeachment proceedings, the pursuit of self-serving charter change, and the lack of a decisive response by the government to the farmers of Sumilao, Bukidnon due to political compromises in the implementation of agrarian reform. Good governance and longterm reform are being sacrificed for short-term political survival.
2. Many Filipinos are outraged by this situation because of what appears to be a deliberate suppression of truth, and the refusal of the government to be made accountable. Many also feel confused and powerless, leading to a sense of hopelessness and deepening distrust of political leaders and institutions. There is a real danger that citizens will become disempowered and disengage themselves from politics. At the same time, there are also those whose frustrations have led them to join armed insurgent groups or are seriously considering insurrectionary and other unconstitutional options because of the inability of government to effectively address the issues of the poor and respond to the call for truth and accountability. Then there are some members of the economic and political elite, who out of pragmatic considerations, have adopted a "wait-and-see" position and have therefore not helped in providing clear leadership in terms of clarifying the issues and options.
These include the politicians who are potential presidential candidates in the 2010 elections.
3. While there is anger and despair because of what is happening to the country, there are also possibilities that have opened up with the recent events, for bringing about serious and much-needed changes in the political and governance institutions and culture of the country. How we respond as a people to this crisis will determine whether we can make the most of this opportunity for a renewal of Philippine democracy.
Diversity of Responses
4. Part of the reality of the present crisis is the diversity of views and even division among people, across and within sectors, in their analyses of and reactions to the situation. Therefore, it is important to note the range of political positions and options among those who have responded. This range represents a continuum, that allows a capture of the essential differences across groups, while at the same time recognizing that there are real overlaps among the positions and those who represent them.
a. "The economy is good. Let's move on." The Arroyo government and its
allies insist on projecting a picture of a growing economy, on the one hand,
which is undermined by unnecessary and debilitating "political noise," on the
other hand, created by "partisan" groups whose only agenda is to unseat the
President. This type of politics is seen as bad, not just for economic growth,
but also for addressing the poverty problem because it is the poor who are
most affected by political instability. Therefore in this view, the country must
move on, since it argues that the administration has a mandate to rule until
2010. Likewise, there are those who may not explicitly support GMA, but
believe that given the alternatives, the President represents the lesser evil.
Effectively, they do not support any moves to hold the government
accountable.
b. "All politicians are corrupt. Let's focus on jobs, services and the poor."
Some business associations, socio-civic organizations and faith-based groups
are highly cynical of national politics or have given up on it altogether, and
thus do not see it as the avenue for meaningful change. They concentrate on
what they see as the more important tasks of job-creation and servicedelivery
(e.g., housing, health, education). They believe that what they are
doing has more long-term impact because they address the more basic issues
of poverty and hopelessness, which breed corruption and a culture of
dependence.
c. "Let the 2010 elections resolve the crisis." Strict rule-of-law advocates hold that President Arroyo legitimately won the 2004 elections, even if there are serious and impeachable questions of cheating. They believe in accountability through constitutional mechanisms like an independent factfinding commission, impeachment and ultimately elections. In this perspective, there is no doubt that the search for truth must be pursued, even as they believe that the crisis can only be eventually and truly resolved through the electoral exercise scheduled for 2010.
d. "Bring out the truth, hold GMA accountable, and work for reform."
There are faith-based and civil society organizations that call for "truth,
accountability and reform," emphasizing concrete measures like resolving the
issue of executive privilege, calling for an independent counsel (with
investigative and prosecutorial powers), pushing for possible impeachment,
and advocating long-term reforms pertaining to freedom of information and
transparency, electoral and civil service reform, and social justice (especially
agrarian reform). These initiatives are meant to provide constructive ways for
people to participate in meaningful democratic governance and institutionbuilding.
e. "No real reform is possible under GMA." There are prominent concerned
individuals and groups who also adopt a truth-accountability-and-reform framework, but are more emphatic that a precondition for genuine long-term
reform is holding President Arroyo directly accountable for the undermining
of institutions. Thus, they would tend to be more explicit in taking a
principled position that the government should step down, and that a
succession should hew as much as possible to the Constitution.
f. "Oust GMA." Various groups from both the Left and the Right of the
political spectrum, many of them not sharing a long-term agenda, are
tactically coming together on the objective of ousting the Arroyo
government, even through extra-constitutional means. This may take the
form of an EDSA-like people power, military withdrawal of support, a
Cabinet coup, or some combination thereof. They are not in agreement on
who or what should assume power in the aftermath of an Arroyo ouster.
Some may accept Vice President Noli de Castro taking over, while others
prefer special elections (on the premise that the Vice President will also step
down or be made to do so) or "snap elections" or an interim civilian-military
junta that will put key reforms in place and oversee a return to constitutional
government. It is important to note that groups on the Left recognize the
need for bringing in more long-term structural reform, beyond merely
replacing the President.
Non-negotiable Principles
5. Given these and other options that may be taken, it is important to identify some non-negotiables, for more thoughtful and responsible communal discernment and action:
a. Uphold the truth. Truth, especially regarding cases of graft and corruption,
cannot be sacrificed in the name of stability. Stability that is the product of
unresolved issues tends to be shallow and short-lived, as the credibility and
capacity of institutions designated to pursue the truth are weakened, and
other cases of corruption surface again and again. Moreover, this situation
contributes to the reinforcement of a culture of impunity.
b. Exact accountability. Government must be held accountable by the
people, for all its actions and decisions, in all policy areas, and at every point
of its stay in power. This means that the exacting of accountability should
not take place only at the time of elections because democracy cannot be
confined to the single act of casting a vote, but is a continuing process of
citizen participation. Nevertheless, elections are also a core mechanism of
accountability, especially since the present political crisis is linked to
unresolved questions of electoral cheating. Part of the response necessary at
this time involves the rebuilding of public trust and confidence in
institutional mechanisms of accountability.
c. Pursue meaningful reforms. Even in situations of crisis, efforts at electoral,
bureaucratic, and social reform should not cease because many of the country's problems are really of a structural and institutional nature, needing
continuing transformation. There is a need to recognize the problems and
propose concrete solutions.
d. Build and strengthen democratic institutions. The country needs to
establish and fortify democratic institutions, which provide consistent,
organized and self-regulating procedures, applied to all citizens equally.
Among these institutions are due process, civilian supremacy, rule of law,
checks and balances. While Philippine democracy is still flawed, the genuine
gains that came with the dismantling of the Marcos dictatorship and the
restoration of democratic institutions should not be lost. The alternatives
(e.g. a military junta, a civilian-military authoritarian regime, a communist
government) are even more unstable, unpredictable, unsustainable, and
potentially harmful. A second democratic breakdown, moreover, will be
much more difficult to undo. Strong democratic institutions can likewise help
address the present conditions of real divisions among Filipinos. By
providing agreed-upon rules and mechanisms which are accepted as credible
and fair, institutions facilitate the peaceful resolution of conflicts among
dissenting positions and approaches.
e. Promote responsible and engaged citizenship. Moral outrage in the
present moment is called for, and is critical for a committed response; but it
must also lead to a serious and responsible consideration of consequences
for the medium and long term. Hopefully, such a responsible and engaged
citizenship will lead to the transformation of the present culture of one-sided
dependency on leaders. The country's problems have been reinforced by
generations of patronage that have led Filipinos to depend disproportionately
on those who have more resources and more power, in politics and society at
large, in the Church, and even in the ordinary barrio or baranggay.
f. Champion active nonviolence and protect human rights. Action is to be
guided by principles of active nonviolence. "Violence is evil… violence is
unacceptable as a solution to problems…. Violence destroys what it claims to
defend: the dignity, the life, the freedom of human beings" (Compendium of the Social Doctrine of the Church, 496). Human and civil rights must always be respected and promoted (Centesimus Annus, 22). Any coercive means is unacceptable, including forms of harassment, detention without due process, and policies that seriously undermine the freedom of the press and the right to self-expression and organization.
g. Prioritize the poor. The real and urgent concerns of the poor should be
given highest priority amidst all efforts to search for the truth and promote
accountability. If many Filipinos seem to be uninvolved or uninterested, it is
primarily because of an overriding concern for economic survival during very
hard times. Indeed, the search for the truth is integrally linked to the fate of
the poor. Corruption and dishonesty have made the lot of the poor worse.
Programs and initiatives from both government and the private sector to
address poverty and inequality, and to respond to the urgent needs of the poor, in fields such as education, health, housing, livelihood and the
environment should continue to be supported, and indeed intensified.
h. Engage and involve the youth. It is important that all activities should seek
to involve the youth, and harness their energies, especially for truly
sustainable reforms and institution-building. Significantly, recent events have
awakened many young Filipinos and stirred them to become more politically
involved. Today, there is an opportunity to do political education and
mobilization of the youth on a scale not seen for many years.
Analysis of Options
6. Given these guiding non-negotiable principles,the different positions and options presented above can now be reviewed, in order to help build common ground and move towards a consensus on how best to respond to the ZTE-NBN scandal and the broader political crisis:
"There is no problem with GMA."
a. Business as usual, status quo. Not holding government accountable in any
way is unacceptable. "Political authority is accountable to the people….
Those who govern have the obligation to answer to the governed"
(Compendium, 408, 409). The nature of the allegations of corruption in this
particular case is so serious, that any government with some sense of
responsibility to its citizens cannot but respond, to work towards establishing
the truth beyond any major question or doubt, and so confirm its legitimacy.
"Political corruption… betrays both moral principles and the norms of social
justice." (Compendium, 411) Moreover, there is much truth to the view that
fighting corruption is not against the economy. Indeed, corruption is antidevelopment
and anti-poor.
"GMA is not the main problem."
b. Give up on politics. Among those who hold this position include a range
that spans from the exhausted, to the cynical, to the apathetic. All of them
move towards a position that views all politicians as being equally selfinterested.
Effectively, none of them focuses on GMA as the problem. Such
a view that disengages from all politics and does not identify concrete points
of action and reform only contributes to the sense of hopelessness and
paralysis. At all times, participation in the social and political realms, either as
individuals or as members of organizations, is a duty to be fulfilled with
responsibility and with a view to the common good (Compendium, 189).
c. Focus on the delivery of services to the grassroots. The preferential
option for the poor necessitates a long-term perspective on development beyond mere regime change. It also makes the delivery of services to the
grassroots essential, regardless of who is in power. Thus, those who have
opted to concentrate on this course of action are to be commended.
However, while citizen-involvement in particular areas of social development
and local politics is a form of participation, they will always be constrained by
large-scale anomalies and abuse of power on the national political level. All
citizens must work towards the eradication of the evils of patronage politics
and national political corruption, in order to promote the common good.
"How does one address the GMA problem?"
d. Call on GMA to resign. There are individuals and groups who have been
calling for President Arroyo's resignation since 2005 and continue to hold
that position as a matter of principle. At that time, the CBCP itself
recognized the call for the President's resignation, as well as for a "Truth
Commission" and impeachment, as legitimate options under the guiding
principles of accountability, constitutionality, non-violence and effective
governance. While the bishops did not call on President Arroyo to step
down, they asked her to discern "to what extent she might have contributed
to the erosion of effective governance and whether the erosion is so severe
as to be irreversible." Therefore, those who in conscience have made a
decision that the President should not remain in office deserve respect. Their
call for her to resign voluntarily is one of the options provided for in the
Constitution. However, it also needs to be pointed out that while this
position is one of principled moral conviction, it ceases to be a real political
option if GMA remains resolute that she will not resign voluntarily.
e. Cabinet declaration of incapacity of the President. The Constitution
provides that a majority of Cabinet members can declare in writing to the
Senate President and the House Speaker that "the President is unable to
discharge the powers and duties of his [her] office" (Article VII, Section 11).
This is a constitutional way of removing a President who is seen to be
physically or mentally incapacitated, but the meaning of this provision may
be interpreted more broadly. This is one scenario for an "internal or Palace
coup" within the GMA regime. But such decisions on regime change tend to
be elitist, as they are dependent on so few people. This declaration can be
challenged, however, by the President, in which case Congress may confirm
the Cabinet decision by a two-thirds vote of the two houses of Congress
voting separately. Note that this requirement is even more stringent than the
one-third percentage required for the House of Representatives to send an
impeachment complaint to the Senate for trial.
f. Oust GMA. When faced with the President's refusal to resign voluntarily,
those who are willing to push the demand for her to step down to the point
of employing even extra-constitutional means must be reminded that
democratic institutions may be harmed in the long-term, especially if a political vacuum is created for groups with an anti-democratic, adventurist or
power-grabbing agenda to try to seize power and hold on to it indefinitely.
g. People Power. People power is a precious legacy from the struggle against
the dictatorship and the restoration of democracy in the Philippines. EDSA I
was the culmination of a long process of political education, organization and
mobilization throughout the martial law years and especially during the nearly
three years after the assassination of former Senator Benigno Aquino. Active
nonviolence was a defining characteristic of EDSA People Power. It is
enshrined in the Constitution, which values initiatives from below as a way of
harnessing the direct participation of the people in politics and governance.
In its current usage, however, it is problematic because it is often equated
with popular insurrection and takeover as a method of regime change. This
creates a dynamic where crisis situations continue to be resolved through
extra-constitutional means which are not predictable, weaken democratic
institutions and install leaders with questionable mandates. Thus an endless
series of EDSA's spells serious instability.
h. Snap elections. Any call for "snap elections" would be extra-constitutional,
since there is no such provision in the present charter. What the Constitution
provides for is the holding of "special elections," should vacancies arise in
the offices of both the President and the Vice President. Therefore, those
who are advocating this option presume that both the President and Vice
President will step down or will be made to do so. Moreover, special
elections before 2010 without meaningful preparation and electoral reforms
will only lead to a contest between those already entrenched in power and
thus will not produce genuine change.
i. Military intervention. Some have called for an interventionist role of the
military to effect regime change. While recognizing that there are reformminded
members of the military who have a genuine concern for the good of
the country, military intervention in whatever form must be eschewed,
especially in the present context of a weak Philippine democracy. Allowing
the military to become the arbiter to resolve political conflicts and stalemates
undermines civilian supremacy, long-term democratization and political
stability.
j. An Independent Counsel. Some have called for an independent institution
with the credibility and capacity for investigating and prosecuting
government corruption at the highest levels. This proposal has been made
because some see the Senate investigations as partisan, while the
Ombudsman is overloaded with corruption cases and is perceived as partial
to the government in power, given its recent track record. For this option to
prosper, however, three difficult issues need to be addressed: (i) creating such
a body through a law approved by Congress, (ii) defining the scope of its
power and responsibilities, especially in relation to the Ombudsman, and (iii)
giving it real autonomy, particularly from the President, who would be the
appointing official.
k. Impeachment. This mechanism is provided for by the Constitution to exact
accountability from the President. It is also a way by which allegations can be
verified, thus giving the President a fair hearing and an opportunity to defend
herself. However, impeachment will only work if people are willing to
participate actively in pushing for and making sure that this process is
effective (e.g. sustained lobbying, pressuring their representatives in Congress
to prioritize the search for truth and accountability). Thus, it can provide
excellent opportunities for active political participation, especially for citizens
outside Metro Manila.
"How does one go beyond GMA?"
l. Elections. The forthcoming elections in 2010 will be critical. Not only will a
new president be chosen, but this national exercise will also be crucial in the
restoration of trust in the democratic system and the emergence of a new
alternative leadership. It is imperative that they are conducted freely, honestly
and credibly. Furthermore, there is a need for responsible citizens to organize
around candidates, leaders and parties who are upright and capable, and who
can contribute positively to the strengthening of weak institutions.
7. It is precisely during times of great upheavals and crises that the call to hope becomes more urgent. Desperation and cynicism cannot be allowed to eat up people's inner resources. To move forward from this crisis means identifying and pursuing specific forms of action, such as: (a) joining circles of ongoing reflection and discernment, and efforts at political education and organization, including training in anti-corruption advocacy (Ehem) and active nonviolence; (b) supporting institutional efforts to get to the truth and creating a broader climate of truth-telling which encourages and protects whistleblowers; (c) joining activities that promote accountability; (d) articulating long-term ideals and policies for national political reform; and (e) establishing sectoral and multi-sectoral organizations and networks to promote dialogue and concerted action.
Concretely, eight action areas fall within the range of options which are consistent with the principles identified above, especially the need to build strong democratic institutions and promote engaged citizenship for socio-political reform:
a. Support for the ongoing Senate investigation of the ZTE-NBN case not only to bring out the whole truth on matters of public interest but also to strengthen the institutional system of checks and balances that seek to prevent the abuse of power.
b. Creation of a credible Independent Counsel , in order to ferret out the veracity of various allegations and promote accountability within the judicial system, in which unfortunately many of the official institutions are seen as severely compromised politically. Thus there is a need for an institutional venue and mechanism that will be viewed as autonomous of the government currently in power and free of the antics of traditional politicians.
c. Initiation of a genuine impeachment process, particularly by pressuring Representatives in the House to hold the President accountable for serious violations of public trust if there are sufficient bases for doing so.
d. Pursuit of reforms towards government transparency in all its transactions, especially in processes like procurement, decisions on loans, development projects, social reforms, and on issues such as mining, energy and land use that have a profound impact on poor communities and the environment. There is a need to ensure rigorous implementation of laws and policies, the institutionalization of a culture of social accountability, free access to information, and the enhanced participation of civil society in governance decisions at all levels.
e. Promotion of electoral reforms to ensure the conduct of clean, honest, and credible elections in 2010, including the revamp of the Comelec, beginning with the appointment and confirmation of commissioners of unquestioned integrity and competence; the modernization of the electoral system; the eradication of warlordism; the monitoring of campaign finance and expenditure; and the continuing political education of voters.
f. Search for worthy candidates and potential leaders, parties/coalitions and platforms for 2010, through positive preparations, planning and strategizing. This would mean clarifying political values and development priorities, candidate selection and recruitment, resource mobilization, and political organizing.
g. Organization of and support for basic sectors, to enable them to have a real say in democratic processes and to address the urgent needs of economic development and social justice.
h. Engagement of the youth in current issues, through political education, organization and mobilization for democratic institution-building, lobbying for transparency and accountability, policy reform, and involvement in electoral politics.
8. These specific and concrete calls for action are not isolated and discrete but are precisely interconnected in a framework that seeks to promote truth, accountability and reform. They address gross injustices in the country through active citizen participation that will support and be supported by efforts at political education, organization, mobilization and network-building in order to strengthen and transform democratic political institutions under the Constitution. Responding to the Call for Communal Discernment, Conversion and Action
9. We offer these guidelines as a response to the call of our bishops for "circles of discernment" to "pray together, reason together, decide together, act together." We trust that these reflections help clarify the context, principles and options for people – especially the youth – who seek to respond in action to the current crisis rather than succumb to the temptations of despair. For as Pope Benedict XVI has said, "All serious and upright human conduct is hope in action" (Spe Salvi 35).
Philippine Province of the Society of Jesus Commission on the Social Apostolate Easter Sunday, 23 March 2008
Albert E. Alejo, S.J.
Xavier C. Alpasa, S.J.
Anna Marie A. Karaos
Antonio M. La Viña
Jose Cecilio J. Magadia, S.J.
Antonio F. Moreno, S.J.
Ermin B. Pimentel
Karel S. San Juan, S.J.
Benjamin T. Tolosa, Jr.
Primitivo E. Viray, Jr., S.J.
Peter W. Walpole, S.J.
Roberto C. Yap, S.J.
Feb. 29 in Naga City
More photos of the Feb. 29 mobilization in Naga City
(Thanks very much, Pines!)
The Center cannot hold
I got this from the post of Al A. in our PSP egroup. I agree with
him that Patricia is very good! -R
By Patricia Evangelista
AS I TYPE THIS, there are others who write their own manifestos,
compelled by chance and conscience and circumstance to plug away on keyboards
across the country. Every few minutes a new entry flashes across cyberspace:
Lozada, ZTE, indignation in its varying forms, pleas for caution,
calls to action, justifications for inaction, the long narratives of
disillusionment seconded by the angry and frustrated.
I can't pretend to represent my generation. All of us are faced with
a choice, and the fact of my youth does not mean that my choices
reflect those made by my contemporaries. And yet there is something very wrong
with CBCP president Jaro Archbishop Angel Lagdameo's claim that "Our youth
seem to be very satisfied about what is going on in their lives." I cannot
believe that anyone would be satisfied with this sort of life, with the rape of
the Filipino nation occurring with daily regularity, and lie after
moronic lie echoing from the gates of the Palace. Satisfied? I doubt if non-
presence in an indignation rally is the only manifestation of public
satisfaction. The millions of people scrabbling for a meal a day in this country do
not go to rallies either, and yet I would hesitate to call them satisfied.
On Saturday, an article in Young Blood condemned all those who
trooped to indignation rallies as essentially "blind and selfish clowns," who
were either "misguided idealists" or "hypocrites to the bone." And while
the writer spoke with righteous rage, he accused those "misguided
idealists" of believing they have a monopoly on righteousness. What I find more
astounding than his hasty generalizations on the motivations of all who protest
the current corruption is his argument that all this rage against Gloria
Macapagal-Arroyo is a waste of time, money and energy; as if the
billions in public funds lost to corruption is not a waste, as if corruption has
not deprived people of the housing and education the writer believes they
deserve. I respect his choice to stay away, but perhaps it would be
best for him to understand why others choose to go.
Many have said that all the confetti, all the rallies, all the
thousands of people who have crowded in Ayala last Friday can do little more than
derail traffic. Perhaps they are right. But I will join the next rally
anyway, because I believe that it is wrong, appallingly, incredibly,
brutally wrong, to allow those in power to believe they have the right to mortgage
my future because they are wily enough to claw their way to power. To be
silent is to tell every future Filipino leader that there is no limit to power.
Everyone is dirty in government, a pro-Arroyo rallyist told me. And
perhaps that is true, but it is no reason to condone corruption and rank
dishonesty when we see it, especially when it implicates the country's chief
executive.
And this is where I'll tell you where I stand. I do not wish to oust
Arroyo, although I support calls for her resignation or due process by
impeachment. I wish I could say that I believe in the rule of law and end there.
But I live in the Philippines where the rule of law is applied
selectively, in very strange ways. How do we impeach, if Congress refuses to allow
it? How do we prosecute, if the Ombudsman sits on the case? And so it's the
streets for me, because I see no other way to say no.
Once upon a time, the voice of a white-haired dragon thundered over
radios and television sets, raging that a nation cannot be run by a thief.
It was a voice that galvanized a watching country into the streets, and
reminded people of what they deserved. Now the dragon is a senator, and Joker
Arroyo sits behind a microphone and helps along the current cadre of
thieves. I believe the administration has lost all mandate, I believe the
President must be held accountable, and I will go out and rally to add one
pair of feet to the thousands who want the truth.
I'll tell you about a friend of mine. His flip-flops and jeans have
been traded in for slacks and button-downs, there is a ring on his finger
and a giggling, laughing one-year-old boy perched at the crook of his arm.
He pays his taxes, he calculates his family's weekly spending; he has worked
nights in call centers before clawing his way up the corporate ladder. He
believes, very firmly, in the rule of law, and the birth of his son made him
even more determined to create as stable an environment as possible. And yet,
he says, while a small hand curled around his sleeve, that he is slowly
believing that the way out is the way of the street. He cannot stomach knowing
that the taxes the government bleeds from his paycheck, money that can be
spent on bringing up his small boy, is being tossed into the pockets of the
undeserving.
Yeats once wrote of what he thought was the inevitable end of
humanity, when "the best lack all conviction, and the worst are full of passionate
intensity."
I am not very certain where all this is going. All I know is that so
much has gone wrong, and has gone on long enough.
Call to action!
The broad social movement born in Naga City due to the NBN-ZTE
controversy and Lozada testimony has sustained mobilizations! Its
membership now include people from the academe, business, religious,
government, and civil society organizations.
Among the activities it had initiated are the following: (1)
motorcade/noise barrage last Feb. 25; (2)candle-lighting/noise
barrage last Feb. 29 which turned out to be among the biggest civil society-initiated political mobilization ever done in the city; (3)motorcade/noise
barrage last March 7; (4)tshirt printing; (5)signature campaign; (6)
campus fora.
There are plans to do a bigger mobilization on Friday, 14 March.
Arrangements are also being made to bring to Naga City the NBN-ZTE
witness Jun Lozada.
For those intested to take part in these initiatives, you may either
post your mesage here or send email to me.
Stop corruption! Uphold the truth! Strengthen democratic institutions!
Think, Reflect, Pray, Decide, Act Now!
Fight corruption! Uphold the truth! Strengthen democratic institutions!
(Thanks Ken Pornillos for the photos.)
HUMAN CHAIN, CANDLE LIGHTING, AND NOISE BARRAGE FOR TRUTH AND ACCOUNTABILITY!!!
STOP CORRUPTION! UPHOLD THE TRUTH!
STRENGTHEN DEMOCRATIC INSTITUTIONS!
JOIN THE HUMAN CHAIN, CANDLE LIGHTING, AND NOISE BARRAGE FOR TRUTH AND ACCOUNTABILITY!!!
WHEN: FRIDAY, 29 February 2008
WHAT TIME: 5:00pm
WHERE: Assembly in front of the Four Pillars, 4:30pm
We will march as a group to the ADNU convergence site in
front of Ramaida Centrum/Bangko Sentral ng Pilipinas
(convergence area for Ateneo group)
WHAT TO DO/BRING:
• Please wear white or black shirt with your ID for easy identification
• Bring your own candle
• Bring any noise-making equipment (e.g. bottles of mineral water with small
stones inside).
• You may also bring your food, water, a towel and extra clothing.
THINK! REFLECT! PRAY! DECIDE! ACT NOW!
For other details, pls. coordinate with Institute of Politics, Office of Student Affairs, Center for Community Development, or the Office of Administrative Services
A statement from economists of the Ateneo de Manila University
To a fellow economist and former colleague, Gloria Macapagal-Arroyo
We are outraged by the revelations made by Engr. Rodolfo Noel Lozada
Jr. at the Philippine Senate Blue Ribbon hearings last 8 February
2008 about the overpriced Zhong Xing Telecommunication Equipment
Company-National Broadband Network (ZTE-NBN) project. The project
has no clear public rationale in the first place. We are dismayed by
the revelations of Mr. Lozada that former Commission on Election
Chairman Benjamin Abalos Sr., with the alleged involvement of First
Gentleman Jose Miguel Arroyo, ordered the inclusion in the proposed
project a large amount of kickbacks, amounting to as much as 130
million US dollars (or more than 5.2 billion pesos), enough money to
remove the yearly public school classroom backlog, or purchase 5.8
million sacks of NFA rice, or alternatively secure the basic needs
of about 29,000 poor families for a year. Simply put, a lot is being
sacrificed for the greed of the few.
We are angered by the continuing attempt to cover up the anomalous
circumstances surrounding the project, including the supposed
kidnapping of Mr. Lozada to keep him from testifying in the Senate.
We demand that government remove the cloak of Executive Order 464
and the invocation of executive privilege to allow public officials
that have knowledge on the transaction to publicly testify on the
circumstances of the deal. We demand the National Economic and
Development Authority (NEDA) to release records of the meetings that
allowed the contract to be processed. Because of the nature of the
work of the NEDA in national economic planning to promote national
development and public welfare (and not for private or individual
interests), these minutes are public records. We want Secretary
Romulo Neri, an Ateneo high school alumnus and supposed staunch
advocate of reforms to eradicate transactional politics and
oligarchic dominance in the country, to reveal all that he knows
about the matter. Efficiency and equity demand no less.
We abhor the habit of this administration of forging secret deals
and engaging in non-transparent processes in developing and
contracting large infrastructure projects, especially foreign donor-
funded programs, contrary to the tenets of good governance. We call
on friends and colleagues in the government, especially the alumni
of our university, and other sectors to help ferret out the truth
about other alleged irregular deals entered into by corrupt public
officials, including the fertilizer scam, the Technical Education
and Skills Development Authority book scam and the North Rail
We urge our fellow economist, alumna, and former Ateneo colleague,
Gloria Macapagal-Arroyo, to fully explain and account for all the
anomalies under her administration to prevent our country from
plunging into another political and economic crisis. Indeed, we are
dismayed that Mrs. Arroyo has not exercised the vast powers and
resources available to the Presidency to ensure that large-scale
corruption in the government is not only blocked but also punished,
and that these irregularities have only increased political
instability and uncertainty in the country. We are also offended
that the Presidency has instead utilized these vast powers and
resources to turn its back from servicing the public and contribute
to the advancement of private greed, including the Machiavellian
buying of congressmen, governors, and everybody else that get its
way. And sadly, these abuses have eroded the meaning and legitimacy
of the Presidency. If she fails to fully account and explain the
anomalies and corrupt practices in her administration, the most
honorable thing she can do is to resign from the Presidency.
Finally, we publicly pledge to heed the Catholic Bishops' call to
communal action by supporting the activities that would promote
transparency, accountability, and good governance, and we call on
our fellow social scientists and academics to support this advocacy.
We pledge to make our voices heard by committing to various ways of
peaceful and non-violent political mobilization.
– Signatures –
Fernando T. Aldaba
Cristina M. Bautista
Germelino M. Bautista
Edsel L. Beja, Jr.
Diana U. del Rosario
Luis F. Dumlao
Cielito F. Habito
Leonardo A. Lanzona
Joseph Anthony Y. Lim
Romelia I. Neri
Ellen H. Palanca
Malou A. Perez
Joselito T. Sescon
Tara Sia-Go
Patrick Gerard C. Simon-King
Rosalina P. Tan
Philip Arnold P. Tuaño
CEAP Statement
May I share with you an inspiring statement from the Catholic Educational Association of the Philippines (CEAP):
Speaking Truth, Seeking Justice
Setting Things Right
CEAP on the Events of our Time
"No lie can live forever," said Carlyle. "Truth, crushed to earth, will rise again," added William Cullen Bryant. And forty years ago, Martin Luther King cried:
Cowardice asks the question, "Is it safe?"
Expediency asks the question, "Is it politic?"
Vanity asks the question, "Is it popular?"
But Conscience asks the question, "Is it right?"
because Conscience says, "It is right."
Following his conscience, Rodolfo Lozada Jr. these days has revealed possible corruption in the handling of government contracts. His confession has stirred memories of other allegations by other people of graft and greed in government, and is shaking the souls of many to speak and act in response.
What of us, the Catholic Educational Association of the Philippines (CEAP), an association of 1,252 schools, colleges, and universities with at least 2 million students and around 120,000 school personnel and faculty?
We too must speak, we too must act. For, as the same Martin Luther King continued, "Our lives begin to end the day we become silent on things that matter."
Silent then we must not be or must no longer be, if once we were. May not our lives end but rather begin in a special way this Valentine's Day. Beyond the love we are expected to declare for the persons of our hearts, is the love for the people of our country that we are invited to express in this time of crisis in our land. Mere bystanders we cannot just be but active participants in the continuous task of shaping our nation's life. In the words of Vaclav Havel, "By perceiving ourselves as part of the river, we take responsibility for the river as a whole."
For those of us who know the truth, we pray for the courage to speak it. For those who seek justice, we pray for humility in the pursuit, personal integrity in the quest, respect for others involved in the search. For those of us who must judge and act on what we see and hear, we pray for fairness and the will to make the good triumph over evil in a way that removes the bad, without the act leading to what is even worse.
In tandem with the Catholic Bishops Conference of the Philippines (CBCP) we invite our member schools and their constituents, our alumni and friends individually and communally to pray for guidance on what to do in these times of tension and difficulty. We ask our administrators, faculty, and students to bring to the fore the issues of the day, discuss in humility and decide in fortitude and love what we must do together as a people in the different parts of the country where we are.
We must seek to discover the educative moment and the lesson for life in the investigation sessions and in the rallies and other mass actions we may join. To our country and the world we must show and say that we will not allow dishonesty, corruption, indifference or neglect to rule our lives. We must look into ourselves and ensure that what we decry in others we do not do ourselves.
We should pledge to continue to teach and live truth, honesty and integrity in our own schools so that when our graduates leave us they bring with them not just skills and knowledge but wisdom and love to inspire and change the world.
To this end, we link up with other groups sincerely searching for truth and justice. We encourage the establishment of truth centers in our schools so that our students, teachers, and staff are led to continuing awareness, reflection, and formation toward social-political engagement. We invite our members to support the sanctuary fund set up by the Association of Major Religious Superiors of the Philippines (AMRSP). We support the signature campaign demanding the implementation of the Supreme Court's decision junking Executive Order 464 so that the search for truth is not hindered or compromised.
Jesus, the Way, the Truth, and the Life we shall continue to ask to lead us, accompany and comfort us in all we need to do. It is He, after all, who will truly set us free. The Holy Spirit we ask to enlighten us so that our external actions flow from inner harmony of heart. We remember the words of Will Durant: "A great civilization is not conquered from without until it has destroyed itself from within." So we ask our Heavenly Father for the grace that we never neglect but ever firm up the moral fiber of our souls.
Our anger at the wrong and sinful things in and around us may we not allow to make of ourselves men and women of violence. We take to heart the thought of Martin Luther King: "The ultimate weakness of violence is that it is a descending spiral, begetting the very thing it seeks to destroy. Instead of diminishing evil, it multiplies it. Through violence, you may murder the liar, but you cannot murder the lie, nor establish the truth. Through violence you may murder the hater, but you do not murder hate. In fact, violence merely increases hate. So it goes. Returning hate for hate multiplies hate, adding deeper darkness to a night already devoid of stars. Darkness cannot drive out darkness: only light can do that. Hate cannot drive out hate: only love can do that."
May our light dispel our darkness, may our love melt whatever hatred may lurk within. But in this Kairos moment, this time of grace, we, the Catholic Educational Association of the Philippines, with all men and women of good will, in our nation and in the world, in the name of the Lord, by the grace of His Spirit, in concert and in communion call on ourselves and one another to -- speak the truth, seek justice and work to set things right.
Mobillization moved to February 29
Due to heavy rains, more than 100 barangays in the Province of Camarines Sur are flooded today. Classes in the publc schools, including elementary and HS classes in some private schools, were suspended in Naga City. In this context, the planned mobilization(human chain, candle lighting, and noise barrage) 5:00 pm today has been moved to 29 February 2008.
Collective Action!
Concerned students/faculty/personnel of schools and universities (Ateneo de Naga
University, Unibersidad de Santa Isabel, University of Nueva Caceres, Mariners Polytechnic Colleges Foundation,Naga College Foundation), civil society groups (Naga City Peoples Council,Coalition for Bicol Development, Akbayan, KRUSADA, Bayan-Muna,
Gabriela), business leaders of the Metro Naga Chamber of Commerce and Industry), several religious congregations, and the LGU of Naga City will launch
the "HUMAN CHAIN, CANDLE LIGHTING, AND NOISE BARRAGE FOR TRUTH AND JUN
LOZADA" 5pm Friday, 22 February 2008.
Media outlets that will cover the mobilization:Radio Mindanao Network (RMN-Naga), ABS-CBN Naga City, Bombo Radyo Philippines, and DZGE. The brother of Jun Lozada will be speaking in the short program.This is being undertaken simultaneous with mobilizations in the provinces of Albay/Sorsogon and Camarines Norte.
Hunger Striking Farmers and Bishops Rebuke Joint R...
Jesuit Guidelines for Communal Discernment and Act...
Fight corruption! Uphold the truth! Strengthen dem...
HUMAN CHAIN, CANDLE LIGHTING, AND NOISE BARRAGE FO...
A statement from economists of the Ateneo de Manil...
MY LINKS!
Planet Naga! | {
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} | 1,688 |
Home Downtown Living Gourmet Grocery and Wine Shop Planned for Crossroads
Gourmet Grocery and Wine Shop Planned for Crossroads
A Savi Provisions gourmet grocery is in the works for the corner of 18th and Wyandotte in the Crossroads.
By Kevin Collison
A gourmet food, fine wine and spirits shop with roots in Atlanta is in the works for the Crossroads, bringing an additional grocery option for its rapidly growing residential population.
Planning for a Savi Provisions franchise in the former YJ's Snack Bar space at 130 W. 18th St. is well along, according to Chris Wilbur and Stacey Elliott, the local owners.
"We still need some things to come together, but we hope in a matter of a few weeks to make an official announcement," Elliott said.
"Our attraction was around Savi being purveyors of fine wines, cheeses and other foods, and their concept being very well matched to the Crossroads," she said.
Wilbur added, "we're excited to bring something unique and needed" to the Crossroads area.
The planned Savi is within walking distance of several new Crossroads apartment projects totaling almost 900 units: the City Club Apartments at 20th and Main; ARTerra at 21st and Wyandotte; REVERB at 18th and Walnut, and KC Artistry at 19th and Oak.
The 2,200 square-foot Savi on West 18th would join the recently opened DGX convenience store at the City Club development in bringing needed residential services to the district.
Savi's was founded in Atlanta in 2009 by Paul Nair. In a statement on the firm website, he said he was inspired by the neighborhood markets and delicatessens of New York City.
"The concept was created initially out of need and a realization that there was a sincere demand for an urban, friendly and convenient place that people could come to for food, groceries, and fun," Nair stated.
Savi's is described on the website as a "neighborhood destination that sells locally-sourced gourmet and organic foods, fine wines and spirits, with a generous environment to sample and celebrate the fruits of everyone's labors."
There are several Savi's now in the Atlanta area and the firm recently began franchising the concept to other communities.
A representative at Savi's in Atlanta declined to comment. The owners of the building where the business would be located also declined to comment.
The Savi website indicates the business wants to blend in with its surroundings wherever it's located.
"As an integral part of the neighborhood, an advocate for local sourcing and an enthusiast for the nostalgic purveyor of once forgotten generations, we open our doors to you and yours," according to the Savi website.
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Aloft Hotel Opens at Plaza; Strang Food Hall Coming Next Door
Jim's Alley Bar Adds Cozy North Woods Vibe to East Crossroads | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 450 |
Q: Can't resolve all parameters for ReportComponent: while using ILocationService I want to redirect to the .aspx path when clicking upon the button.
Here my code snippet
report.component.ts
import * as angular from "angular";
@Component({
selector: 'app-report',
templateUrl: './report.component.html',
styleUrls: ['./report.component.css']
})
export class ReportComponent implements OnInit {
constructor(private $location:angular.ILocationService) {
}
ngOnInit() {
}
viewReport(){
this.$location.path("/frmCommIntegrationReport.aspx");
}
}
report.component.html
<div class="container">
<button class="btn btn-primary" (click)="viewReport()">View</button>
</div>
But I am facing the issue in console while referring ILocationService in the constructor.
Console Error Image
A: I assume the angular.ILocationService is an interface and interface is removed during compilation. The error says ReportComponent: (?) - the question mark is that Angular doesn't know the type. You need to find the implementation of this interface.
@edit
Btw. this is a strange way of importing things in Angular. Normally it goes like this:
import {Location} from '@angular/core';
@Component({...})
class Component {
constructor(private location: Location) {}
}
A: Import router from library
import { Router} from '@angular/router';
Then inject it
constructor(private router: Route) { }
and here is how you can navigate to page
viewReport(){
this.router.navigate(['/frmCommIntegrationReport.aspx']);
}
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 9,745 |
Livingston Island (Russian name Smolensk, ) is an Antarctic island in the Southern Ocean, part of the South Shetlands Archipelago, a group of Antarctic islands north of the Antarctic Peninsula. It was the first land discovered south of 60° south latitude in 1819, a historic event that marked the end of a centuries-long pursuit of the mythical Terra Australis Incognita and the beginning of the exploration and utilization of real Antarctica. The name Livingston, although of unknown derivation, has been well established in international usage since the early 1820s.
Geography
Livingston Island is situated in West Antarctica northwest of Cape Roquemaurel on the Antarctic mainland, south-southeast of Cape Horn in South America, southeast of the Diego Ramírez Islands (the southernmost land of South America), due south of the Falkland Islands, southwest of South Georgia Islands, and from the South Pole.
The island is part of the South Shetlands archipelago, an islands chain extending in east-northeast to west-southwest direction, and separated from the nearby Antarctic Peninsula by Bransfield Strait, and from South America by the Drake Passage. The South Shetlands cover a total land area of (late 20th-century estimate; the current figure might be somewhat less than that due to coastal change), comprising (from east to west) the eleven principal islands of Clarence, Elephant, King George, Nelson, Robert, Greenwich, Livingston, Deception, Snow, Low and Smith, and a number of minor islands, islets and rocks.
Livingston is separated from neighbouring Greenwich Island to the east by the wide McFarlane Strait, and from Snow Island to the west-southwest by the wide Morton Strait. Deception Island, situated in Bransfield Strait barely southwest of Livingston's Barnard Point, is an active volcano last erupting in 1967, 1969 and 1970 whose flooded caldera forms the by sheltered harbour of Port Foster entered by a single wide passage known as Neptune's Bellows. There are several extinct volcanoes on Livingston Island itself that were active in the Quaternary, such as Rezen Knoll, Gleaner Heights, Edinburgh Hill and Inott Point.
The island extends from Start Point in the west to Renier Point in the east, its width varying from at the neck between South Bay and Hero Bay to between Botev Point to the south and Williams Point to the north. Livingston is the second largest island in the archipelago after King George, with surface area of (early 21st-century estimate; the current figure might be somewhat smaller due to coastal change).
The coastline is irregular, with major indentations such as South Bay, False Bay, Moon Bay, Hero, Barclay, New Plymouth, Osogovo and Walker, and peninsulas such as Hurd ( long), Rozhen (), Burgas (), Varna (), Ioannes Paulus II () and Byers (). There are many islets and rocks lying in the surrounding waters, particularly off the north coast. More sizable among the adjacent minor islands are Rugged Island off Byers Peninsula, Half Moon Island in Moon Bay, Desolation Island in Hero Bay, and Zed Islands off Williams Point.
Ice cliffs, often withdrawing during recent decades to uncover new coves, beaches, spits, points and minor islands, form most of the coastline. Except for the ice-free Byers Peninsula and some isolated patches, the land surface is covered by an ice cap with ice domes and plateaus in the central and western areas, and a number of valley glaciers formed by the more mountainous relief of eastern Livingston. Certain areas of the ice cap, especially near glacier termini or over steeper slopes, are densely crevassed and almost inaccessible without specialized equipment. Elsewhere, the surface is smooth, hard and comfortable for walking, skiing or snowmobiling. However, the danger of falling into some hidden crevasse masked by a snow bridge is ever-present, including in frequently visited and supposedly well-known localities. Protracted periods of warmer weather tend to make the snow bridges more unstable and hazardous.
Typical of the island's glaciology are the conspicuous ash layers originating from volcanic activity on neighbouring Deception Island. The island hosts also several rock glaciers consisting of rock debris frozen in ice, such as those at Nusha Hill, MacKay Peak and Renier Point.
Along with the extensive Byers Peninsula () forming the west extremity of Livingston, the ice-free part of the island includes some minor coastal areas at Cape Shirreff, Siddins Point, Hannah Point, Williams Point, Hurd Peninsula and Rozhen Peninsula, as well as slopes in the mountain ranges, and ridges and heights in eastern Livingston that are too precipitous to keep snow. Numerous meltwater streams flow in the ice-free areas during summer, extending from hundreds of meters up to 4.5 km. Byers Peninsula alone has more than 60 such streams and as many lakes, notably Midge Lake (587 by 112 m, or 642 by 122 yd), Limnopolar Lake and Basalt Lake. Several such streams, lakes and ponds are situated in the vicinity of the Bulgarian and Spanish bases on Hurd Peninsula.
The principal mountain formations on the island comprise Tangra Mountains ( long and wide, with Mt Friesland rising to ), Bowles Ridge ( long, elevation ), Vidin Heights (, ), Burdick Ridge (), Melnik Ridge () and Pliska Ridge () in the eastern part of the island, and Oryahovo Heights (, ), and Dospey Heights (, ). The local ice relief is prone to change; in December 2016 the elevations of Mount Friesland and St. Boris Peak were and respectively, making the latter the summit of Livingston in that season. According to the American high accuracy Reference Elevation Model of Antarctica (REMA), Mount Friesland is higher than St. Boris Peak.
The first ascent of the island's summit Mount Friesland was made by the Catalans Francesc Sàbat and Jorge Enrique from Juan Carlos I Base on 30 December 1991. Of the other notable peaks of Tangra Mountains, Lyaskovets () was first summited by the Bulgarians Lyubomir Ivanov and Doychin Vasilev from Camp Academia on 14 December 2004, Great Needle Peak (Falsa Aguja Peak, ) – by the Bulgarians Doychin Boyanov, Nikolay Petkov and Aleksander Shopov from Camp Academia on 8 January 2015, St. Boris – by Boyanov and Petkov from Camp Academia on 22 December 2016, and Simeon () – by Boyanov, Petkov and Nedelcho Hazarbasanov from Nesebar Gap on 15 January 2017.
Of the island's nature, Captain Robert Fildes of the sealers and (both of them shipwrecked in the South Shetlands) wrote in 1821:
Climate
The climate of Livingston is polar tundra under the Köppen-Geiger climate classification system. Climatic conditions are influenced by the following specific factors: the island's location in the narrowest part of the Southern Ocean (less than 600 km between the Antarctic Convergence and the Antarctic Peninsula); the relatively small amplitude of water temperatures in the surrounding sea; the local relief including Tangra Mountains, one of the highest mountain ranges in the archipelago that contributes to shaping the local atmospheric circulation; and the ice cap of the island. Surface air temperature decreases with increasing altitudes, which in the interior of eastern Livingston Island reach 550 m at the centrally located Wörner Gap and over 1400 m at the crest of Tangra Mountains.
The local variety of the Antarctic Peninsula weather is particularly changeable, windy, humid and sunless. Says Australian mountaineer Damien Gildea who climbed in the area: 'Livingston got just about the worst weather in the world'. A US seasonal field camp on Byers Peninsula was wrecked by storm and emergency evacuated in February 2009. Whiteouts are common, and blizzards can occur at any time of the year. Temperatures are rather constant, with diurnal temperature variations seldom exceeding a few degrees. Wind chill temperatures could be up to lower than actual ones. The highest daily temperature recorded on the island is (measured at the Chilean Base), and the lowest is (at the Spanish base).
Following a period of warming during the second half of the 20th century, the Antarctic Peninsula region has experienced a period of cooling in the early 21st century. For Livingston Island this cooling has reached over the 12-year period 2004–2016, and for the summer average temperatures over the same period. That has resulted in a longer snow cover duration in the coastal ice-free areas, which could be exemplified by comparing the January snow line configurations shown on the 1996 and 2016 maps of the Bulgarian base.
It can rain or snow on Livingston Island at any time of the year, although in the winter most precipitation occurs in the form of snow.
Flora and fauna
Charles Darwin, 23 years old as he started his biological research in neighbouring Patagonia, Tierra del Fuego and the Falklands in 1832, noted (with some inaccuracy in his distances):
The coastal areas of Livingston Island are home to a selection of vegetation and animal life typical for the northern Antarctic Peninsula region, including fur, elephant, Weddell, and leopard seals, and chinstrap, gentoo, Adélie and macaroni penguins. Several other seabirds, including skuas, southern giant petrel and Antarctic terns, nest on the island during the summer months.
Spanish biological research has identified 110 species of lichens and 50 of mosses on a territory of just at the Spanish base on Hurd Peninsula, the highest species diversity recorded from any single Antarctic locality.
History
It was only during the nineteenth century that any land was discovered in what is now the 'political' territory of Antarctica, and that land happened to be Livingston Island. The English merchant William Smith in his brig , while sailing to Valparaíso in early 1819, strayed from his route south of Cape Horn and on 19 February sighted Williams Point, the northeast extremity of Livingston. That was the first land ever discovered south of 60° south latitude, in what is now the Antarctic Treaty area.
Russian explorer von Bellingshausen commented on Smith's discovery:
A few months later Smith revisited the South Shetlands, landed on King George Island on 16 October 1819 and claimed possession for Britain. In the meantime, a Spanish man-of-war had been damaged by severe weather in the Drake Passage and sank off the north coast of Livingston on 4 September 1819. The 74-gun ship San Telmo commanded by Captain Joaquín Toledo was the flagship of a Spanish naval squadron en route to Callao to fight the independence movement in Spanish America. The officers, soldiers and sailors on board the ship, including the squadron's Peruvian-born leader Brigadier Rosendo Porlier, are the first recorded people to die in Antarctica. While no one survived, some of her spars and her anchor-stock were found subsequently by sealers on Half Moon Beach at Cape Shirreff.
During December 1819 William Smith was back with his ship to the South Shetlands. This time he was chartered by Captain William Shirreff, British commanding officer in the Pacific stationed in Chile, and accompanied by Lieutenant Edward Bransfield who was tasked to survey and map the new lands. On 30 January 1820 they sighted the mountains of the Antarctic Peninsula, unaware that three days earlier the continent had already been discovered by the Russian Antarctic expedition of Fabian Gottlieb Thaddeus von Bellingshausen and Mihail Lazarev.
One year later, the Russians had circumnavigated Antarctica and arrived in the South Shetlands region. On 6 February 1821 they approached Livingston Island and observed eight British and American ships off Byers Peninsula. While sailing between Deception and Livingston, Bellingshausen met with American sealer Nathaniel Palmer, yet another pioneer of Antarctic exploration who is alleged to have sighted the mainland himself during the previous November. Palmer informed the Russians that seal hunting in the area was going at full steam, with Smith alone having taken 60,000 seal skins. The Antarctic sealing industry south of 60°S was initiated in the 1819/20 summer season by the early voyage of Joseph Herring (ship's mate during Smith's first visit) who stepped ashore in Hersilia Cove, Rugged Island on Christmas Day of 1819, followed by James Sheffield (with second mate, a 20-year-old Nathaniel Palmer), James Weddell, and possibly Carlos Timblón from Buenos Aires.
American historian Edouard Stackpole wrote of the early 19th century sealers:
As the seals were killed onshore the hunters used to spend protracted periods of time there, seeking refuge from the elements in purpose-built stone huts, tent bivouacs or natural caves. Livingston Island became the most populous place in Antarctica for a time, its dwellers exceeding 200 in number during the 1820–23 South Shetlands sealing rush. The principal sealer 'settlements' on the island were situated on Byers Peninsula, as well as at Cape Shirreff and Elephant Point. Argentine archaeological research has identified 26 human-built shelter structures on Byers Peninsula alone. There were some women among the early inhabitants of the island, as evidenced by a 1985 discovery of the grave of a 21-year-old woman of mixed European and Native American descent at Yamana Beach on Cape Shirreff, dated to the early 19th century. Remains of huts and sealer artefacts are still found on Livingston, which possesses the second greatest concentration of historical sites in Antarctica (after South Georgia). The memory of that epoch survives, other than in archaeological finds, also in a dozen preserved ship logs and as many memoirs, such as the candid story published in 1844 by one Thomas Smith who sailed to Livingston in the sealer Hetty under Captain Ralph Bond during the 1820/21 season.
Sealing was replaced by another rush of unsustainable commercial exploitation during the 20th century – Antarctic whaling. This time Livingston Island was not directly involved, although the southernmost Hektor Whaling Station was operated by Norway on nearby Deception Island from 1912 to 1931. Whaling likewise depleted its resource and gave way at the turn of the 1970s to modern Antarctic fishing industry pioneered by the fishing fleets of the Soviet Union, Poland, East Germany and Bulgaria.
A significant milestone in Livingston Island's history was the Antarctic Treaty signed in 1959 and entered into force in 1961, which effectively placed the region south of 60° south latitude under the joint governance of the consultative (voting) parties to the treaty, providing in particular for the freedom of scientific exploration. The treaty left the personnel of the Antarctic bases under their respective home countries' jurisdiction, and essentially froze the existing sovereignty claims. (Livingston, in particular, was claimed by Britain in 1820 with letters patent of annexation promulgated in 1908, by Chile in 1940 and by Argentina in 1942 — claims not recognized, among others, by the US and Russia, which have formally reserved their rights to claim Antarctic territories.) Since then, the evolving Antarctic Treaty System has been providing an increasingly comprehensive legal framework for all Antarctic-related activities, including environmental protection and exploitation of marine living resources, and has proved an example of uniquely successful international cooperation.
Toponymy
The names of many geographical features on the island refer to its early history. Among the commemorated are ship captains such as the Americans James Sheffield, Christopher Burdick, Charles Barnard, Chester, Robert Johnson, Donald MacKay, Robert Inott, David Leslie, Benjamin Brunow, Robert Macy, Prince Moores, William Napier and Daniel Clark (first mate), the Britons William Shirreff, M'Kean, John Walker, Ralph Bond, Christopher MacGregor, T. Binn and William Bowles, the Australian Richard Siddins, people like the New York shipowner James Byers, the American whaling merchants William and Francis Rotch, British Admiralty hydrographer Thomas Hurd, and John Miers, publisher of the first chart of the South Shetland Islands based on the work of William Smith, or sealing vessels like Huron, Williams (William Smith's brig), Hersilia, Samuel, Gleaner, Huntress, Charity, Hannah, Henry, John, Hero (Nathaniel Palmer's sloop), Cora, Hetty, Essex and Mercury.
Some of the place names given by the nineteenth century sealers are descriptive, such as Devils Point, Hell Gates and Neck or Nothing Passage, hazardous places where ships and people were lost; False Bay, sometimes confused in thick weather with neighbouring South Bay; Needle Peak; Black Point; or the Robbery Beaches where American sealers were robbed of their sealskins by the British. However, names like Livingston, Mount Friesland, Ereby Point and Renier Point that also became established during the first few seasons after the discovery of the island remain of unknown origin.
Livingston was the third name of the island, introduced in 1821 by the British sealer Robert Fildes (as quoted above), replacing the popular early name Friesland Island (variously spelled also as Frieseland, Freesland, Freeseland, Frezeland, Freezland, Frezland and Freezeland) and the name Smolensk given by Bellingshausen in commemoration of one of the great battles of the Napoleonic Wars. The toponyms Friesland and Smolensk are now preserved as Mount Friesland and Smolensk Strait respectively. While the name Livingston is sometimes misspelt as Livingstone, it has nothing to do with the Scotsman David Livingstone, an 8-year-old boy in 1821 who was yet to become a cotton mill worker and still later a missionary and famous explorer of Africa.
Some place names on the island are given by Argentina and Chile, such as Charrúa Ridge, Scesa Point, Arroyo Point, Bruix Cove, Ocoa Point, Dreyfus Point, Mansa Cove, Agüero Point etc. Several Argentine names commemorate crewmen of the Argentine Navy Lockheed Neptune aircraft that crashed in poor weather on the then uninhabited island on 15 September 1976, killing 10 aircrew and a civilian television cameraman. Features like Point Smellie and Willan Nunatak are named after British scientists who have carried out field work on the island. Other names reflect the Spanish and Bulgarian exploration and mapping in the area, such as Española Cove, Mount Reina Sofía, San Telmo Island, Ballester Point and Castellvi Peak (after Antonio Ballester and Josefina Castellví, doyens of the Spanish Antarctic programme), Quiroga Ridge, Dañobeitia Crag, Ojeda Beach, Enrique Hill, Sàbat Hill, Casanovas Peak, Bulgarian Beach, Krum Rock (or Krumov Kamak), Pimpirev Beach (after Christo Pimpirev, doyen and leader of the Bulgarian Antarctic programme), Vergilov Ridge, Kuzman Knoll, Dimov Gate, Gurev Gap, Yankov Gap etc. Hespérides Point is named after BIO Hespérides, a Spanish Navy oceanographic vessel serving in particular as a resupply ship for the Spanish and Bulgarian bases for many years. Rongel Point and Las Palmas Cove are also named after modern Antarctic ships.
A concentration of place names (probably the highest in Antarctica) arising from local topographic diversity – over fifty names, mostly Chilean, occurs on the small ice-free headland forming the northern extremity of Ioannes Paulus II Peninsula and ending in Cape Shirreff.
Scientific bases and camps
The first modern, 'post-sealer' habitation facility on Livingston Island was the British base camp Station P that operated during the 1957/58 summer season at South Bay, on the east side of the small ice-free promontory ending in Hannah Point. The scientific bases of Juan Carlos I (Spain) and St. Kliment Ohridski (Bulgaria; often shortened by non-Bulgarians to Ohridski Base, sometimes misspelt as Ohridiski) were established in early 1988 at South Bay, on the northwest coast of Hurd Peninsula. Doctor Guillermo Mann Base (Chile) and adjoining Cape Shirreff Field Station (USA) operate on Cape Shirreff since 1991 and 1996 respectively, while Cámara Base (Argentina) on the tiny nearby Half Moon Island is one of the early bases in the Antarctic Peninsula region established in 1953. These facilities are used also by visiting scientists from various nations; in particular, the Bulgarian base has hosted the first steps in Antarctic research by scientists from countries such as Portugal, Luxembourg, North Macedonia, Mongolia and Turkey.
All four bases are permanent settlements, although inhabited only during the summer season. Their accommodation capacity is ca. 51, 18, 11 and 12 persons respectively, making it a total of 92 persons (80 for Livingston Island proper). The number of people inhabiting the bases in any particular season is actually greater as some of them stay for part of the time and are replaced by others.
Occasional or more permanent field camps support research in remote areas of the island. Camp Byers (Spain) operates regularly on the banks of Petreles Stream, South Beaches near Nikopol Point on Byers Peninsula; that site is also designated for use as an International Field Camp. The seasonal Camp Livingston (Argentina) is also situated on Byers Peninsula, while Sally Rocks Camp (Bulgaria) supported geological research on southern Hurd Peninsula. Camp Academia site situated at elevation in upper Huron Glacier, Wörner Gap area served as a base camp of the Tangra 2004/05 topographic survey. It is accessible by routes from St. Kliment Ohridski and Juan Carlos I base respectively, and offers convenient overland access to Tangra Mountains to the south; Bowles Ridge, Vidin Heights, Kaliakra Glacier and Saedinenie Snowfield areas to the north; Huron Glacier to the east; and Perunika Glacier and Huntress Glacier to the west. The site is named for the Bulgarian Academy of Sciences in appreciation of its contribution to Antarctic exploration, and has been designated as the summer post office Tangra 1091 of the Bulgarian Posts since 2004. Field work done out of Camp Academia during the 2004/05 season was noted in 2012 by Discovery Channel, the Natural History Museum, the Royal Collection and the British Antarctic Survey as a timeline event in Antarctic exploration.
Protected areas and sites
In order to protect Antarctica, the Antarctic Treaty system enforces a strict general regime regulating human presence and activities on the continent, and designates certain protected territories where access is allowed only for scientific purposes, and with special permission.
There are two such nature reserves on Livingston Island established in 1966: Antarctic Specially Protected Areas ASPA 149 Cape Shirreff and San Telmo Island, and ASPA 126 Byers Peninsula. These comprise respectively Byers Peninsula, which is the largest ice-free land area in the South Shetlands, and the small peninsula of Cape Shirreff together with Gerlovo Beach, nearby San Telmo Island and adjacent waters.
Subject of protection in ASPA 126 are the fossils demonstrating the link between Antarctica and other austral continents, a variety of abundant flora and fauna including colonies of seals and penguins that are the subject of scientific study and monitoring, as well as numerous historical monuments dating from the nineteenth century. This territory has been identified also as an Important Bird Area by BirdLife International because of its breeding colonies of Antarctic terns and kelp gulls. ASPA 149 features diverse plant and animal life, notably penguin and seal colonies including the largest fur seal breeding colony in the Antarctic Peninsula region. No longer hunted, fur seals have successfully re-colonized their original habitats on Livingston Island and elsewhere in the Antarctic Peninsula region.
The land boundary of ASPA 126 Byers Peninsula was shifted eastwards to 60º53'45"W in 2016 to include along with Byers Peninsula also all ice-free ground and ice sheet west of Clark Nunatak and Rowe Point, increasing the overall surface area of that protected territory to . Two restricted zones of scientific importance to Antarctic microbiology have been further designated within these boundaries with greater restriction placed on access with the aim of preventing microbial or other contamination by human activity: Ray Promontory in the west, and Ivanov Beach and northwestern Rotch Dome in the east.
There are two Historic Sites or Monuments of Antarctica on the island: San Telmo Cairn (HSM 59) at Cape Shirreff, which commemorates the 644 Spaniards lost on board the San Telmo in 1819, and the Lame Dog Hut (HSM 91) at St. Kliment Ohridski base, which is the oldest preserved building on Livingston Island and together with its associated artefacts is considered a part of the cultural and historic heritage of the island and Antarctica. The hut hosts the Livingston Island Museum, a branch of the National Museum of History in Sofia.
Tourism
Antarctic shipborne tourism was initiated in the 1957/58 season with four cruises operated by Chile and Argentina in the South Shetland Islands. Since then the number of tourists visiting Antarctica has grown to several tens of thousands annually. Over 95% of them tour the South Shetlands and the nearby Antarctic Peninsula. Hannah Point on the south coast of Livingston, Half Moon Island off its east coast, Aitcho Islands just north of Greenwich Island, and Deception Island are among the most popular destinations. Tourists arrive mainly in cruise ships, and are landed by Zodiac rigid inflatable boats to walk along designated trails led by tourist guides and enjoy picturesque scenery and wildlife. Zodiac boats are the preferred means of local sea transport, being particularly suitable for navigation among floating ice and landing at places lacking port facilities. Naturally, this is only possible in summer as the sea surface is partially or completely frozen in ice over one meter thick in winter. Visits by yachts and extreme tourism such as kayaking have become increasingly popular, too.
Cruise ships visiting Hannah Point occasionally make a sightseeing detour to the Bulgarian base, where the tourists could visit the Livingston Island Museum established in October 2012, the old and new chapels of St. Ivan Rilski – the first Eastern Orthodox edifice in Antarctica consecrated in February 2003, and the Monument to the Cyrillic Script erected on Pesyakov Hill in March 2018. Livingston Island has some particular relationship with the Cyrillic alphabet as the modern system for the Romanization of Bulgarian was developed in 1995 for use in Bulgarian-related place names on the island by the Antarctic Place-names Commission, and later became official for Bulgaria, UK, USA and UN.
The northeasternmost slopes of Tangra Mountains between Elena Peak and Renier Point together with the adjacent portion of Sopot Ice Piedmont are a popular site for backcountry skiing and climbing, with skiers landed by Zodiac boats from cruise ships visiting Half Moon Island's vicinity.
Honours
Several squares and streets in Bulgarian towns and cities are named after Livingston Island, such as Livingston Island Square in Samuil and Kula, and Livingston Island Street in Gotse Delchev, Yambol, Petrich, Sofia, Lovech and Vidin.
Gallery
See also
Maps
G. Powell. Chart of South Shetland including Coronation Island, &c. from the exploration of the sloop Dove in the years 1821 and 1822 by George Powell Commander of the same. Scale ca. 1:200000. London: Laurie, 1822
G.J. Hobbs. Map showing the physiography, geological station numbers and the survey routes on Livingston Island. In: The geology of Livingston Island . Scientific Report No. 47. British Antarctic Survey, 1963. Figure 1
South Shetland Islands. Scale 1:200000 topographic map. DOS 610 Sheet W 62 60. Tolworth, UK, 1968
South Shetland Islands. Scale 1:200000 topographic map. DOS 610 Sheet W 62 58. Tolworth, UK, 1968
Livingston Island to King George Island. Scale 1:200000. Admiralty Chart 1776. UK Hydrographic Office, 1968
Isla Elefante a Isla Trinidad. Mapa hidrográfico a escala 1:500000 / 1:350000. Valparaíso: Instituto Hidrográfico de la Armada de Chile, 1971
Islas Shetland del Sur de Isla 25 de Mayo a Isla Livingston. Mapa hidrográfico a escala 1:200000. Buenos Aires: Servicio de Hidrografía Naval de la Armada, 1980
Islas Livingston y Decepción. Mapa topográfico a escala 1:100000. Madrid: Servicio Geográfico del Ejército, 1991
Isla Livingston: Península Hurd. Mapa topográfico de escala 1:25000. Madrid: Servicio Geográfico del Ejército, 1991. (Map reproduced on p. 16 of the linked work)
Península Byers, Isla Livingston. Mapa topográfico a escala 1:25000. Madrid: Servicio Geográfico del Ejército, 1992. (Map image on p. 55 of the linked study)
L. Ivanov. St. Kliment Ohridski Base, Livingston Island. Scale 1:1000 topographic map. Sofia: Antarctic Place-names Commission of Bulgaria, 1996. (First Bulgarian Antarctic topographic map; original version)
L. Ivanov. Livingston Island: Central-Eastern Region. Scale 1:25000 topographic map. Sofia: Antarctic Place-names Commission of Bulgaria, 1996
S. Soccol, D. Gildea and J. Bath. Livingston Island, Antarctica. Scale 1:100000 satellite map. The Omega Foundation, USA, 2004
L. Ivanov et al. Antarctica: Livingston Island and Greenwich Island, South Shetland Islands (from English Strait to Morton Strait, with illustrations and ice-cover distribution). Scale 1:100000 topographic map. Sofia: Antarctic Place-names Commission of Bulgaria, 2005
L. Ivanov. Antarctica: Livingston Island and Greenwich, Robert, Snow and Smith Islands. Scale 1:120000 topographic map. Troyan: Manfred Wörner Foundation, 2010. (First edition 2009. )
Antarctica, South Shetland Islands, Livingston Island: Bulgarian Antarctic Base. Sheets 1 and 2. Scale 1:2000 topographic map. Geodesy, Cartography and Cadastre Agency, 2016. (in Bulgarian, map images on slides 6 and 7 of the linked report)
L. Ivanov. Antarctica: Livingston Island and Smith Island. Scale 1:100000 topographic map. Manfred Wörner Foundation, 2017.
Antarctic Digital Database (ADD). Scale 1:250000 topographic map of Antarctica. Scientific Committee on Antarctic Research (SCAR). Since 1993, regularly upgraded and updated
A. Kamburov and L. Ivanov. Bowles Ridge and Central Tangra Mountains: Livingston Island, Antarctica. Scale 1:25000 map. Sofia: Manfred Wörner Foundation, 2023.
In popular culture
The area of the Spanish and Bulgarian bases on Livingston Island is the setting of the book Las aventuras de Piti en la Antártida by the Spanish author and polar explorer Javier Cacho.
The British romantic novelist Rosie Thomas (pseudonym of Janey King) wrote her book Sun at Midnight at the Bulgarian base during the 2002/03 austral summer.
The island contributes to the mise-en-scène of the 2016 Antarctica thriller novel The Killing Ship by Simon Beaufort (joint alias of Elizabeth Cruwys and Beau Riffenburgh), with action spreading from Hannah Point to Byers Peninsula via Ivanov Beach, skirting Verila Glacier and Rotch Dome in the process.
The naming of St. Boris Peak after a Bulgarian saint was reminded by the British press in connection with the victory of Boris Johnson in the London mayoral election on 2 May 2008, that particular day being St. Boris's Day in the Bulgarian Orthodox Church.
The cover of the VA album Under Heaven: Vinson Massif (2010) actually features not a photo of Vinson Massif but one of Livingston's Elena, Yavorov and Delchev Peaks instead. Both the picture and the misidentification may have possibly originated in the 'Vinson Massif' entry of the 'Seven Summits Quest' website.
Notes
Bibliography
C. Pimpirev and N. Chipev, eds. Bulgarian Antarctic Research: A Synthesis. Sofia: St. Kliment Ohridski University Press, 2015. 334 pp. (Concise presentation of the Bulgarian Antarctic research in the field of earth and life sciences carried out on Livingston Island during the period 1988 – 2015)
J. Stewart. Antarctica: An Encyclopedia. Jefferson, N.C. and London: McFarland, 2011. 1771 pp.
B. Riffenburgh, ed. Encyclopedia of the Antarctic. New York, N.Y.: Routledge, 2006. 1272 pp.
E. Serrano. Espacios protegidos y política territorial en las islas Shetland del Sur (Antártida). Boletín de la A.G.E. N.º 31 - 2001, págs. 5-21
L. Ivanov. Bulgarian Names in Antarctica. Sofia: Manfred Wörner Foundation, 2021. Second edition. 539 pp. (in Bulgarian)
L. Ivanov and N. Ivanova. The World of Antarctica. Generis Publishing, 2022. 241 pp.
External links
Base Doctor Guillermo Mann (Chile)
Bulgarian Antarctic Base St. Kliment Ohridski
Expedition Omega Livingston 2003. The Omega Foundation, USA, 2003
Expedition Tangra 2004/05
Juan Carlos I Spanish Antarctic Station
Livingston Island. Antarctic Place-names Commission of Bulgaria, 2006
South Shetland Islands. 70south, 2005. Information on the South Shetlands including Livingston Island
Bulgaria and the Antarctic
Islands of the South Shetland Islands
Seal hunting | {
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I tried creating my Custom post types successfully, but the problem is that the single-(custom post type).php file is not created, so I was not able to create a template on the page. I tried creating the file name through FTP but the problem is that I need the template file to put in the empty file I created.
Are you doing this at the network level of the site level in multisite?
I just tested on the network level and it created the file fine for me.
If that file exists then the check button will be greyed out and selected so you can't change it. Is it still like that?
Or can you create it again?
If so then check the permissions on the theme folder to ensure it can be created.
Thanks, I saw where the problem comes from I actually didn't do it from the Network Admin area but on the dashboard of the main site, but in case I want to give my users the opportunity to actually use this where and how will they be able to get to create that file for them.
They are only available on the network level.
If two people created the same post type the file could only be created once.
If you had a plugin running which has it's own post type then generating a new file just for the post type could overrule the template file originally handling it. Not always applicable but potentially causing issues.
Code shouldn't be accessible to the end users either as that poses a security issue so letting them generate a PHP file would only be replicating that of the single.php within a given theme. they couldn't then edit it.
So I'm not sure of the purpose of having this available to users within a network install? | {
"redpajama_set_name": "RedPajamaC4"
} | 5,837 |
An Archibold Knox designed Cake Basket, model ref 0359, design reg 440014 dated 1905, made for Liberty & Co, London. Loop handled and fashioned in relief with typical celtic stylised leaves and tendrils. The base is inset with a mixed blue and green enamel. Fully marked to the base with the expected marks. This piece was destined for export to an authorised Liberty's retailer in New Zealand as it is also marked Dawsons Ltd, Dunedin, N.Z.
Superb original condition with no damage to the pewter and just a small natural firing blemish to a small outer edge section of the enamel inlay. The pewter has a lovely aged patina. | {
"redpajama_set_name": "RedPajamaC4"
} | 2,458 |
\section{Introduction}
It can be argued using the principles of quantum mechanics and classical general relativity that the picture of spacetime at the very large as being a smooth manifold must necessarily break down at the Planck scale ${\lambda}_p$ \cite{Doplicher:1994tu,Doplicher:1994zv}. At this scale localization looses its operational meaning due to intense gravitational fields and formation of black holes and as a consequence one expects spacetime uncertainty relations which in turn strongly suggest that spacetime has a quantum structure expressed by $[x_{\mu},x_{\nu}]=i{\lambda}_p^2Q_{\mu \nu}$. The geometry of spacetime at the very small is therefore noncommutative.
Noncommutative geometry \cite{Connes:1994yd}, see also \cite{Madore:2000aq,Landi:1997sh,GraciaBondia:2001tr,Varilly:1997qg,Coquereaux:1992wa} and \cite{Frohlich:1993es}, allows for the description of the geometry of smooth differentiable manifolds in terms of the underlying $C^{*}-$algebra of functions defined on these manifolds. Indeed given the following three data $a)$ the algebra ${\cal A}=C^{\infty}(M)$ of complex valued smooth and continous functions on a manifold $M$, $b)$ the Hilbert space ${\cal H}=L^2(M,S)$ of square integrable sections of the irreducible spinor bundle over $M$ and $c)$ the Dirac operator ${\cal D}={\gamma}^{\mu}({\partial}_{\mu}+\frac{1}{2}{\omega}_{\mu ab}{\gamma}^a{\gamma}^b)$ associated with the Levi-Civita connection $\omega$ one can reconstruct completely the differential geometry of the manifold $M$. These three data compose the so-called spectral triple $({\cal A},{\cal H},{\cal D})$ corresponding to the Riemannian manifold $M$. In the absence of spin structure it is sufficient to use the Laplacian ${\Delta}$ instead of the Dirac operator in the spectral triple.
Noncommutative geometry is also more general than ordinary differential geometry in that it also enables us to describe algebraically the geometry of arbitrary spaces (which a priori do not need to consist of points) in terms of spectral triples. The paradigm of noncommutative geometry adopted so often in physics is to generalize the ordinary commutative space $M$ by replacing the commutative algebra ${\cal A}$ by a noncommutative algebra ${\cal A}_{\theta}$. The result of this deformation is in general a noncommutative space $M_{\theta}$ defined precisely by the spectral triple $({\cal A}_{\theta},{\cal H}_{\theta},{\cal D}_{\theta}/{\Delta}_{\theta})$ where the Hilbert space ${\cal H}_{\theta}$ is the representation space of the noncommutative algebra ${\cal A}_{\theta}$ and ${\cal D}_{\theta}/{\Delta}_{\theta}$ is the deformation of the commutative Dirac operator/Laplacian ${\cal D}/{\Delta}$ \cite{Connes:1994yd,Frohlich:1993es}.
Noncommutative geometry was also proposed (in fact earlier than renormalization) as a possible way to eliminate ultraviolet divergences in quantum field theories \cite{Snyder:1946qz,Yang:1947ud}. The quantum spacetime of \cite{Doplicher:1994tu,Doplicher:1994zv} is Lorentz-covariant based on the commutation relations $[x_{\mu},x_{\nu}]=i{\lambda}_p^2Q_{\mu \nu}$ with $Q_{\mu \nu}$ satisfying $[x_{\lambda},Q_{\mu \nu}]=0$, $Q_{\mu \nu}Q^{\mu \nu}=0$ and $(\frac{1}{2}{\epsilon}_{\mu \nu \lambda \rho}Q^{\mu \nu}Q^{\lambda \rho})^2=1$. As it turns out quantum field theory on this space is ultraviolet finite \cite{Bahns:2003vb} which is a remarkable consequence of spacetime quantization. This result is however not very surprising.
Indeed this phenomena of ``regularization by quantization'' already happens in quantum mechanics. For example while classical mechanics fail to explain the blackbody radiation in the ultraviolet (the UV catastroph) quantum mechanics reproduces the correct (finite) answer given by the famous experimentally verified Stefan-Boltzman law.
Noncommutative field theory is by definition a field theory based on a noncommutative spacetime \cite{Douglas:2001ba,Szabo:2001kg}. The most studied examples in the literature are the Moyal-Weyl spaces ${\bf R}^d_{\theta}$ which correspond to the case $Q_{\mu \nu}={\theta}_{\mu \nu}$ where ${\theta}_{\mu \nu}$ are rank $2$ (or $1$) antisymmetric constant tensors, i.e.
\begin{eqnarray}
[x_{\mu},x_{\nu}]=i{\theta}_{\mu\nu}.
\end{eqnarray}
This clearly breakes Lorentz symmetry. The corresponding quantum field theories are not UV finite \cite{Filk:1996dm} and furthermore they are plagued with the so-called UV-IR mixing phenomena \cite{Minwalla:1999px}.
For example in the case of scalar field theory on Moyal-Weyl spaces the UV-IR mixing was shown to destroy the
perturbative renormalizability of the theory in \cite{Chepelev:1999tt,Chepelev:2000hm}. The UV-IR mixing in this model means in particular that the non-planar contribution to the two-point function which is finite for generic values of the external momentum behaves as $1/(\theta p)^2$ in the limit $p\longrightarrow 0$ and/or $\theta\longrightarrow 0$. The physics at very large distances is thus altered by the noncommutativity which is supposed to be relevant only at very short distances. Equivalently it was shown in \cite{Griguolo:2001ez} that although the renormalization group equations are finite in the IR regime their perturbative approximations are IR divergent. In \cite{Grosse:2003aj,Grosse:2004yu,Grosse:2003nw} a modified scalar field theory on noncommutative ${\bf R}^d_{\theta}$ was proposed and shown to be renormalizable to all orders in perturbation theory in $d=2$ and $4$. The modification consists of making the action invariant under the duality transformation of \cite{Langmann:2002cc} by adding a harmonic oscillator potential to the kinetic term which precisely modifies the free theory as desired.
For scalar field theory with ${\phi}^4$ interaction the phase diagram consists of three phases instead of the usual two phases found in commutative scalar field theory. We observe a disordered phase, a uniform ordered phase and a novel nonuniform ordered phase which meet at a triple point possibly a Lifshitz point \cite{Gubser:2000cd,Chen:2001an}. The nonuniform phase is the analogue of the matrix phase in pure gauge models (see below) in the sense that in this phase the spacetime metric is modified by quantum fluctuations of the noncommutative field theory since the Laplacian at the transition point is found to be $({\partial}_{\mu}^2)^2$ and not ${\partial}_{\mu}^2$ \cite{Chen:2001an}. In the nonuniform ordered phase we have
spontaneous breakdown of translational invariance \cite{Gubser:2000cd,Castorina:2003zv,Girotti:2002kr}. The transition from the disordered phase to the nonuniform ordered phase is thought to be first order and the nonuniform ordered phase is a periodically modulated phase which for small values of the coupling constant is dominated by stripes \cite{Gubser:2000cd}. This should hold even in two dimensions.
This behavior was confirmed in Monte Carlo simulations on the noncommutative torus \cite{Ambjorn:2000cs,Ambjorn:1999ts,Ambjorn:2000nb} in \cite{Ambjorn:2002nj,Bietenholz:2004xs} and on the fuzzy sphere \cite{Hoppe:1982,Madore:1991bw} in \cite{Martin:2004un,GarciaFlores:2005xc,Panero:2006bx}.
It is therefore natural to conjecture that there must exist two fixed points in this theory, the usual Wilson-Fisher fixed point at $\theta=0$ and a novel fixed point at $\theta=\infty$ which is intimately related to the underlying
matrix model structure of the model \cite{Ydri:2012nw}. The crucial input in a scalar field theory on a noncommutative space is the scalar potential which when written in the matrix base is a random matrix theory which for a ${\phi}^4$ interaction is given by
\begin{eqnarray}
V=N(aTr M^2+bTr M^4).\label{matrix}
\end{eqnarray}
The main property of this matrix model which plays a central role in the phase structure of a noncommutative ${\phi}^4$ interaction is the existence of one-cut/two-cut transition, with the one-cut (disordered) phase corresponding to $a{\geq}a_*$ where \cite{Brezin:1977sv,Shimamune:1981qf}
\begin{eqnarray}
a_*=-2\sqrt{b}.
\end{eqnarray}
The kinetic term is trying to add a geometry to the dynamics of the matrix $M$ which is at the heart of the rich phase structure we observe. For small $b$ the usual Ising model transition is expected and the $\theta=0$ fixed point should control the physics. We expect on the other hand that the $\theta=\infty$ fixed point should control most of the phase diagram since generically the ${\phi}^4$ interaction, i.e. the coupling $b$ is not weak.
Noncommutative gauge theories attracted a lot of interest in recent years because of their appearance in string theory \cite{Seiberg:1999vs,Connes:1997cr,Schomerus:1999ug}. For example it was discovered that the dynamics of open strings moving in a flat space in the presence of a non-vanishing Neveu-Schwarz B-field and with Dp-branes is equivalent to leading order in the string tension to a gauge theory on a Moyal-Weyl space ${\bf R}^d_{\theta}$. Extension of this result to curved spaces is also possible at least in one particular instance, namely the case of open strings moving in a curved space with ${\bf S}^3$ metric. The resulting effective gauge theory lives on a noncommutative fuzzy sphere ${\bf S}^2_N$ \cite{Alekseev:1999bs,Alekseev:2000fd,Hikida:2001py}.
Another class of noncommutative spaces, besides Moyal-Weyl spaces, which will be very important for us in this article is fuzzy spaces \cite{O'Connor:2003aj,Balachandran:2002ig}. Fuzzy physics is by definition a field theory based on fuzzy spaces \cite{Ydri:2001pv,Kurkcuoglu:2004gf}. The original idea of discretization by quantization (fuzzification) works well for co-adjoint orbits such as projective spaces. A seminal example of fuzzy spaces is the fuzzy two-dimensional sphere ${\bf S}^2_N$ \cite{Hoppe:1982,Madore:1991bw}. The fuzzy sphere is defined by three $N\times N$ matrices $x_i$, $i=1,2,3$ playing the role of coordinates operators satisfying $\sum_ix_i^2=1$ and the commutation relations
\begin{eqnarray}
[x_i,x_j]=i\theta{\epsilon}_{ijk}x_k~,~\theta=\frac{1}{\sqrt{c_2}}~,~c_2=\frac{N^2-1}{4}.
\end{eqnarray}
The fuzzy sphere which is the simplest among fuzzy projective spaces was actually proposed as a nonperturbative regularization of ordinary quantum field theory in \cite{Grosse:1996mz}. See also \cite{Grosse:1995ar,Grosse:1998gn,Grosse:1995pr,Klimcik:1999uk}. However we know now that this can not be correct because of the complicated phase structure of noncommutative $\phi^4$ scalar field theories on the fuzzy sphere \cite{O'Connor:2007ea,Steinacker:2005wj}. Instead it is becoming very clear that it is more appropriate to think of the fuzzy sphere as a nonperturbative regularization of noncommutative quantum field theory on Moyal-Weyl plane. For example we can show in a particular double scaling limit that the nonperturbative phase structure of scalar fields on the Moyal-Weyl plane can be rigorously identified with the nonperturbative phase structure of scalar fields on the fuzzy sphere, and in particular the matrix or nonuniform ordered phase on the fuzzy sphere goes precisely to the stripe phase on the Moyal-Weyl plane \cite{Medina:2007nv}.
In $3-$dimensions we have the fuzzy three sphere ${\bf S}^3_N$ \cite{Dolan:2003kq}. In $4-$dimensions we have $3$ fuzzy manifolds which are obtained from co-adjoint orbits. The direct product of fuzzy two spheres ${\bf S}^2_N{\times}{\bf S}^2_N$ \cite{Vaidya:2003ew}, fuzzy ${\bf CP}^2_N$ \cite{Grosse:1999ci,Alexanian:2001qj} and fuzzy ${\bf S}^4_N$ as a squashed fuzzy ${\bf CP}^3_N$ \cite{Medina:2002pc}.
The most appealing aspect of discretization by quantization remains its remarkable success in preserving continuous symmetries including supersymmetry and capturing correctly topological properties \cite{Ydri:2001pv,Kurkcuoglu:2004gf,Balachandran:2005ew}. Indeed the fuzzy approach does not suffer from fermion doubling \cite{Grosse:1998gn,Balachandran:1999qu,Balachandran:2003ay}, it extends naturally to supersymmetry \cite{Grosse:1995pr,Klimcik:1999uk,Valavane:2000iz,Balachandran:2002jf} and it captures correctly nontrivial field configurations such as monopoles and instantons using the language of projective modules and K-theory \cite{Grosse:1995jt,Baez:1998he,Balachandran:1999hx,CarowWatamura:2004ct}.
The noncommutative Moyal-Weyl spaces should be thought of as infinite dimensional matrix algebras not as continuum manifolds. Quantum fluctuations of a gauge theory on ${\bf R}_{\theta}^d$ will generically make the vacuum which is here the Moyal-Weyl space itself unstable. To see this effect we formally rewrite gauge theory on ${\bf R}^d_{\theta}$ as a matrix model with $N-$dimensional matrices $\hat{D}_i$ where $N\longrightarrow\infty$. This is given by
\begin{eqnarray}
S=\frac{\sqrt{{\rm det}(\pi \theta B)}}{2g^2}Tr_{\cal H}\bigg(i[\hat{D}_i,\hat{D}_j]-\frac{1}{{\theta}}B^{-1}_{ij}\bigg)^2.\label{action}
\end{eqnarray}
By computing the effective potential in the configuration $\hat{D}_i=-\phi B^{-1}_{ij} \hat{x}_j$ we will verify explicitly that the Moyal-Weyl space itself, i.e the algebra $[x_{\mu},x_{\nu}]=i{\theta}_{\mu \nu}$, ceases to exist above a certain value $g_*$ of the gauge coupling constant. We find $g_*^2={\pi}^2/N$ in four dimensions (see section $2$). In other words by moving in the phase diagram from strong coupling to weak coupling the geometry of the Moyal-Weyl spaces (including the star product and the representation of operators by fields) emerges at the critical point $g_*$. As a consequence a natural regularization of Moyal-Weyl spaces must include in a fundamental way matrix degrees of freedom. The regularization which will be employed in this article is given by fuzzy projective spaces \cite{Balachandran:2001dd}. The main reason behind this choice is the fact that the phenomena of emergent geometry \cite{Bombelli:1987aa,Seiberg:2006wf,Ambjorn:2006hu} which we observed here on Moyal-Weyl spaces shows up also in all matrix models on fuzzy projective spaces.
Let us note the deep connection which exists between the geometry in transition we observe here on Moyal-Weyl space ${\bf R}_{\theta}^4$ and the perturbative UV-IR mixing and beta function of $U(1)$ gauge theory computed in \cite{Martin:2000bk,Krajewski:1999ja}. The structure of the effective potential in $2$ dimensions indicates that there is no transition and no UV-IR mixing in $U(1)$ gauge theory on ${\bf R}_{\theta}^2$ and therefore the theory is expected to be renormalizable. This was shown numerically to be true in \cite{Bietenholz:2002ch}. We also expect that noncommutative ${\cal N}=1$ supersymmetric $U(1)$ gauge theory in $4$ dimensions is renormalizable.
Let us note also that fuzzy regularization is different from the usual one which is based on the Eguchi-Kawai model \cite{Eguchi:1982nm} and the noncommutative torus \cite{Ambjorn:2000cs,Ambjorn:1999ts,Ambjorn:2000nb}, i.e the twisted Eguchi-Kawai model. The twisted Eguchi-Kawai model was employed as a nonperturbative regularization of noncommutative gauge theory in \cite{Bietenholz:2004wk,Bietenholz:2006cz,Bietenholz:2005iz} where the instability and the phase transition discussed here were also obtained.
Finally we note that the strong coupling phase (above $g_*$) of noncommutative gauge theory on ${\bf R}_{\theta}^d$ corresponds to $\theta=\infty$. It is dominated by commuting operators. The limit $\theta\longrightarrow\infty$ is the planar theory (only planar graphs survive) \cite{Filk:1996dm} and it is intimately related to large $N$ limits of hermitian matrix models \cite{DiFrancesco:1993nw,eynard} and \cite{Gubser:2000cd}. In this phase of commuting operators supersymmetry may be broken.
The phenomena of emergent geometry associated with noncommutative gauge theory is therefore a major motivation behind choosing fuzzy projective spaces as a nonperturbative regularization of Moyal-Weyl spaces. The other motivation comes of course from the novel phase known variously as stripe, nonuniform ordered or matrix phase found in noncommutative scalar field theory which we have only briefly discussed in this introduction. The phenomena of emergent geometry is also, on the other hand, intimately tied to reduced Yang-Mills models which will be the topic of central interest in the remainder of this introduction and in most of this article.
It is well established that reduced Yang-Mills theories play a central role in the nonperturbative definitions of $M$-theory and superstrings. The BFSS conjecture \cite{Banks:1996vh} relates discrete light-cone quantization (DLCQ) of $M-$theory to the theory of $N$ coincident $D0$ branes which at low energy (small velocities and/or string coupling) is the reduction to $0+1$ dimension of the $10$ dimensional $U(N)$ supersymmetric Yang-Mills gauge theory \cite{Witten:1995im}. The BFSS model is therefore a Yang-Mills quantum mechanics which is supposed to be the UV completion of $11$ dimensional supergravity. As it turns out the BFSS action is nothing else but the regularization of the supermembrane action in the light cone gauge \cite{deWit:1988ig}.
The BMN model \cite{Berenstein:2002jq} is a generalization of the BFSS model to curved backgrounds. It is obtained by adding to the BFSS action a one-parameter mass deformation corresponding to the maximally supersymmetric pp-wave background of $11$ dimensional supergravity. See for example \cite{KowalskiGlikman:1984wv,Blau:2001ne,Blau:2002dy}. We note, in passing, that all maximally supersymmetric pp-wave geometries can arise as Penrose limits of $AdS_p\times S^q$ spaces \cite{penrose}.
The IKKT model \cite{Ishibashi:1996xs} is, on the other hand, a Yang-Mills matrix model obtained by dimensionally reducing $10$ dimensional $U(N)$ supersymmetric Yang-Mills gauge theory to $0+0$ dimensions. The IKKT model is postulated to provide a constructive definition of type II B superstring theory and for this reason it is also called type IIB matrix model. Supersymmetric analogue of the IKKT model also exists in dimensions $d=3,4$ and $6$ while the partition functions converge only in dimensions $d=4,6$ \cite{Krauth:1998yu,Austing:2001pk}.
The IKKT Yang-Mills matrix models can be thought of as continuum Eguchi-Kawai reduced models as opposed to the usual lattice Eguchi-Kawai reduced model formulated in \cite{Eguchi:1982nm}. We point out here the similarity between the conjecture that the lattice Eguchi-Kawai reduced model allows us to recover the full gauge theory in the large $N$ theory and the conjecture that the IKKT matrix model allows us to recover type II B superstring.
The relation between the BFSS Yang-Mills quantum mechanics and the IKKT Yang-Mills matrix model is discussed at length in the seminal paper \cite{Connes:1997cr} where it is also shown that toroidal compactification of the D-instanton action (the bosonic part of the IKKT action) yields, in a very natural way, a noncommutative Yang-Mills theory on a dual noncommutative torus \cite{Connes:1987ue}. From the other hand, we can easily check that the ground state of the D-instanton action is given by commuting matrices which can be diagonalized simultaneously with the eigenvalues giving the coordinates of the D-branes. Thus at tree-level an ordinary spacetime emerges from the bosonic truncation of the IKKT action while higher order quantum corrections will define a noncommutative spacetime.
In summary, Yang-Mills matrix models which provide a constructive definition of string theories will naturally lead to emergent geometry \cite{Seiberg:2006wf} and non-commutative gauge theory \cite{Aoki:1999vr,Aoki:1998vn}. Furthermore, non-commutative geometry \cite{Connes:1994yd,GraciaBondia:2001tr} and their non-commutative field theories \cite{Douglas:2001ba,Szabo:2001kg} play an essential role in the non-perturbative dynamics of superstrings and $M$-theory. Thus the connections between non-commutative field theories, emergent geometry and matrix models from one side and string theory from the other side run deep.
It seems therefore natural that Yang-Mills matrix models provide a non-perturbative framework for emergent spacetime geometry and non-commutative gauge theories. Since non-commutativity is the only extension which preserves maximal supersymmetry, we also hope that Yang-Mills matrix models will provide a regularization which preserves supersymmetry \cite{Nishimura:2009xm}.
In this article we will explore in particular the possibility of using IKKT Yang-Mills matrix models in dimensions $4$ and $3$ to provide a non-perturbative definition of emergent spacetime geometry, non-commutative gauge theory and supersymmetry in two dimensions. From our perspective in this article, the phase of commuting matrices has no geometry in the sense of Connes and thus we need to modify the models so that a geometry with a well defined spectral triple can also emerge alongside the phase of commuting matrices.
There are two solutions to this problem. The first solution is given by adding mass deformations which preserve supersymmetry to the flat IKKT Yang-Mills matrix models \cite{Bonelli:2002mb} or alternatively by an Eguchi-Kawai reduction of the mass deformed BFSS Yang-Mills quantum mechanics constructed in \cite{Kim:2006wg,Kim:2002cr,Hyun:2002fk,Hyun:2003se}. The second solution, which we have also considered in this article, is given by deforming the flat Yang-Mills matrix model in $D=4$ using the powerful formalism of cohomological Yang-Mills theory \cite{Moore:1998et,Hirano:1997ai,Kazakov:1998ji,Hoppe:1999xg}.
These mass deformed or cohomologically deformed IKKT Yang-Mills matrix models are the analogue of the BMN model and they typically include a Myers term \cite{Myers:1999ps} and thus they will sustain the geometry of the fuzzy sphere \cite{Hoppe:1982,Madore:1991bw} as a ground state which at large $N$ will approach the geometry of the ordinary sphere, the ordinary plane or the non-commutative plane depending on the scaling limit. Thus a non-perturbative formulation of non-commutative gauge theory in two dimensions can be captured rigorously within these models \cite{CarowWatamura:1998jn,Iso:2001mg,Presnajder:2003ak}. See also \cite{Ishiki:2008vf,Ishiki:2009vr}.
This can in principle be generalized to other fuzzy spaces \cite{Balachandran:2005ew} and higher dimensional non-commutative gauge theories by considering appropriate mass deformations of the flat IKKT Yang-Mills matrix models.
The problem or virtue of this construction, depending on the perspective, is that in these Yang-Mills matrix models the geometry of the fuzzy sphere collapses under quantum fluctuations into the phase of commuting matrices. Equivalently, it is seen that the geometry of the fuzzy sphere emerges from the dynamics of a random matrix theory \cite{DelgadilloBlando:2007vx,Azuma:2004zq}. Supersymmetry is naturally expected to stabilize the spacetime geometry, and in fact the non stability of the non-supersymmetric vacuum should have come as no surprise to us \cite{Witten:2000zk}.
We should mention here the approach of \cite{Steinacker:2003sd} in which a noncommutative Yang-Mills gauge theory on the fuzzy sphere emerges also from the dynamics of a random matrix theory. The fuzzy sphere is stable in the sense that the transition to commuting matrices is pushed towards infinite gauge coupling at large $N$ \cite{O'Connor:2006wv}. This was achieved by considering a very special non-supersymmetric mass deformation which is quartic in the bosonic matrices. This construction was extended to a noncommutative gauge theory on the fuzzy sphere based on co-adjoint orbits in \cite{Steinacker:2007iq}.
Let us also note here that the instability and the phase transition discussed here were also observed on the non-commutative torus in \cite{Bietenholz:2004wk,Bietenholz:2006cz,Bietenholz:2005iz,Azeyanagi:2008bk,Azeyanagi:2007su} where the twisted Eguchi-Kawai model was employed as a non-perturbative regularization of non-commutative Yang-Mills gauge theory \cite{Ambjorn:2000cs,Ambjorn:1999ts,Ambjorn:2000nb}.
In this article we will study, using cohomological matrix theory and the Monte Carlo method, the mass deformed Yang-Mills matrix model in $D=4$ as well as a particular truncation to $D=3$. We will derive and study a one-parameter cohomological deformation of the Yang-Mills matrix model which coincides with the mass deformed model in $D=4$ when the parameter is tuned appropriately. We will show that the first/second order phase transition from the fuzzy sphere to the phase of commuting matrices observed in the bosonic models is converted in the supersymmetric models into a very slow crossover transition with an arbitrary small transition point in the large $N$ limit. We will determine the eigenvalues distributions for both $D=4$ and $D=3$ throughout the phase diagram. The $D=3$ eigenvalues distribution can be obtained from a particular $D=4$ model by means of the methods of cohomological Yang-Mills matrix theory, large $N$ saddle point and localization techniques \cite{Witten:1991we,Witten:1992xu}.
This article is organized as follows: In section $2$ we give a brief discussion of the phenomena of emergent geometry on the Moyal-Weyl space using the effective potential. In section $3$ we give a short review on fuzzy projective spaces. In section $4$ we review results on emergent geometry in bosonic $D=3$ Yang-Mills matrix models. In section $5$ we will derive the mass deformed Yang-Mills quantum mechanics from the requirement of supersymmetry and then reduce it further to obtain Yang-Mills matrix model in $D=4$ dimensions. In section $6$ we will derive a one-parameter family of cohomologically deformed models and then show that the mass deformed model constructed in section $5$ can be obtained for a particular value of the parameter. In section $7$ we report our first Monte Carlo results for the model $D=4$ including the eigenvalues distributions and also comment on the $D=3$ model obtained by simply setting the fourth matrix to $0$. In section $8$ we solve a particular $D=4$ model and show by means of cohomological Yang-Mills matrix theory and localization techniques that it is equivalent to the matrix $D=3$ Chern-Simons theory. By using the saddle point method we derive the $D=3$ eigenvalues distribution. We conclude in section $9$ with a comprehensive summary of the results and discuss future directions. The detail of the simulations are found in appendices $A$ and $B$ while appendix $C$ contains a detail calculation of the supersymmetric mass deformation and appendix $D$ contains a calculation of the star product on the Moyal-Weyl plane starting from the star product on the fuzzy sphere.
\section{Gauge Theory on Noncommutative Moyal-Weyl Spaces}
The
basic noncommutative gauge theory action of interest to us in
this article can be obtained from a matrix model of the form (see \cite{Douglas:2001ba} and references therein)
\begin{eqnarray}
S=\frac{\sqrt{{\theta}^d{\rm det}(\pi B)}}{2g^2}Tr_{\cal H}\hat{F}_{ij}^2=\frac{\sqrt{{\theta}^d{\rm det}(\pi B)}}{2g^2}Tr_{\cal H}\bigg(i[\hat{D}_i,\hat{D}_j]-\frac{1}{{\theta}}B^{-1}_{ij}\bigg)^2.\label{action}
\end{eqnarray}
Here $i,j=1,...,d$ with $d$ even and ${\theta}$ has dimension of length squared so that the connection operators
$\hat{D}_i$ have dimension of $({\rm length})^{-1}$. The
coupling constant $g$ is of dimension $(\rm
mass)^{2-\frac{d}{2}}$ and $B^{-1}$ is an invertible tensor which in
$2$ dimensions is given by $B^{-1}_{ij}={\epsilon}^{-1}_{ij}=-{\epsilon}_{ij}$ while in higher dimensions is given by
\begin{eqnarray}
B^{-1}_{ij}=\left(\begin{array}{ccccccc}
-{\epsilon}_{ij}&&&&&&\\
&.&&&&&\\
&&&&.&&\\
&&&&&&-{\epsilon}_{ij}
\end{array}\right).
\end{eqnarray}
The operators $\hat{A}_i$ belong to an algebra ${\cal A}$. The trace is taken over some infinite
dimensional Hilbert space ${\cal H}$ and hence
$Tr_{\cal H}[\hat{D}_i,\hat{D}_j]$ is ${\neq}0$ in general, i.e. $Tr_{\cal H}[\hat{D}_i,\hat{D}_j]$ is in fact a topological term \cite{Connes:1997cr}. Furthermore we will assume Euclidean signature throughout.
Minima of the model (\ref{action}) are connection operators $\hat{D}_i=\hat{B}_i$ satisfying
\begin{eqnarray}
i[\hat{B}_i,\hat{B}_j]=\frac{1}{\theta}B^{-1}_{ij}.\label{eom}
\end{eqnarray}
We view the algebra ${\cal A}$ as ${\cal A}={\rm Mat}_n({\bf C})\otimes {\cal A}_n$. The trace $Tr_{\cal H}$ takes the form $Tr_{\cal H}=Tr_n Tr_{{\cal H}_n}$ where ${\cal H}_n$ is the Hilbert space associated with the elements of ${\cal A}_n$. The configurations $\hat{D}_i=\hat{B}_i$ which solve equation (\ref{eom}) can be written as
\begin{eqnarray}
\hat{B}_i=-\frac{1}{\theta}B^{-1}_{ij}\hat{x}_j\otimes {\bf 1}_n.\label{minima}
\end{eqnarray}
The operators $\hat{x}_i$ which are elements of ${\cal A}_n$ can be identified with the coordinate operators on the noncommutative Moyal-Weyl space ${\bf
R}^d_{\theta}$ with the usual commutation relation
\begin{eqnarray}
[\hat{x}_i,\hat{x}_j]=i{\theta}{B}_{ij}.
\end{eqnarray}
Derivations on ${\bf R}^d_{\theta}$ are defined by
\begin{eqnarray}
\hat{\partial}_i=i\hat{B}_i.
\end{eqnarray}
Indeed we compute
\begin{eqnarray}
[\hat{{\partial}_i},\hat{x}_j]={\delta}_{ij}.
\end{eqnarray}
The sector of this matrix theory
which corresponds to a noncommutative $U(n)$ gauge field on ${\bf
R}^d_{\theta}$ is therefore obtained by expanding $\hat{D}_i$ around $\hat{B}_i\otimes {\bf 1}_n$. We write the configurations
\begin{eqnarray}
\hat{D}_i=-\frac{1}{{\theta}}B^{-1}_{ij}\hat{x}_j{\otimes}{\bf 1}_n+\hat{A}_i,~\hat{A}_i^{+}=\hat{A}_i.\label{expansionMW}
\end{eqnarray}
The operators $\hat{A}_i$ are
identified with the components of the dynamical $U(n)$ noncommutative gauge field. The corresponding $U(n)$ gauge transformations which leave the action (\ref{action})
invariant are implemented by unitary operators
$U=\exp(i{\Lambda})~,~UU^{+}=U^{+}U=1~,~{\Lambda}^{+}={\Lambda}$
which act on the Hilbert space ${\cal H}={\cal H}_n\oplus ...\oplus{\cal H}_n$ as $\hat{D}_i{\longrightarrow}U\hat{D}_iU^{+}$, i.e. $\hat{A}_i{\longrightarrow}U\hat{A}_iU^{+}-iU[\hat{\partial}_i,U^{+}]$ and $\hat{F}_{ij}{\longrightarrow}U\hat{F}_{ij}U^{+}$. In other words $U(n)$ in this setting must be identified with $U({\cal H}_n\oplus ...\oplus{\cal H}_n)$. The action (\ref{action}) can be put into the form
\begin{eqnarray}
S=\frac{\sqrt{{\theta}^d{\rm det}(\pi B)}}{4g^2}Tr_{{\cal H}_n}(\hat{F}_{ij}^C)^2.\label{action0MW}
\end{eqnarray}
The curvature $\hat{F}_{ij}^C$ where $C$ is a $U(n)$ index which runs from $1$ to $n^2$ is given by
\begin{eqnarray}
\hat{F}_{ij}^C=[\hat{\partial}_i,\hat{A}_j^C]-[\hat{\partial}_j,\hat{A}_i^C]-\frac{1}{2}f_{ABC}\{\hat{A}_i^A,\hat{A}_j^B\}+\frac{i}{2}d_{ABC}[\hat{A}_i^A,\hat{A}_j^B].
\end{eqnarray}
In calculating $\hat{F}_{ij}^C$ we used $[T_A,T_B]=if_{ABC}T_C$, $\{T_A,T_B\}=d_{ABC}T_c$ and $Tr T_AT_B=\frac{{\delta}_{AB}}{2}$. More explicitely we have defined $T_a=\frac{{\lambda}_a}{2}$ for the $SU(n)$ part and $T_0=\frac{1}{\sqrt{2n}}{\bf 1}_n$ for the $U(1)$ part. The symbols $d_{ABC}$ are defined such that $d_{abc}$ are the usual $SU(n)$ symmetric symbols while $d_{ab0}=d_{a0b}=d_{0ab}=\sqrt{\frac{2}{n}}{\delta}_{ab}$, $d_{a00}=0$ and $d_{000}=\sqrt{\frac{2}{n}}$.
Finally it is not difficult to show using the Weyl map, viz the map between operators and fields, that the matrix action (\ref{action0MW}) is
precisely the usual noncommutative $U(n)$ gauge action on ${\bf
R}^d_{\theta}$ with a star product $*$ defined by the parameter
${\theta}B_{ij}$ \cite{Douglas:2001ba,Szabo:2001kg}. In particular the trace $Tr_{{\cal H}_n}$ on the Hilbert space ${\cal H}_n$ can be shown to be equal to the integral over spacetime. We get
\begin{eqnarray}
S=\frac{1}{4g^2}\int d^dx
~({F}_{ij}^C)^2~,~{F}_{ij}^C={\partial}_i{A}_j^C-{\partial}_j{A}_i^C-\frac{1}{2}f_{ABC}\{{A}_i^A,{A}_j^B\}_*+\frac{i}{2}d_{ABC}[{A}_i^A,{A}_j^B]_*.\label{action1MW}\nonumber\\
\end{eqnarray}
Let us note that although the dimensions ${\rm dim}{\cal H}$ and ${\rm dim}{\cal H}_n$ of the Hilbert spaces ${\cal H}$ and ${\cal H}_n$ are infinite the ratio ${\rm dim}{\cal H}/{\rm dim}{\cal H}_n$ is finite equal $n$. The number of independent unitary transformations which leave the configuration (\ref{minima}) invariant is equal to ${\rm dim}{\cal H}-{\rm dim}{\cal H}_n-n^2$. This is clearly less than ${\rm dim}{\cal H}$ for any $n\geq 2$. In other words from entropy counting the $U(1)$ gauge group (i.e. $n=1$) is more stable than all higher gauge groups. As we will show the $U(1)$ gauge group is in fact energetically favorable in most of the finite $N$ matrix models which are proposed as non-perturbative regularizations of (\ref{action}) in this article. Stabilizing $U(n)$ gauge groups requires adding potential terms to the action. In the rest of this section we will thus consider only the $U(1)$ case for simplicity.
Quantization of the matrix model (\ref{action}) consists usually
in quantizing the model (\ref{action1MW}). As we will argue shortly this makes sense only for small values of the coupling constant $g^2$ which are less than a critical value $g^2_*$. Above $g^2_*$ the configuration $\hat{B}_i$ given by (\ref{minima}) ceases to exist, i.e. it ceases to be the true minimum of the theory and as a consequence the expansion (\ref{expansionMW}) does not make sense.
In order to compute this transition we use the one-loop effective action which can be easily obtained in the Feynamn-'t Hooft background field gauge. We find the result
\begin{eqnarray}
{\Gamma}=S+\frac{1}{2}Tr_dTr_{\rm ad}\ln\bigg({\cal
D}^2{\delta}_{ij}-2i{\cal F}_{ij}\bigg)-Tr_{\rm ad}\ln{\cal
D}^2.\label{effectiveaction}
\end{eqnarray}
The operators ${\cal D}^2={\cal D}_i{\cal
D}_i$ , ${\cal D}_i$ and ${\cal F}_{ij}$ act by commutators, viz ${\cal D}^2(..)=[\hat{D}_i,[\hat{D}_i,..]]$, ${\cal D}_i(..)=[\hat{D}_i,..]$ and ${\cal F}_{ij}(..)=[\hat{F}_{ij},..]$. Next we compute the effective potential in the configuration $\hat{D}_i=-\phi B^{-1}_{ij}\hat{x}_j$. The curvature $\hat{F}_{ij}$ in this configuration is given by $\theta \hat{F}_{ij}=({\theta}^2{\phi}^2-1)B_{ij}^{-1}$. The trace over the Hilbert space ${\cal H}$ is regularized such that $Tr_{\cal H}{\bf 1}=N$ is a very large but finite natural number. We will also need $\sum_{i,j}B^{-1}_{ij}B^{-1}_{ij}=d$. The effective potential for $d\neq 2$ is given by
\begin{eqnarray}
\frac{V}{(d-2)N^2}=\alpha({\theta}^2{\phi}^2-1)^2+\ln\phi.
\end{eqnarray}
The coupling constant $\alpha$ is given by
\begin{eqnarray}
\alpha=\frac{d}{d-2}\frac{{\pi}^{\frac{d}{2}}}{2}\frac{1}{{\lambda}^2N}~,~\lambda={\theta}^{1-\frac{d}{4}}g.
\end{eqnarray}
We take the limit $N\longrightarrow \infty$ keeping ${\lambda}^2N$ fixed. It is not difficult to show that the minimum of the above potential is then given by
\begin{eqnarray}
(\theta\phi)^2=\frac{1+\sqrt{1-\frac{1}{\alpha}}}{2}.
\end{eqnarray}
The critical values are therefore given by
\begin{eqnarray}
{\alpha}_*=1\Leftrightarrow {\lambda}^2_*N=\frac{d}{d-2}\frac{{\pi}^{\frac{d}{2}}}{2}.
\end{eqnarray}
Thus the configuration $\hat{D}_i=-\phi B^{-1}_{ij}\hat{x}_j$ exists only for values of the coupling constant $\lambda$ which are less than ${\lambda}_*$. Above ${\lambda}_*$ true minima of the model are given by commuting operators,i.e.
\begin{eqnarray}
i[\hat{B}_i,\hat{B}_j]=0. \label{eom1}
\end{eqnarray}
By comparing with (\ref{eom}) we see that this phase corresponds to $\theta=\infty$. The limit $\theta\longrightarrow\infty$ is the planar theory (only planar graphs survive) \cite{Filk:1996dm} which is intimately related to large $N$ limits of hermitian matrix models \cite{Gubser:2000cd}.
This transition from the noncommutative Moyal-Weyl space (\ref{eom}) to the commuting operators (\ref{eom1}) is believed to be intimately related to the perturbative UV-IR mixing \cite{Minwalla:1999px}. Indeed this is true in two dimensions using our formalism here.
In two dimensions we can see that the logarithmic correction to the potential is absent and as a consequence the transition to commuting operators will be absent. The perturbative UV-IR mixing is, on the other hand, absent in two dimensions. Indeed in two dimensions the first nonzero correction to the classical action $S$ in the effective action (\ref{effectiveaction}) is given by
\begin{eqnarray}
{\Gamma}&=&S-Tr_{\rm ad}\frac{1}{{\cal D}^2}{\cal F}_{ij}\frac{1}{{\cal D}^2}{\cal F}_{ij}+...\nonumber\\
&=&S+({\theta}{\pi})^2\int_k\frac{1}{k^2}\int_p\frac{1}{p^2}~Tr_{\cal H}F_{ij}[e^{ip\hat{x}},e^{-ik\hat{x}}]~Tr_{\cal H}F_{ij}[e^{ik\hat{x}},e^{-ip\hat{x}}]\nonumber\\
&=&S+2\int_p Tr |\tilde{F}_{ij}(p)|^2\int_k\frac{1}{k^2}\frac{1}{(p-k)^2}(1-\cos {{\theta}_{ij}p_ik_j})|.
\end{eqnarray}
By including a small mass $m^2$ and using Feynman parameters the planar and non-planar contributions are given respectively by
\begin{eqnarray}
{\Pi}^{\rm P}&=&\int_k\frac{1}{k^2+m^2}\frac{1}{(p-k)^2+m^2}=\frac{({\theta}_{ij}p_i)^2}{4\pi}\int_0^1\frac{dx}{z^2}.
\end{eqnarray}
\begin{eqnarray}
&&{\Pi}^{\rm NP}=\int_k\frac{1}{k^2+m^2}\frac{1}{(p-k)^2+m^2}\cos {{\theta}_{ij}p_ik_j}=\frac{({\theta}_{ij}p_i)^2}{4\pi}\int_0^1\frac{dx}{z^2}zK_1(z).
\end{eqnarray}
In above $z$ is defined by $z^2=({\theta}_{ij}p_i)^2(m^2+x(1-x)p^2)$ and $K_1(z)$ is the modified Bessel function given by
\begin{eqnarray}
zK_1(z)=\int_0^{\infty}dt~e^{-t}~e^{-\frac{z^2}{4t}}=1+\frac{z^2}{2}\ln\frac{ze^c}{2}+....
\end{eqnarray}
We observe that in two dimensions both the planar and non-planar functions are UV finite, i.e. renormalization of the vacuum polarization is not required. The infrared divergence seen when $m^2\longrightarrow 0$ cancel in the difference ${\Pi}^{\rm P}-{\Pi}^{\rm NP}$. Furthermore ${\Pi}^{\rm P}-{\Pi}^{\rm NP}$ vanishes identically in the limit $\theta\longrightarrow 0$ or $p\longrightarrow 0$. In other words there is no UV-IR mixing in the vacuum polarization in two dimensions.
The situation in four dimensions is more involved \cite{Martin:2000bk,Krajewski:1999ja}. Explicitly we find that the planar contribution to the vacuum polarization is UV
divergent as in the commutative theory, i.e. it is logarithmically divergent and thus it requires a
renormalization. It is found that the UV divergences in the $2-$, $3-$ and $4-$point functions at one-loop can be subtracted by a single counter term and hence the theory is
renormalizable at this order. The beta function of the theory at one-loop is identical to the beta function of the ordinary pure $SU(2)$ gauge theory. The non-planar contribution to the vacuum polarization at one-loop is UV finite because of the noncommutativity and only it becomes singular in the limit of vanishing
noncommutativity and/or vanishing external momentum. This also means that the renormalized vacuum polarization diverges in the infrared limit ${p}{\longrightarrow}0$
and/or $\theta\longrightarrow0$ which is the definition of the UV-IR mixing.
We expect that supersymmetry will make the Moyal-Weyl geometry and as a consequence the noncommutative gauge theory more stable. In order to see this effect let ${\lambda}_a$, $a=1,...,M$ be $M$ massless Majorana fermions in the adjoint representation of the gauge group $U({\cal H})$. We consider the modification of the action (\ref{action}) given by
\begin{eqnarray}
S\longrightarrow S^{'}=S+\frac{\sqrt{{\theta}^{d}{\rm det}(\pi B)}}{4g^2}\sum_{a=1}^MTr_{\cal H}\bar{\lambda}_a{\gamma}_i[\hat{D}_i,{\lambda}_a].
\end{eqnarray}
The irreducible representation of the Clifford algebra in $d$ dimensions is $s=2^{\frac{d}{2}}$ dimensional. Let us remark that in the limit $\theta\longrightarrow 0$ the modified action $S^{'}$ has the same limit as the original action $S$. By integrating over ${\lambda}_a$ in the path integral we obtain the Pfaffian $\big({\rm pf}({\gamma}_i{\cal D}_i)\big)^{M}$. We will assume that ${\rm pf}({\gamma}_i{\cal D}_i)=\big({\rm det}({\gamma}_i{\cal D}_i)\big)^{\frac{1}{2}}$. The modification of the effective action (\ref{effectiveaction}) is given by
\begin{eqnarray}
{\Gamma }\longrightarrow{\Gamma}^{'}=\Gamma-\frac{M}{4}Tr_{s}Tr_{\rm ad}\ln\bigg({\cal D}^2-\frac{i}{2}{\gamma}_i{\gamma}_j{\cal F}_{ij}\bigg).
\end{eqnarray}
It is not very difficult to check that the coefficient of the logarithmic term in the effective potential is positive definite for all $M$ such that $Ms<2d-4$. For $Ms=2d-4$ the logarithmic term vanishes identically and thus the background (\ref{minima}) is completely stable at one-loop order. In this case the noncommutative gauge theory (i.e. the star product representation) makes sense at least at one-loop order for all values of the gauge coupling constant $g$. The case $Ms=2d-4$ in $d=4$ (i.e. $M=1$) corresponds to noncommutative ${\cal N}=1$ supersymmetric $U(1)$ gauge theory. In this case the effective action is given by
\begin{eqnarray}
{\Gamma}^{'}=S+\frac{1}{2}Tr_{d}Tr_{\rm ad}\ln\bigg({\delta}_{ij}-2i\frac{1}{{\cal D}^2}{\cal F}_{ij}\bigg)-\frac{M}{4}Tr_{s}Tr_{\rm ad}\ln\bigg(1-\frac{i}{2}{\gamma}_i{\gamma}_j\frac{1}{{\cal D}^2}{\cal F}_{ij}\bigg).
\end{eqnarray}
This is manifestly gauge invariant. In $4$ dimensions we use the identity $Tr_s{\gamma}_i{\gamma}_j{\gamma}_k{\gamma}_l=s\big({\delta}_{ij}{\delta}_{kl}-{\delta}_{ik}{\delta}_{jl}+{\delta}_{il}{\delta}_{jk}\big)$ and the first nonzero correction to the classical action $S$ is given by the equation
\begin{eqnarray}
{\Gamma}^{'}&=&S+\big(\frac{d-2}{8}-1\big)Tr_{\rm ad}\frac{1}{{\cal D}^2}{\cal F}_{ij}\frac{1}{{\cal D}^2}{\cal F}_{ij}+...\nonumber\\
&=&S+2\big(1-\frac{d-2}{8}\big)\int_p Tr |\tilde{F}_{ij}(p)|^2\int_k\frac{1}{k^2}\frac{1}{(p-k)^2}(1-\cos {{\theta}_{ij}p_ik_j})|.\label{effective}
\end{eqnarray}
This correction is the only one-loop contribution which contains a quadratic term in the gauge field. The planar and non-planar corrections to the vacuum polarization are given in this case by
\begin{eqnarray}
{\Pi}^{\rm P}&=&\int_k\frac{1}{k^2}\frac{1}{(p-k)^2}=\frac{1}{(4\pi)^{\frac{d}{2}}}\int_0^1{dx}\int_0^{\infty}\frac{dt}{t^{\frac{d}{2}-1}}~e^{-x(1-x)p^2t}.
\end{eqnarray}
\begin{eqnarray}
{\Pi}^{\rm NP}&=&\int_k\frac{1}{k^2}\frac{1}{(p-k)^2}\cos {{\theta}_{ij}p_ik_j}=\frac{1}{(4\pi)^{\frac{d}{2}}}\int_0^1{dx}\int_0^{\infty}\frac{dt}{t^{\frac{d}{2}-1}}~e^{-x(1-x)p^2t-\frac{({\theta}_{ij}p_i)^2}{4t}}.\nonumber\\
\end{eqnarray}
The planar correction is UV divergent coming from the limit $t\longrightarrow 0$. Indeed we compute (including also an arbitrary mass scale $\mu$ and defining $\epsilon=2-\frac{d}{2}$)
\begin{eqnarray}
{\Pi}^{\rm P}&=&\frac{1}{(4\pi)^{\frac{d}{2}}}\int_0^1 {dx}~({\mu}^2)^{\frac{d}{2}-2}(x(1-x)\frac{p^2}{{\mu}^2})^{\frac{d}{2}-2}~{\Gamma}(2-\frac{d}{2})\nonumber\\
&=&\frac{({\mu}^2)^{-\epsilon}}{(4\pi)^{\frac{d}{2}}}\bigg[\frac{1}{\epsilon}-\gamma-\int_0^1 dx \ln x(1-x)\frac{p^2}{{\mu}^2}+O(\epsilon)\bigg].
\end{eqnarray}
The singular high energy behaviour is thus logarithmically divergent. The planar correction needs therefore a renormalization.
We add the counter term
\begin{eqnarray}
\delta S=-2(1-\frac{d-2}{8})\frac{({\mu}^2)^{-\epsilon}}{(4\pi)^{\frac{d}{2}}}\frac{1}{\epsilon}\int d^dx F_{ij}^2=-2(1-\frac{d-2}{8})\frac{({\mu}^2)^{-\epsilon}}{(4\pi)^{\frac{d}{2}}}\frac{1}{\epsilon}\int_p |\tilde{F}_{ij}(p)|^2.\label{counter}
\end{eqnarray}
The effective action at one-loop is obtained by adding (\ref{effective}) and the counter term (\ref{counter}). We get
\begin{eqnarray}
{\Gamma}^{'}_{\rm ren}=\int_p \frac{1}{2g^2(\mu)}|\tilde{F}_{ij}(p)|^2.
\end{eqnarray}
\begin{eqnarray}
\frac{1}{2g^2(\mu)}&=&\frac{1}{2g^2}+2(1-\frac{d-2}{8})({\Pi}^{\rm P}-{\Pi}^{\rm NP})-2(1-\frac{d-2}{8})\frac{({\mu}^2)^{-\epsilon}}{(4\pi)^{\frac{d}{2}}}\frac{1}{\epsilon}\nonumber\\
&=&\frac{1}{2g^2}+\frac{3}{2}\frac{1}{(4\pi)^2}\bigg[-\gamma-\int_0^1 dx \ln x(1-x)\frac{p^2}{{\mu}^2}\bigg]-\frac{3}{2}{\Pi}^{\rm NP}.
\end{eqnarray}
This equation means that the gauge coupling constant runs with the renormalization scale. The beta function is non-zero given by
\begin{eqnarray}
\beta(g(\mu))=\mu\frac{dg(\mu)}{d\mu}=-\frac{3}{16{\pi}^2}g^3(\mu).
\end{eqnarray}
The non-planar correction is UV finite. Indeed we compute the closed expression
\begin{eqnarray}
{\Pi}^{\rm NP}=\frac{2}{(4\pi)^2}\int_0^1{dx}K_0(z)~,~z^2=({\theta}_{ij}p_i)^2x(1-x)p^2.
\end{eqnarray}
In the limit $\theta\longrightarrow 0$ and/or $p\longrightarrow 0$ we can use $K_0(z)=-\ln\frac{z}{2}$ and obtain the IR singular behaviour
\begin{eqnarray}
{\Pi}^{\rm NP}=-\frac{1}{(4\pi)^2}\int_0^1{dx}\ln\frac{({\theta}_{ij}p_i)^2x(1-x)p^2}{4}.
\end{eqnarray}
In summary although the Moyal-Weyl geometry is made stable at one-loop order by the introduction of supersymmetry we still have a UV-IR mixing in the quantum gauge theory. The picture that supersymmetry will generally stabilize the geometry will be confirmed nonperturbatively in this article whereas the precise connection to the UV-IR mixing remains unclear.
\section{Fuzzy Spaces}
\subsection{The Fuzzy Sphere}
The ordinary sphere $S^2$ is defined in global coordinates by the equation
\begin{eqnarray}
\vec{n}{\in}{\bf R}^3~,~\sum_{a=1}^3n_a^2=1.
\end{eqnarray}
A general function can be expanded in terms of spherical harmonics
\begin{eqnarray}
f(\vec{n})=\sum_{k=0}^{\infty}f_{km}Y_{km}(\vec{n}).\label{f}
\end{eqnarray}
Global derivations are given by the generators of rotations in the adjoint representation of the $SU(2)$ group, namely
\begin{eqnarray}
{\cal L}_a=-i{\epsilon}_{abc}n_b{\partial}_c~,~[{\cal L}_a,{\cal L}_b]=i{\epsilon}_{abc}{\cal L}_c.
\end{eqnarray}
The Laplacian is given by
\begin{eqnarray}
{\cal L}^2={\cal L}_a{\cal L}_a~,~{\rm eigenvalues}~l(l+1)~,l=0,...,\infty.
\end{eqnarray}
According to \cite{Frohlich:1993es,Frohlich:1998zm} all the geometry of the sphere is encoded
in the K-cycle or spectral triple $({\cal A},{\cal H},{\cal
L}^2)$. ${\cal A}=C^{\infty}(S^2)$ is the algebra of all functions $f$ of the
form (\ref{f}) and ${\cal H}$ is the infinite dimensional Hilbert
space of square integrable functions on which the functions are
represented. In order to encode the geometry of the sphere in the
presence of spin structure we use instead
the K-cycle $({\cal A},{\cal H},{\cal D},{\gamma})$ \cite{Connes:1994yd} where $\gamma$ and ${\cal D}$ are the chirality and the Dirac operators on the sphere. Remark in particular that
\begin{eqnarray}
Y_{11}{\propto}~n_1+in_2~,~Y_{10}{\propto}~n_3~,Y_{1-1}{\propto}~n_1-in_2.
\end{eqnarray}
The fuzzy sphere is a particular deformation of the above triple which is based on the fact that the sphere is the co-adjoint orbit
$SU(2)/U(1)$, namely
\begin{eqnarray}
g{\sigma}_3g^{-1}=n_a{\sigma}_a~,~g{\in}SU(2)~,~\vec{n}{\in}S^2.
\end{eqnarray}
This also means that $S^2$ is a symplectic manifold and hence it can be quantized in a canonical fashion by simply quantizing the volume form
\begin{eqnarray}
{\omega}=\sin\theta d{\theta}{\wedge} d{\phi}~=\frac{1}{2}{\epsilon}_{abc}n_adn_b{\wedge}dn_c.
\end{eqnarray}
The result of this quantization is to replace the algebra $C^{\infty}(S^2)$ by the algebra of matrices $Mat_{L+1}$.
$Mat_{L+1}$ is the algebra of $(L+1){\times}(L+1)$ matrices which acts on an $(L+1)-$dimensional Hilbert space ${H}_L$ with inner product $(f,g)=\frac{1}{L+1}Tr(f^{+}g)$ where $f,g{\in}Mat_{L+1} $. The spin $s={L}/{2}$ IRR of $SU(2)$ is found to act naturally on this Hilbert space. The generators are
\begin{eqnarray}
[L_a,L_b]=i{\epsilon}_{abc}L_c~ ,~ \sum_a L_a^2=c_2{\equiv}\frac{L}{2}
(\frac{L}{2}+1).
\end{eqnarray}
Generally the spherical harmonics $Y_{km}(\vec{n})$ become the
canonical $SU(2)$ polarization tensors $\hat{Y}_{km}$ \cite{Varshalovich:1988ye}.
They are defined by
\begin{eqnarray}
[L_a,[L_a,\hat{Y}_{lm}]]=l(l+1)\hat{Y}_{lm}~,~[L_{\pm},\hat{Y}_{lm}]=\sqrt{(l{\mp}m)(l{\pm}m+1)}\hat{Y}_{lm{\pm}1}~,~[L_3,\hat{Y}_{lm}]=m\hat{Y}_{lm}.
\end{eqnarray}
They also satisfy
\begin{eqnarray}
\hat{Y}_{lm}^{+}=(-1)^m\hat{Y}_{l-m}~,~\frac{1}{L+1}Tr\hat{Y}_{l_1m_1}\hat{Y}_{l_2m_2}=(-1)^{m_1}{\delta}_{l_1l_2}{\delta}_{m_1,-m_2}.
\end{eqnarray}
Matrix coordinates on ${\bf S}^2_L$ are defined by the $k=1$ tensors as in the continuum, namely
\begin{eqnarray}
x_1^2+x_2^2+x_3^2=1~,~
[x_a,x_a]=\frac{i}{\sqrt{c_2}}{\epsilon}_{abc}x_c,~x_a=\frac{L_a}{\sqrt{c_2}}.
\end{eqnarray}
``Fuzzy'' functions on ${\bf S}^2_L$ are linear operators in the
matrix algebra while derivations are inner defined by the
generators of the adjoint action of $SU(2)$, i.e.
\begin{eqnarray}
{\cal L}_a({\phi})\equiv[L_a,{\phi}].
\end{eqnarray}
A natural choice of the Laplacian operator ${\Delta}$ on the fuzzy sphere is therefore given by the following Casimir operator
\begin{eqnarray}
{\Delta}_L={\cal L}_a^2\equiv [L_a,[L_a,..]].\label{24}
\end{eqnarray}
Thus the algebra of matrices $Mat_{L+1}$ decomposes under the
action of the group $SU(2)$ as
\begin{eqnarray}
\frac{L}{2}{\otimes}\frac{L}{2}=0{\oplus}1{\oplus}2{\oplus}..{\oplus}L.
\end{eqnarray}
The first ${L}/{2}$ stands for the left action of the group
while the other ${L}/{2}$ stands for the right action.
It
is not difficult to convince ourselves that this Laplacain has a
cut-off spectrum of the form $l(l+1)$ where $l=0,1,...,L$. As a
consequence a general function on ${\bf S}^2_N$ can be expanded in terms of polarization tensors as
follows
\begin{eqnarray}
{f}=\sum_{l=0}^{L}\sum_{m=-l}^{l}{f}_{lm}\hat{Y}_{lm}.\label{sum0}
\end{eqnarray}
The fact that the summation over $l$ involves only angular
momenta which are ${\leq}L$ originates of course from the fact
that the spectrum $l(l+1)$ of the Laplacian ${\Delta}$ is cut-off
at $l=L$.
The commutative continuum limit is given by $L{\longrightarrow}{\infty}$.
This is the first limit of interest to us in this article.
Therefore the fuzzy sphere is a sequence of the following triples
\begin{eqnarray}
(Mat_{L+1},H_L,{\Delta}_L).
\end{eqnarray}
Again in the presence of spin structure the fuzzy sphere ${\bf S}_L^2$
will be defined instead by the K-cycle $({\bf A},{\bf H},D,{\Gamma})$ where the chirality operator
${\Gamma}$ and the Dirac operator ${D}$ are given for example in \cite{Balachandran:2003ay} and references therein.
\subsection{Fuzzy ${\bf CP}^{2}$}
In this section we will give the K-cycle associated with the classical K\"ahler manifold ${\bf CP}^2$ (which is also the co-adjoint orbit $SU(3)/U(2)$) as a limit of the K-cycle which defines fuzzy (or quantized) ${\bf CP}^2$ when the noncommutativity parameter goes to $0$. We will follow the construction of \cite{Balachandran:2001dd}.
Let $T_a$, $a=1,...,8$ be the generators of $SU(3)$ in the symmetric irreducible
representation $(n,0)$ of dimension $N=\frac{1}{2}(n+1)(n+2)$. They satisfy
\begin{eqnarray}
[T_a,T_b]=if_{abc}T_c~.\label{comm}
\end{eqnarray}
\begin{eqnarray}
T_a^2=\frac{1}{3}n(n+3)\equiv
|n|^2~,~d_{abc}T_aT_b=\frac{2n+3}{6}T_c.\label{idd}
\end{eqnarray}
Let $t_a={{\lambda}_a}/{2}$ (where ${\lambda}_a$ are the usual Gell-Mann matrices) be the generators of $SU(3)$ in the fundamental
representation $(1,0)$ of dimension $N=3$. They satisfy
\begin{eqnarray}
&&2t_at_b=\frac{1}{3}{\delta}_{ab}+(d_{abc}+if_{abc})t_c\nonumber\\
&&tr_3t_at_b=\frac{1}{2}{\delta}_{ab}~,~tr_3t_at_bt_c=\frac{1}{4}(d_{abc}+if_{abc}).
\end{eqnarray}
The $N-$dimensonal generator $T_a$ can be obtained by taking the symmetric product of $n$ copies of the fundamental $3-$dimensional generator $t_a$, viz
\begin{eqnarray}
T_a=(t_a{\otimes}{\bf 1}{\otimes}...{\otimes}{\bf 1}+{\bf 1}{\otimes}t_a{\otimes}...{\otimes}{\bf 1}+...+{\bf 1}{\otimes}{\bf 1}{\otimes}...{\otimes}t_a)_{\rm symmetric}.
\end{eqnarray}
In the continuum ${\bf CP}^2$ is the space of all unit vectors $|\psi>$ in ${\bf C}^3$ modulo the phase. Thus $e^{i\theta}|\psi>$,
for all $\theta {\in}[0,2\pi[$ define the same point on ${\bf CP}^2$. It is obvious that all these vectors $e^{i\theta}|\psi>$ correspond to
the same projector $P=|\psi><\psi|$. Hence ${\bf CP}^2$ is the space of all projection operators of rank one on ${\bf C}^3$. Let ${\bf H}_N$
and ${\bf H}_3$ be the Hilbert spaces of the $SU(3)$ representations $(n,0)$ and $(1,0)$ respectively.
We will define fuzzy ${\bf CP}^2$ through the canonical $SU(3)$ coherent states as follows. Let $\vec{n}$ be a vector in ${\bf R}^8$, then
we define the projector
\begin{eqnarray}
P_3=\frac{1}{3}{\bf 1}+n_at_a
\end{eqnarray}
The requirement $P_3^2=P_3$ leads to the condition that $\vec{n}$ is a point on ${\bf CP}^2$ satisfying the equations
\begin{eqnarray}
[n_a,n_b]=0~,~n_a^2=\frac{4}{3}~,~d_{abc}n_an_b=\frac{2}{3}n_c.
\end{eqnarray}
We can write
\begin{eqnarray}
P_3=|\vec{n},3><3,\vec{n}|.
\end{eqnarray}
We think of $|\vec{n},3>$ as the coherent state in ${\bf H}_3$ (level $3\times 3$ matrices) which is localized at
the point $\vec{n}$ of ${\bf CP}^2$. Therefore the coherent state $|\vec{n},N>$ in ${\bf H}_N$ (level $N\times N$ matrices)
which is localized around the point $\vec{n}$ of ${\bf CP}^2$ is defined by the projector
\begin{eqnarray}
P_N=|\vec{n},N><N,\vec{n}|=(P_3{\otimes}P_3{\otimes}...{\otimes}P_3)_{\rm symmetric}.
\end{eqnarray}
We compute that
\begin{eqnarray}
tr_3t_aP_3=<\vec{n},3|t_a|\vec{n},3>=\frac{1}{2}n_a~,~
tr_NT_aP_N=<\vec{n},N|T_a|\vec{n},N>=\frac{n}{2}n_a.
\end{eqnarray}
Hence it is natural to identify fuzzy ${\bf CP}^2$ at level $N=\frac{1}{2}(n+1)(n+2)$ (or ${\bf CP}^2_N$) by the coordinates operators
\begin{eqnarray}
x_a=\frac{2}{n}T_a.
\end{eqnarray}
They satisfy
\begin{eqnarray}
[x_a,x_b]=\frac{2i}{n}f_{abc}x_c~,~x_a^2=\frac{4}{3}(1+\frac{3}{n})~,~d_{abc}x_ax_b=\frac{2}{3}(1+\frac{3}{2n})x_c.
\end{eqnarray}
Therefore in the large $N$ limit we can see that the algebra of $x_a$ reduces to the continuum algebra of $n_a$. Hence $x_a{\longrightarrow}n_a$
in the continuum limit $N{\longrightarrow}{\infty}$.
The algebra of ~functions on fuzzy ${\bf CP}^2_N$ is identified with the algebra of $N{\times}N$ matrices $Mat_N$ generated by
all polynomials in the coordinates operators $x_a$. Recall that $N=\frac{1}{2}(n+1)(n+2)$. The left action of $SU(3)$
on this algebra is generated by $(n,0)$ whereas the right action is generated by $(0,n)$. Thus the algebra $Mat_N$ decomposes
under the action of $SU(3)$ as
\begin{eqnarray}
(n,0){\otimes}(0,n)={\otimes}_{p=0}^n(p,p).
\end{eqnarray}
A general function on fuzzy ${\bf CP}^2_N$ is therefore written as
\begin{eqnarray}
F=\sum_{p=0}^nF_{I^2,I_3,Y}^{(p)}T_{I^2,I_3,Y}^{(p,p)}.
\end{eqnarray}
The $T_{I^2,I_3,Y}^{(p,p)}$ are $SU(3)$ matrix polarization tensors in the irreducible representation $(p,p)$. $I^2,I_3$ and $Y$ are the square of the isospin,
the third component of the isospin and the hypercharge quantum numbers which characterize $SU(3)$ representations.
The derivations on fuzzy ${\bf CP}^2_N$ are defined by the commutators $[T_a,..]$. The Laplacian is then obviously given by ${\Delta}_N=[T_a,[T_a,...]]$.
Fuzzy ${\bf CP}^2_N$ is completely determined by the spectral triple ${\bf CP}^2_N=(Mat_N,{\Delta}_N,{\bf H}_N)$. Now we can compute
\begin{eqnarray}
tr_NFP_N=<\vec{n},N|F|\vec{n},N>=F_N(\vec{n})=\sum_{p=0}^nF_{I^2,I_3,Y}^{(p)}Y_{I^2,I_3,Y}^{(p,p)}(\vec{n}).
\end{eqnarray}
The $Y_{I^2,I_3,Y}^{(p,p)}(\vec{n})$ are the $SU(3)$ polarization tensors defined by
\begin{eqnarray}
Y_{I^2,I_3,Y}^{(p,p)}(\vec{n})=<\vec{n},N|T_{I^2,I_3,Y}^{(p,p)}|\vec{n},N>.
\end{eqnarray}
Furthermore we can compute
\begin{eqnarray}
tr_N[T_a,F]P_N=<\vec{n},N|[T_a,F]|\vec{n},N>=({\cal L}_aF_N)(\vec{n})~,~{\cal L}_a=-if_{abc}n_b{\partial}_c.
\end{eqnarray}
And
\begin{eqnarray}
tr_NFGP_N=<\vec{n},N|FG|\vec{n},N>=F_N*G_N(\vec{n}).
\end{eqnarray}
The star product on fuzzy ${\bf CP}^2_N$ is found to be given by (see below)
\begin{eqnarray}
&&F_N*G_N(\vec{n})=\sum_{p=0}^n\frac{(n-p)!}{p!n!}K_{a_1b_1}...K_{a_pb_p}{\partial}_{a_1}...{\partial}_{a_p}F_N(\vec{n}){\partial}_{b_1}...
{\partial}_{b_p}G_N(\vec{n})~\nonumber\\
&&~K_{ab}=\frac{2}{3}{\delta}_{ab}-n_an_b+(d_{abc}+if_{abc})n_c.
\end{eqnarray}
\subsection{Star Products on Fuzzy ${\bf CP}^{N-1}$}
The sphere is the complex projective space ${\bf CP}^1$. The
quantization of higher ${\bf CP}^{N-1}$ with $N>2$ is very similar to
the quantization of ${\bf CP}^1$, and yields fuzzy ${\bf
CP}^{N-1}_L$. In this section we will explain this result by
constructing the coherent states \cite{Man'ko:1996xv,Perelomov:1986tf,klauder:1985}, the Weyl map \cite{weyl:1931} and star products \cite{Groenewold:1946kp,Moyal:1949sk,Alexanian:2000uz} on all fuzzy ${\bf
CP}^{N-1}_L$ following \cite{Balachandran:2001dd}.
We start with classical ${\bf C}{\bf P}^{N-1}$ defined by the
projectors\footnote{In this
section we use $N$ to denote the dimension
of the space instead of the size of the matrix approximation.}
\begin{equation}
P=\frac{1}{N}{\bf 1}+{\alpha}_Nn^at_a~,~ {\alpha}_N=-\sqrt{\frac{2(N-1)}{N}}.\label{projectorcs}
\end{equation}
The requirement $P^2=P$ will lead to the defining equations of ${\bf C}{\bf P}^{N-1}$ as embedded in ${\bf
R}^{N^2-1}$ given by
\begin{eqnarray}
{n}_a^2=1~,~
d_{abc}n_an_b=\frac{2}{\alpha_N}\frac{N-2}{N}n_c.
\end{eqnarray}
The fundamental representation ${\bf N}$ of $SU(N)$ is generated by
the Lie algebra of Gell-Mann matrices
${t_a}=\frac{{\lambda}_a}{2},a=1,...,N^2-1$. These matrices satisfy
\begin{eqnarray}
&&[t_a,t_b]=if_{abc}t_c\nonumber\\
&&2t_at_b=\frac{1}{N}{\delta}_{ab}{\bf 1}+(d_{abc}+if_{abc})t_c\nonumber\\
&&Trt_at_bt_c=\frac{1}{4}(d_{abc}+if_{abc})~,~Tr
t_at_b=\frac{{\delta}_{ab}}{2}~,~Tr t_a=0.\label{sun1}
\end{eqnarray}
Let us specialize the projector (\ref{projectorcs}) to the
"north" pole of ${\bf C}{\bf P}^{N-1}$ given by the point
$\vec{n}_0=(0,0,...,1)$. We have then the projector $
P_0=\frac{1}{N}{\bf 1}+\alpha_N t_{N^2-1}={\rm diag}(0,0,...,1)$.
So at the "north" pole $P$ projects down onto the state $
|{\psi}_0>=(0,0,...,1)$
of the Hilbert space ${\bf C}^{N}$ on which the defining
representation of $SU(N)$ is acting .
A general point $\vec{n}{\in}~{\bf C}{\bf P}^{N-1}$ can be
obtained from $\vec{n}_0$ by the action of an element
$g{\in}SU(N)$ as $
\vec{n}=g\vec{n}_0$.
$P$ will then project down onto the state $
|\psi>=g|{\psi}_0>$
of ${\bf C}^N$ . One can show that
\begin{equation}
P=|\psi><\psi|=g|{\psi}_0><{\psi}_0|g^{+}=gP_0g^{+}.
\end{equation}
\begin{equation}
gt_{N^2-1}g^{+}=n^{a}t_a.
\end{equation}
This last equation is the usual definition of ${\bf C}{\bf
P}^{N-1}$ . Under $g{\longrightarrow}gh$ where $h{\in}U(N-1)$ we
have $ht_{N^2-1}h^{+}=t_{N^2-1}$ , i.e $U(N-1)$ is the stability
group of $t_{N^2-1}$ and hence
\begin{equation}
{\bf C}{\bf P}^{N-1}=SU(N)/U(N-1).
\end{equation}
Thus points $\vec{n}$ of ${\bf C}{\bf P}^{N-1}$ are then equivalent
classes $[g]=[gh],h{\in}U(N-1)$ .
The fuzzy sphere ${\bf S}^2_L$ is the
algebra of operators acting on the Hilbert space
$H_s^{(2)}$ which is the $(2s+1)-$dimensional
irreducible representation of $SU(2)$. This representation can
be obtained from the symmetric product of $L=2s$ fundamental
representations ${\bf 2}$ of $SU(2)$. Indeed given any element
$g{\in}SU(2)$ its $s-$representation matrix $U^{(s)}(g)$ can be
obtained as follows
\begin{equation}
U^{(s)}(g)=U^{(\bf 2)}(g){\otimes}_s...{\otimes}_sU^{(\bf
2)}(g),2s-{\rm times}.
\end{equation}
$U^{(\bf 2)}(g)$ is the spin ${1}/{2}$ representation of
$g{\in}SU(2)$ .
Similarly fuzzy ${\bf CP}^{N-1}_L$ is the algebra of
operators acting on the Hilbert space $H_s^{(N)}$ which is the $d_s^{(N)}$-dimensional irreducible reprsentation of $SU(N)$. This dimension is given explicitly by
\begin{eqnarray}
d_s^{(N)}=(\frac{(N-1+2s)!}{(N-1)!(2s)!}.
\end{eqnarray}
Also this $d_s^{(N)}$-dimensional
irreducible representation of $SU(N)$ can be obtained from the
symmetric product of $L=2s$ fundamental representations ${\bf N}$
of $SU(N)$.
Remark that for $s=1/2$ we have
$d_{1/2}^{(N)}=N$ and therefore
$H_{1/2}^{(N)}={\bf C}^N$ is the fundamental
representation of $SU(N)$. Clearly the states $|{\psi}_0>$ and $|\psi>$ of
$H_{1/2}^{(N)}$ will correspond in $H_s^{(N)}$ to
the two states $|\vec{n}_0,s>$ and $|\vec{n},s>$ respectively so
that $|{\psi}_0>=|\vec{n}_0,\frac{1}{2}>$ and
$|\psi>=|\vec{n},\frac{1}{2}>$. Furthermore the equation $|\psi>=g |{\psi}_0>$
becomes
\begin{equation}
|\vec{n},s>=U^{(s)}(g)|\vec{n}_0,s>.\label{fundamental}
\end{equation}
$U^{(s)}(g)$ is the representation given
by
\begin{equation}
U^{(s)}(g)=U^{(\bf N)}(g){\otimes}_s...{\otimes}_sU^{(\bf
N)}(g),2s-{\rm times}.
\end{equation}
To any operator $\hat{F}$ on $H_s^{(N)}$ (which can be thought
of as a function on fuzzy ${\bf C}{\bf P}^{N-1}_L$) we
associate a "classical" function $F_s(\vec{n})$ on a classical
${\bf C}{\bf P}^{N-1}$ by
\begin{equation}
F_s(\vec{n})=<\vec{n},s|\hat{F}|\vec{n},s>.\label{maps}
\end{equation}
The product of two such operators $\hat{F}$ and
$\hat{G}$ is mapped to the star product of the corresponding two
functions
\begin{equation}
F_s*G_s(\vec{n})=<\vec{n},s|\hat{F}\hat{G}|\vec{n},s>.\label{starproduct1}
\end{equation}
Now we compute this star product in a closed form. First we will use the result that any operator $\hat{F}$ on
the Hilbert space $H_s^{(N)}$ admits the expansion
\begin{equation}
\hat{F}=\int_{SU(N)}d{\mu}(h)\tilde{F}(h)U^{(s)}(h).\label{expansion}
\end{equation}
$U^{(s)}(h)$ are assumed to satisfy the normalization
\begin{equation}
TrU^{(s)}(h)U^{(s)}(h^{'})=d_s^{(N)}{\delta}(h^{-1}-h^{'}).
\end{equation}
Using the above two equations one can derive the value of the
coefficient $\tilde{F}(h)$ to be
\begin{equation}
\tilde{F}(h)=\frac{1}{d_s^{(N)}}Tr\hat{F}U^{(s)}(h^{-1}).
\end{equation}
Using the expansion (\ref{expansion}) in (\ref{maps}) we get
\begin{eqnarray}
F_s(\vec{n})=\int_{SU(N)}d{\mu}(h)\tilde{F}(h){\omega}^{(s)}(\vec{n},h)~,~
{\omega}^{(s)}(\vec{n},h)&=&<\vec{n},s|U^{(s)}(h)|\vec{n},s>.
\end{eqnarray}
On the other hand using the expansion (\ref{expansion}) in
(\ref{starproduct1}) will give
\begin{equation}
F_s*G_s(\vec{n})=\int
\int_{SU(N)}d{\mu}(h)d{\mu}(h^{'})\tilde{F}(h)\tilde{G}(h^{'}){\omega}^{(s)}(\vec{n},hh^{'}).
\end{equation}
The computation of this star product boils down to the
computation of ${\omega}^{(l)}(\vec{n},hh^{'})$. We have
\begin{eqnarray}
{\omega}^{(s)}(\vec{n},h)&=&<\vec{n},s|U^{(s)}(h)|\vec{n},s>\nonumber\\
&=&\bigg[<\vec{n},\frac{1}{2}|{\otimes}_s...{\otimes}_s<\vec{n},\frac{1}{2}|\bigg]\bigg[U^{(\bf
N)}(h){\otimes}_s...{\otimes}_sU^{(\bf
N)}(h)\bigg]\bigg[|\vec{n},\frac{1}{2}>{\otimes}_s...{\otimes}_s|\vec{n},\frac{1}{2}>\bigg]\nonumber\\
&=&[{\omega}^{(\frac{1}{2})}(\vec{n},h)]^{2s}.
\end{eqnarray}
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},h
&=&<\psi|U^{(\bf N)}(h)|\psi>.
\end{eqnarray}
In the fundamental representation ${\bf N}$ of $SU(N)$ we have
$U^{(\bf N)}(h)=\exp(im^at_a)=c(m){\bf 1}+is^a(m)t_a$ and therefore
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},h)&=&<\psi|c(m){\bf
1}+is^a(m)t_a|\psi>=c(m)+is^a(m)<\psi|t_a|\psi>.
\end{eqnarray}
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},hh^{'})&=&<\psi|U^{(\bf N)}(hh^{'})|\psi>\nonumber\\
&=&<\psi|(c(m){\bf 1}+is^a(m)t_a)(c(m^{'}){\bf 1}+is^a(m^{'})t_a)|\psi>\nonumber\\
&=&c(m)c(m^{'})+i[c(m)s^a(m^{'})+c(m^{'})s^a(m)]<\psi|t_a|\psi>\nonumber\\
&-&s^a(m)s^b(m^{'})<\psi|t_at_b|\psi>.
\end{eqnarray}
Now it is not difficult to check that
\begin{eqnarray}
<\psi|t_a|\psi>&=&Trt_aP=\frac{\alpha_N}{2}n^a\nonumber\\
<\psi|t_at_b|\psi>&=&Trt_at_bP=\frac{1}{2N}{\delta}_{ab}+\frac{\alpha_N}{4}(d_{abc}+if_{abc})n^c.\label{nice}
\end{eqnarray}
Hence we obtain
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},h)&=&c(m)+i\frac{\alpha_N}{2}\vec{s}(m).\vec{n}.
\end{eqnarray}
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},hh^{'})&=&c(m)c(m^{'})-\frac{1}{2N}\vec{s}(m).\vec{s}(m^{'})+i\frac{\alpha_N}{2}\bigg[c(m)s^a(m^{'})\nonumber\\
&+&c(m^{'})s^a(m)\bigg]n^a-\frac{\alpha_N}{4}(d_{abc}+if_{abc})n^cs^a(m)s^b(m^{'}).
\end{eqnarray}
These two last equations can be combined to get the
result
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},hh^{'})-{\omega}^{(\frac{1}{2})}(\vec{n},h){\omega}^{(\frac{1}{2})}(\vec{n},h^{'})&=&
-\frac{1}{2N}\vec{s}(m).\vec{s}(m^{'})-\frac{\alpha_N}{4}(d_{abc}+if_{abc})n^cs^a(m)s^b(m^{'})\nonumber\\
&+&\frac{{\alpha}_N^2}{4}n^an^bs_a(m)s_b(m^{'}).
\end{eqnarray}
We can remark that in this last equation we have got ride of
all reference to $c$'s. We would like also to get ride of all
reference to $s$'s. This can be achieved by using the formula
\begin{equation}
s_a(m)=\frac{2}{i\alpha_N}\frac{\partial}{{\partial}n^a}{\omega}^{(\frac{1}{2})}(\vec{n},h).
\end{equation}
We get then
\begin{eqnarray}
{\omega}^{(\frac{1}{2})}(\vec{n},hh^{'})-{\omega}^{(\frac{1}{2})}(\vec{n},h){\omega}^{(\frac{1}{2})}(\vec{n},h^{'})&=&
K_{ab}\frac{\partial}{{\partial}n^a}{\omega}^{(\frac{1}{2})}(\vec{n},h)\frac{\partial}{{\partial}n^b}{\omega}^{(\frac{1}{2})}(\vec{n},h^{'}).
\end{eqnarray}
\begin{eqnarray}
K_{ab}&=&\frac{2}{N{\alpha}_N^2}{\delta}_{ab}-n_an_b+\frac{1}{\alpha_N}(d_{abc}+if_{abc})n^c.
\end{eqnarray}
Therefore we obtain
\begin{eqnarray}
F_s*G_s(\vec{n})&=&\sum_{k=0}^{2s}\frac{(2s)!}{k!(2s-k)!}K_{a_1b_1}....K_{a_kb_k}\nonumber\\
&{\times}&\int_{SU(N)}d{\mu}(h)\tilde{F}(h)[{\omega}^{(\frac{1}{2})}(\vec{n},h)]^{2s-k}\frac{\partial}{{\partial}n^{a_1}}{\omega}^{(\frac{1}{2})}(\vec{n},h)...\frac{\partial}{{\partial}n^{a_k}}{\omega}^{(\frac{1}{2})}(\vec{n},h)\nonumber\\
&{\times}&\int_{SU(N)}d{\mu}(h^{'})\tilde{G}(h^{'})[{\omega}^{(\frac{1}{2})}(\vec{n},h^{'})]^{2s-k}\frac{\partial}{{\partial}n^{b_1}}{\omega}^{(\frac{1}{2})}(\vec{n},h^{'})...\frac{\partial}{{\partial}n^{b_k}}{\omega}^{(\frac{1}{2})}(\vec{n},h^{'}).\nonumber\\
\end{eqnarray}
We have also the formula
\begin{eqnarray}
\frac{(2s-k)!}{(2s)!}\frac{\partial}{{\partial}n^{a_1}}...\frac{\partial}{{\partial}n^{a_k}}F_s(\vec{n})&=&
\int_{SU(N)}d{\mu}(h)\tilde{F}(h)[{\omega}^{(\frac{1}{2})}(\vec{n},h)]^{2s-k}\frac{\partial}{{\partial}n^{a_1}}{\omega}^{(\frac{1}{2})}(\vec{n},h)...\frac{\partial}{{\partial}n^{a_k}}{\omega}^{(\frac{1}{2})}(\vec{n},h).\nonumber\\
\end{eqnarray}
This allows us to obtain the final result \cite{Balachandran:2001dd}
\begin{equation}
F_s*G_s(\vec{n})=\sum_{k=0}^{2s}\frac{(2s-k)!}{k!(2s)!}K_{a_1b_1}....K_{a_kb_k}\frac{\partial}{{\partial}n^{a_1}}...\frac{\partial}{{\partial}n^{a_k}}F_j(\vec{n})\frac{\partial}{{\partial}n^{b_1}}...\frac{\partial}{{\partial}n^{b_k}}G_j(\vec{n}).\label{starproduct}
\end{equation}
Specialization of this result to the sphere is obvious. In the last appendix we will discuss a (seemingly) different star product on the fuzzy sphere which admits a straightforward flattening limit to the star product on the Moyal-Weyl plane.
Let us also do some examples.
Derivations on ${\bf C}{\bf P}^{N-1}$ are generated by the vector
fields ${\cal L}_a=-if_{abc}n_b{\partial}/{{\partial}n_c}$ which satisfy
$
[{\cal L}_a,{\cal L}_b]=if_{abc}{\cal L}_c$.
The corresponding action on the Hilbert space $H_s^{(N)}$ is
generated by $L_a$ and is given by
\begin{equation}
<\vec{n},s|U^{(s)}(h^{-1})\hat{F}U^{(s)}(h)|\vec{n},s>=<\vec{n}_0,s|U^{(s)}(g^{-1}h^{-1})\hat{F}U^{(s)}(hg)|\vec{n}_0,s>.
\end{equation}
$U^{(s)}(h)$ is given by $U^{(s)}(h)=\exp(i{\eta}_aL_a)$. Now if
we take ${\eta}$ to be small then one computes
\begin{equation}
<\vec{n},s|U^{(s)}(h)|\vec{n},s>=1+i{\eta}_a<\vec{n},s|L_a|\vec{n},s>.
\end{equation}
On the other hand we know that the representation $U^{(s)}(h)$
is obtained by taking the symmetric product of $2s$ fundamental
representations ${\bf N}$ of $SU(N)$ and hence
\begin{eqnarray}
<\vec{n},s|U^{(s)}(h)|\vec{n},s>=(<\vec{n},\frac{1}{2}|1+i{\eta}_at_a|\vec{n},\frac{1}{2}>)^{2s}=1+i(2s){\eta}_a\frac{\alpha_N}{2}n_a.
\end{eqnarray}
In above we have used the facts
$L_a=t_a{\otimes}_s....{\otimes}_st_a$,
$|\vec{n},s>=|\vec{n},\frac{1}{2}>{\otimes}_s...{\otimes}_s|\vec{n},\frac{1}{2}>$
and the first equation of (\ref{nice}). Finally we get the
important result
\begin{equation}
<\vec{n},s|L_a|\vec{n},s>=s{\alpha}_Nn_a.
\end{equation}
We define the fuzzy derivative $[{L}_a,\hat{F}]$ by
\begin{eqnarray}
({\cal L}_aF)_s(\vec{n})&{\equiv}&<\vec{n},s|[L_a,\hat{F}]|\vec{n},s>\nonumber\\
&=&s{\alpha}_N\bigg[n_a*F_s(\vec{n})-F_s*n_a(\vec{n})\bigg]\nonumber\\
&=&if_{abc}n^c\frac{\partial}{{\partial}n^b}F_s(\vec{n}).
\end{eqnarray}
Finally we note the identity
\begin{eqnarray}
\frac{1}{d_s^{(N)}}Tr\hat{F}\hat{G}=\int_{{\bf CP}^{N-1}} F_s*G_s(\vec{n}).
\end{eqnarray}
\section{Review of Bosonic $D=3$ Yang-Mills Matrix Models}
The principal goal of the present article is the construction of a new nonperturbative method for noncommutative gauge theories with and without supersymmetry based on a class of Yang-Mills matrix models in which the classical minima are given by fuzzy projective spaces. These matrix models are directly related to the celebrated IKKT matrix model \cite{Ishibashi:1996xs,Aoki:1999vr,Aoki:1998vn,Aoki:1998bq} in $d=3$ and $d=4$ dimensions with mass deformation which may or may not preserve supersymmetry.
The flat IKKT models, i.e. without mass deformation, are obtained by dimensionally reducing ${\rm U}(N)$ super Yang-Mills theory in flat $d$ dimensions onto a point, i.e. to zero dimension. The dynamical variables are $d$ matrices of size $N$ with action
\begin{eqnarray}
S=-\frac{N}{4}Tr[X_{\mu},X_{\nu}]^2+ Tr\bar{\psi}{\Gamma}_{\mu}[X_{\mu},\psi].
\end{eqnarray}
The partition functions of these models are convergent in dimensions $d=4,6,10$ \cite{Krauth:1998xh,Austing:2001bd,Krauth:1999qw,Krauth:1998yu,Austing:2001pk,Austing:2003kd,Austing:2001ib}. In $d=3$ the partition function may be made finite by adding appropriate mass deformation consisting of a positive quadratic term in the matrices $X_{\mu}$ which damps flat directions. In $d=3,4$ the determinant of the Dirac operator is positive definite \cite{Krauth:1998xh,Ambjorn:2000bf} and thus there is no sign problem. The IKKT model in $d=10$ dimensions is also called the IIB matrix model. It is postulated to give a constructive definition of type IIB superstring theory.
Mass deformations such as the Myers term \cite{Myers:1999ps} are essential in order to reproduce non-trivial geometrical backgrounds such as the fuzzy sphere in Yang-Mills matrix models. Supersymmetric mass deformations in Yang-Mills matrix models and Yang-Mills quantum mechanics models are considered for example in \cite{Bonelli:2002mb,Kim:2006wg}. Yang-Mills quantum mechanics models such as the BFSS models \cite{Banks:1996vh} in various dimensions are a non-trivial escalation over the IKKT models since they involve time. The BMN model \cite{Berenstein:2002jq} which is the unique maximally supersymmetric mass deformation of the BFSS model in $d=10$ admits the fuzzy sphere background as a solution of its equations of motion. The BFSS and BMN models are postualted to give a constructive definition of M-theory.
The central motivation behind these proposals of using Yang-Mills matrix models and Yang-Mills quantum mechanics as nonperturbative definitions of M-theory and superstring theory lies in D-brane physics \cite{Polchinski:1995mt,Polchinski:1996na,Taylor:1997dy}. At low energy the theory on the $(p+1)-$dimensional world-volume of $N$ coincident Dp-branes is the reduction to $p+1$ dimensions of $10$ dimensional supersymmetric Yang-Mills \cite{Witten:1995im}. Thus we get a $(p+1)$ dimensional vector field together with $9-p$ normal scalar fields which play the role of position coordinates of the coincident $N$ Dp-branes. The case $p=0$ corresponds to D0-branes. The coordinates become noncommuting matrices.
As we have already said the class of matrix models of interest to us in this article are IKKT matrix models in $d=3$ and $d=4$ dimensions with mass deformations. The main reason behind this interest is that these matrix models suffer generically from an emergent geometry transition and as a consequence they are very suited for studying nonperturbatively gauge theory on Moyal-Weyl spaces. Furthermore the supersymmetric versions of these matrix models provide a natural nonperturbative regularization of supersymmetry which is very interesting in its own right. Also since these matrix models are related to large $N$ Yang-Mills theory they are of paramount importance to the string/gauge duality which would allow us to study nonperturbative aspects of gravity from the gauge side of the duality. These motivations can also be found elsewhere, for example in \cite{Nishimura:2008ta,Hanada:2008gy,Ishiki:2008te,Hanada:2008ez}.
The motivation for studying large $N$ Yang-Mills matrix models with backgrounds given by fuzzy spaces is therefore four-fold:
\begin{itemize}
\item{$1)$} This is the correct way of defining nonperturbatively noncommutative gauge theories using random matrix models.
\item{$2)$} This provides also a nonperturbative definition of supersymmetry. Indeed supersymmetry in this language may prove to be tractable in Monte Carlo simulation.
\item{$3)$} They provide concrete models for emergent geometry. Indeed geometry in transition is possible in all these matrix models.
\item{$4)$} These large $N$ Yang-Mills matrix models are also relevant for the string/gauge duality.
\end{itemize}
Among the tools that can naturally be used in the context of Yang-Mills matrix models are Monte Carlo simulation \cite{Rothe:2005nw,Montvay:1994cy}, $1/N$ expansion \cite{'tHooft:1973jz,Moshe:2003xn,Brezin:1977sv,Brezin:1979ba}, renormalization group equation \cite{Polchinski:1983gv,Wilson:1973jj} and random matrix theory \cite{Di Francesco:1993nw,eynard,Mehta}. Monte Carlo simulation using the Hybrid Monte Carlo algorithm was adapted to this type of matrix models in \cite{Ambjorn:2000bf,Ambjorn:2000dx}. However simulations of matrix models remain much harder than simulations of field theory because of the non-local character of matrix interactions. Renormalization group approach to matrix models can be found for example in \cite{Brezin:1992yc} and \cite{Higuchi:1994rv,Higuchi:1993pu,Cicuta:1992cz,Nishigaki:1996ts,Ferretti:1995zn}.
The central result in this review section is as follows. In the case of gauge theory on fuzzy complex projective spaces \cite{Dolan:2006tx} we will describe how the corresponding matrix models allow for a new transition to and from a new
high temperature phase known as Yang-Mills or matrix phase with no background geometrical
structure. The low temperature phase is a geometrical one with gauge fields fluctuating on a
round complex projective space. We discuss the case of the fuzzy sphere in great detail then towards the end we comment on the other known cases.
Noncommutative gauge theory on the fuzzy sphere was introduced in \cite{Iso:2001mg,CarowWatamura:1998jn}. As we have already mentioned it was derived as the low energy dynamics of open strings moving in a background magnetic field with ${\bf S}^3$ metric in \cite{Alekseev:1999bs,Alekseev:2000fd,Hikida:2001py}. This theory consists of the Yang-Mills term ${\rm YM}$ which can be obtained from the reduction to zero dimensions of ordinary $U(N)$ Yang-Mills theory in $3$ dimensions and a Chern-Simons term ${\rm CS}$ due to Myers effect \cite{Myers:1999ps}. Thus the model contains three $N\times N$ hermitian matrices $X_1$, $X_2$ and $X_3$ with an action given by
\begin{eqnarray}
S={\rm YM}+{\rm CS}=-\frac{1}{4}Tr[X_a,X_b]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}TrX_aX_bX_c.
\end{eqnarray}
This model contains beside the usual two dimensional gauge field a scalar fluctuation normal to the sphere which can be given by \cite{Karabali:2001te}
\begin{eqnarray}
\Phi=\frac{X_a^2-{\alpha}^2c_2}{2\sqrt{c_2}}.
\end{eqnarray}
The model was studied perturbatively in \cite{CastroVillarreal:2004vh} and in \cite{Azuma:2004ie,Imai:2003vr}. In particular in \cite{CastroVillarreal:2004vh} the effective action for a non-zero gauge fluctuation was computed at one-loop and shown to contain a gauge invariant UV-IR mixing in the large $N$ limit. Indeed the effective action in the commutative limit was found to be given by the expression
\begin{eqnarray}
{\Gamma}&=& \frac{1}{4g^2}\int
\frac{d{\Omega}}{4{\pi}}F_{ab}(1+2g^2{\Delta}_3)F_{ab}-\frac{1}{4g^2}{\epsilon}_{abc}\int
\frac{d{\Omega}}{4{\pi}}F_{ab}(1+2g^2{\Delta}_3)A_c+2\sqrt{N^2-1}\int\frac{d{\Omega}}{4{\pi}}\Phi \nonumber\\
&+&{\rm non~local~ quadratic ~terms}.\label{main1}
\end{eqnarray}
The $1$ in $1+2g^2{\Delta}_3$ corresponds to the classical action whereas $2g^2{\Delta}_3$ is the quantum correction. This provides a non-local renormalization of the inverse coupling constant $1/g^2$. The last terms in (\ref{main1}) are new non-local quadratic terms which have no counterpart in the classical action. The eigenvalues of the operator ${\Delta}_3$ are given by
\begin{eqnarray}
{\Delta}_3(p)&=&\sum_{l_1,l_2}\frac{2l_1+1}{l_1(l_1+1)}\frac{2l_2+1}{l_2(l_2+1)}(1-(-1)^{l_1+l_2+p})\left\{\begin{array}{ccc}
p & l_1 & l_2 \\
\frac{L}{2} & \frac{L}{2} & \frac{L}{2} \end{array}\right\}^2\frac{l_2(l_2+1)}{p^2(p+1)^2}\nonumber\\
&\times &\big(l_2(l_2+1)-l_1(l_1+1)\big))\longrightarrow -\frac{h(p)+2}{p(p+1)}~,~h(p)=-2\sum_{l=1}^{p}\frac{1}{l}.
\end{eqnarray}
In above $L+1=N$. The $1$ in $1-(-1)^{l_1+l_2+p}$ corresponds to the planar contribution whereas $(-1)^{l_1+l_2+p}$ corresponds to the non-planar contribution where $p$ is the external momentum. The fact that ${\Delta}_3\neq 0$ in the limit $N\longrightarrow 0$ means that we have a UV-IR mixing problem.
The model ${\rm YM}+{\rm CS}$ was solved for $N=2$ and $N=3$ in \cite{Tomino:2003hb}. It was studied nonperturbatively in \cite{Azuma:2004zq} where the geometry in transition was first observed.
In \cite{O'Connor:2006wv} a generalized model was proposed and studied in which the normal scalar field was suppressed by giving it a quartic potential $V$ with very large mass. This potential on its own is an $O(3)$ random matrix model given by
\begin{eqnarray}
V&=&N\bigg[\frac{m^2}{2c_2} Tr(X_a^2)^2-{\alpha}^2\mu Tr (X_a^2)\bigg].\label{O3matrix}
\end{eqnarray}
The parameter $\mu$ is fixed such that $\mu=m^2$. The model $S+V$ was studied in \cite{DelgadilloBlando:2008vi} and \cite{DelgadilloBlando:2007vx} where the instability of the sphere was interpreted along the lines of an emergent geometry phenomena. For vanishing potential $m^2,\mu\longrightarrow 0$ the transition from/to the fuzzy sphere phase was found to have a discontinuity in the internal energy, i.e. a latent heat (figure \ref{obsm0}) and a discontinuity in the order parameter (figure \ref{radius}) indicating that the transition is first order. The order parameter is identified with the radius of the sphere, viz
\begin{eqnarray}
\frac{1}{r}=\frac{1}{Nc_2}Tr D_a^2~,~X_a=\alpha D_a.
\end{eqnarray}
From the other hand the specific heat was found to diverge at the transition point from the sphere side while it remains constant from the matrix side (figure \ref{figcvm0}). This indicates a second order behaviour with critical fluctuations only from one side of the transition. This to our knowledge is quite novel. The scaling of the coupling constant $\alpha$ in the large $N$ limit is found to be given by $\tilde{\alpha}=\alpha \sqrt{N}$. We get the critical value
\begin{eqnarray}
\tilde{\alpha}_s=2.1\pm 0.1.
\end{eqnarray}
The different phases of the model are characterized by
\begin{center}
\begin{tabular}{|c|c|}
\hline
fuzzy sphere ($\tilde{\alpha}>\tilde{\alpha}_*$ )& matrix phase ($\tilde{\alpha}<\tilde{\alpha}_*$)\\
$r=1$ & $
r=0$\\
$C_v=1$ & $C_v=0.75$ \\
\hline
\end{tabular}
\end{center}
For $m\neq 0$ and/or $\mu\neq 0$ the critical point is replaced by a critical line in the $\tilde{\beta}-t$ plane where $\tilde{\beta}^4=\tilde{\alpha}^4/(1+m^2)^3$ and $t=\mu(1+m^2)$. In other words for generic values of the parameters the matrix phase persists. The effective potential in these cases was computed in \cite{CastroVillarreal:2004vh}. We find
\begin{eqnarray}
V_{\rm eff}=\tilde{\alpha}^4
\big[\frac{1}{4}{\phi}^4-\frac{1}{3}{\phi}^3+\frac{m^2}{4}{\phi}^4-\frac{\mu}{2}{\phi}^2\big]+\ln{\phi}.
\end{eqnarray}
The extrema of
the classical potential occur at
\begin{equation}
\phi=\frac{1}{1+m^2}\left\{0,~
{\phi}_{\pm}=\frac{1\pm \sqrt{1+4t}}{2}\right\}.
\end{equation}
For $\mu$ positive the global minimum is ${\phi}_+$. The $0$ is a local maximum and ${\phi}_-$ is a local minimum. In particular for $\mu=m^2$ we obtain the global minimum ${\phi}_+=1$. For $\mu$ negative the global minimum is still ${\phi}_+$ but $0$ becomes a local minimum and ${\phi}_-$ a local maximum. If $\mu$ is sent more negative then
the global minimum ${\phi}_+=1$ becomes degenerate with ${\phi}=0$
at $t=-\frac{2}{9}$ and the maximum height of the barrier
is given by $V_-={\tilde\beta^4}/324 $ which occurs at ${\phi}_-=\frac{1}{3}$. The model has a first order transition at $t=-2/9$ where the classical ground states switches from ${\phi}_+$ for $t>-2/9$ to $0$ for $t<2/9$.
Let us now consider the effect of quantum fluctuations. The condition $V^{'}_{\rm eff}=0$
gives us extrema of the model. For large enough $\tilde{\alpha}$ and large enough $m$ and $\mu$ it
admits two positive solutions. The largest solution can be identified
with the ground state of the system. It will
determine the radius of the sphere.
The second solution is the local maximum (figure
\ref{V}) of $V_{\rm eff}$ and will determine the height of the
barrier. As the coupling is decreased these two solutions merge and
the barrier disappears. This is the critical point of the model. For smaller couplings
than the critical value $\tilde\alpha_*$ the fuzzy sphere
solution $D_a= {\phi}L_a$ no longer exists. Therefore the classical transition described above is
significantly affected by quantum fluctuations.
The condition when the barrier disappears is $V_{\rm eff}^{''}=0$. At this point the local minimum merges with the local maximum (figure \ref{V}). Solving the two equations $V_{\rm eff}^{'}=V_{\rm eff}^{''}=0$ yield the critical value
\begin{eqnarray}
g_*^2=\frac{1}{\tilde{\alpha}_*^4}=\frac{{\phi}_{*}^2({\phi}_*+2\mu)}{8},
\end{eqnarray}
where
\begin{eqnarray}
{\phi}_{*}=\frac{3}{8(1+m^2)}\bigg[1+\sqrt{1+\frac{32\mu (1+m^2)}{9}}\bigg].
\end{eqnarray}
If we take $\mu$ negative we see that $g_*$ goes to zero at $\mu(1+m^2)=-1/4$ and the critical
coupling $\tilde{\alpha}_* $ is sent to infinity and therefore
for $\mu(1+m^2)<-\frac{1}{4}$ the model has no fuzzy sphere phase. However in the region $-\frac{1}{4}<\mu(1+m^2) <-\frac{2}{9}$ the action $S+V$ is completely positive. It is therefore
not sufficient to consider only the configuration $D_a=\phi L_a$
but rather all $SU(2)$ representations must be considered.
Furthermore for large $\tilde{\alpha}$ the ground state will be dominated
by those representations with the smallest Casimir. This means that
there is no fuzzy sphere solution for $\mu(1+m^2)<-\frac{2}{9}$.
The limit of interest is the limit $\mu=m^2{\longrightarrow}\infty$.
In this case
\begin{eqnarray}
{\phi}_{*}=\frac{1}{\sqrt{2}}~,~\tilde{\alpha}^4_{*}=\frac{8}{m^2}.\label{pre2}
\end{eqnarray}
This means that the phase transition is located at a smaller value of
the coupling constant $\tilde{\alpha}$ as $m$ is increased. In other
words the region where the fuzzy sphere is stable is extended to lower
values of the coupling.
Nonperturbatively the value $\tilde{\alpha}_s$ defined as the value of $\tilde{\alpha}$
at which curves of the average value of the action $<S>$ for different $N$ cross
gives a good estimate of the location of the transition. For large $N$ we observe that the location $\tilde{\alpha}_{\rm max}$
of the peak in $C_v$ and the minimum $\tilde{\alpha}_{\rm min}$ coincide and agree well
with $\tilde\alpha_s$. By extrapolating the measured values of $\tilde{\alpha}_{\rm max}$ and $\tilde{\alpha}_{\rm min}$
to $N=\infty$ we obtain the critical value $\tilde{\alpha}_{c}$. The critical coupling determined either as
$\tilde{\alpha}_{c}$ or as $\tilde{\alpha}_{s}$ gives good agreement with (\ref{pre2}). The phase digaram is given in figure \ref{PD}.
In the case when we include a potential term with $\mu=m^2$ we also found numerical and analytical evidence \cite{Ydri:2007px,Ydri:2006xw} for the existence of another transition on the fuzzy sphere which is of the Gross-Witten type \cite{Gross:1980he}. This is a field theory transition which occurs within the fuzzy sphere phase before we reach the matrix phase. We also note that a simplified version of our model with $V$ quartic in the matrices, i.e. $m^2=0$ and $\mu\neq 0$ was studied in \cite{Azuma:2005bj,Valtancoli:2002rx}.
In \cite{Steinacker:2003sd} an elegant pure matrix model was shown to be equivalent to a gauge theory on the fuzzy sphere with a very particular form of the potential which in the large $N$ limit leads naturally (at least classically) to a decoupled normal scalar fluctuation. In \cite{Ydri:2007px,Ydri:2006xw} and \cite{Steinacker:2007iq} an alternative model of gauge theory on the fuzzy sphere was proposed in which field configurations live in the Grassmannian manifold $U(2N)/(U(N+1)\times U(N-1))$. In \cite{Steinacker:2007iq} this model was shown to possess the same partition function as commutative gauge theory on the ordinary sphere via the application of the powerful localization techniques \cite{Witten:1991we,Witten:1992xu}.
The matrix phase which is also called the Yang-Mills phase is dominated by commuting matrices. It is found that the eigenvalues of the three matrices $X_1$, $X_2$ and $X_3$ are uniformly distributed inside a solid ball in $3$ dimensions. This was also observed in higher dimensions in \cite{Hotta:1998en}. The eigenvalues distribution of a single matrix say $X_3$ can then be derived by assuming that the joint eigenvalues distribution of the the three commuting matrices $X_1$, $X_2$ and $X_3$ is uniform. We obtain
\begin{eqnarray}
\rho(x)=\frac{3}{4R^3}(R^2-x^2).
\end{eqnarray}
The parameter $R$ is the radius of the solid ball. We find numerically the value $R=2$. A one-loop calculation around the background of commuting matrices gives a value in agreement with this prediction.
These eigenvalues may be interpreted as the positions of D0-branes in spacetime following Witten \cite{Witten:1995im}. In \cite{Berenstein:2008eg} there was an attempt to give this phase a geometrical content along the same lines. However our notion of geometry in this article follows Connes \cite{Connes:1994yd} which requires providing the Dirac or Laplacian operator together with the algebra in order to determine the geometry of the space. Therefore for all practical purposes this phase has no geometry since we can not identify a sensible Laplacian acting on commuting matrices.
We recognize two different scaling limits. In the fuzzy sphere phase the matrices $X_a$ define a round sphere with a radius which scales as $N$ in the commutative limit, i.e. they define a two-dimensional plane whereas in the matrix phase they define a solid ball in $3$ dimensions. This is the scaling limit of the flat two dimensional plane. In the second scaling limit the scaled matrices $D_a$ define on the other hand a round sphere with finite radius in the fuzzy sphere phase whereas in the matrix phase they give a single point.
The essential ingredient in producing this transition is the Chern-Simons term in the action which is due to the Myers effect. This transition is related to the transition found in hermitian quartic matrix models. For example the $O(3)$ matrix model given by the potential $V$ does not have any transition but when the Chern-Simons term is added to it we reproduce the one-cut to the two-cut transition. By adding the Yang-Mills terms, i.e. by considering the full model we should then obtain a generalization of the one-cut to the two-cut transition. Indeed the matrix to the fuzzy sphere transition is in fact a one-cut to N-cut transition (figure \ref{emerge}).
The matrix phase should be identified with the one-cut (disordered) phase of the quartic hermitian matrix model. By formally comparing (\ref{matrix}) and (\ref{O3matrix}) we can make the identification $a=-{\mu}{\alpha}^2$ and $b=m^2/(2c_2)$. The one-cut phase corresponds to the region $a\geq a_*=-2\sqrt{b}$ or equivalently $\tilde{\alpha}^2\leq \tilde{\alpha}_*^2$ where
\begin{eqnarray}
\tilde{\alpha}_*^4=\frac{8m^2}{{\mu}^2}.
\end{eqnarray}
For $\mu=m^2$ this is precisely the critical point (\ref{pre2}).
By using the methods of cohomological field theories and topological matrix models employed in \cite{Kazakov:1998ji,Hoppe:1999xg,Hirano:1997ai}, it might be possible to bring the model into the form of a hermitian matrix model with generalized interaction of the form \cite{ydri_preparation}
\begin{eqnarray}
S=Na Tr M^2- Tr_{\rm ad}\ln ({\rm ad}M +b).
\end{eqnarray}
In summary we find for pure gauge models with global $SO(3)$ symmetry an exotic line of discontinuous transitions with a jump in the entropy, characteristic of a 1st order
transition, yet with divergent critical fluctuations and a divergent
specific heat with critical exponent $\alpha=1/2$. The low temperature
phase (small values of the gauge coupling constant) is a geometrical one with gauge fields fluctuating on a round sphere.
As the temperature increased the sphere evaporates
in a transition to a pure matrix phase with no background geometrical
structure. These models present an appealing picture of a geometrical phase emerging as the system cools
and suggests a scenario for the emergence of geometry in the early
universe.
Lastly we remark on the effect of fermionic determinants on the transition which is the subject of the remainder of this article. We propose here mass deformed supersymmetric matrix Yang-Mills which are reduced from mass deformed supersymmetric Yang-Mills quantum mechanics as the prime candidates to study the effect of supersymmetry on emergent geometry and vice versa in noncommutative gauge theory. These mass deformed matrix models or quantum mechanics provide also the prime examples of supersymmetric models which can be put on a computer. It is conjectured that supersymmetry will remove the transition and stabilizes completely the geometry against the quantum fluctuations of the noncommutative gauge theory or else supersymmetry may be dynamically broken. Indeed our Monte Carlo results reported here (see section $7$) confirms this picture. In \cite{Anagnostopoulos:2005cy} a Monte Carlo simulation of a $4$ dimensional model with a Chern-Simons term was performed. Although the model was not invariant under (flat) supersymmetry transformations the effect of the added Majorana fermions seemed to stabilize the geometry.
Finally we make few remarks on known analogous results in $4$ dimensions. In $4$ dimensions we have $2$ fuzzy projective spaces, fuzzy ${\bf CP}_N^2$ and fuzzy ${\bf S}_N^2\times {\bf S}_N^2$. Classical gauge theory on fuzzy ${\bf CP}_N^2$ and fuzzy ${\bf S}_N^2\times {\bf S}_N^2$ are considered in \cite{Grosse:2004wm,Dou:2007in} and \cite{DelgadilloBlando:2006dp,Behr:2005wp} respectively. A Monte Carlo study of the model ${\rm YM}+{\rm CS}$ on fuzzy ${\bf CP}_N^2$ was conducted in \cite{Azuma:2004qe}. It is observed that in this model both a fuzzy ${\bf CP}_N^2$ phase and a fuzzy sphere phase exist together with the matrix phase. The phase structure is therefore much richer. This was confirmed in \cite{Dou:2007in} with the calculation of the one-loop effective potential of the model ${\rm YM}+{\rm CS}+V$ on fuzzy ${\bf CP}_N^2$. The one-loop effective potential of the model ${\rm YM}+{\rm CS}+V$ on fuzzy ${\bf S}_N^2\times {\bf S}_N^2$ was computed in \cite{CastroVillarreal:2005uu} and a Monte Carlo study of the same model but with $V=0$ was performed in \cite{Azuma:2005pm} with similar conclusions. Fuzzy ${\bf S}_N^2\times {\bf S}_N^2$ is also considered in \cite{Imai:2003jb,Imai:2003ja,Kitazawa:2004ef}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{U-exact-one-loop-N48.ps}
\caption{The observable $\frac{<S>}{N^2}$ for $m^2=0$ as a function of the coupling constant for different matrix sizes $N$. The solid line corresponds to the theoretical prediction using the local minimum of the effective potential.}\label{obsm0}
\end{center}
\end{figure}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{radius.pure.II.ps}
\includegraphics[width=10.0cm,angle=-90]{radius.pure.III.ps}
\caption{The radius for $m^2=0$ as a function of the coupling constant for different matrix sizes $N$. The theoretical prediction is $r=1$ in the fuzzy sphere and $TrX_a^2/N=12/5$ in the matrix phase.}\label{radius}
\end{center}
\end{figure}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{Cv-Alekseev-m0-exact-final-prl-Big-Final-N48.ps}
\caption{The specific heat for $m^2=0$ as a function of the coupling constant for $N=16,24,32$,$48$. The curve corresponds with the theoretical prediction for $m^2=0$.}\label{figcvm0}
\end{center}
\end{figure}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{Veff.ps}
\caption{The effective potential for $m^2=20$.}\label{V}
\end{center}
\end{figure}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{fig2_phase_diagram.ps}
\caption{The phase diagram.}\label{PD}
\end{center}
\end{figure}
\begin{figure}[htbp]
\begin{center}
\includegraphics[width=10.0cm,angle=-90]{evD3-N24-M200-a0.20.ps}
\includegraphics[width=10.0cm,angle=-90]{evD3-N24-M200-a4.00.ps}
\caption{The one-cut to N-cut transition. }\label{emerge}
\end{center}
\end{figure}
\newpage
\section{Mass Deformation of $D=4$ Super Yang-Mills Matrix Model}
\subsection{Dimenional Reduction in $4$D}
We work with the metric $\eta=(-+++)$. The gamma matrices satisfy $\{{\gamma}_{\mu},{\gamma}_{\nu}\}=2{\eta}_{\mu\nu}$. We consider the representation
\begin{eqnarray}
&&{\gamma}^0=-i\left(
\begin{array}{cc}
0& {\bf 1}_2 \\
{\bf 1}_2&0
\end{array}
\right)~,~{\gamma}^i=-i\left(
\begin{array}{cc}
0&{\sigma}_i \\
-{\sigma}_i&0
\end{array}
\right).
\end{eqnarray}
We have $\beta={\gamma}_4=i{\gamma}^0$, ${\gamma}_5=i{\gamma}_0{\gamma}_1{\gamma}_2{\gamma}_3$. We verify that ${\gamma}_{\mu}^+={\gamma}^0{\gamma}_{\mu}{\gamma}^0$, ${\gamma}_{\mu}^*={\gamma}^2{\gamma}_{\mu}{\gamma}^2$, ${\gamma}_{\mu}^T=C{\gamma}_{\mu}C$. The charge conjugation matrix is defined by
\begin{eqnarray}
C={\gamma}_2\beta=-\epsilon{\gamma}_5~,~C^+=C^{-1}=-C~,~C^T=-C~,~C^2=-1.
\end{eqnarray}
\begin{eqnarray}
&&\epsilon=\left(
\begin{array}{cc}
i{\sigma}_2& 0 \\
0&i{\sigma}_2
\end{array}
\right)~,~{\gamma}_5=\left(
\begin{array}{cc}
{\bf 1}_2&0 \\
0&-{\bf 1}_2
\end{array}
\right).
\end{eqnarray}
The Majorana condition reads
\begin{eqnarray}
\bar{\psi}=i{\psi}^+{\gamma}^0\equiv -{\psi}^TC.
\end{eqnarray}
The ${\cal N}=1$ supersymmetric Yang-Mills theory is given by the Lagrangian density
\begin{eqnarray}
{\cal L}_0=Tr\bigg(-\frac{1}{4}F_{\mu\nu}F^{\mu\nu}-\frac{1}{2}\bar{\lambda}{\gamma}^{\mu}D_{\mu}\lambda +\frac{1}{2}D^2\bigg).
\end{eqnarray}
\begin{eqnarray}
F_{\mu\nu}={\partial}_{\mu}A_{\nu}-{\partial}_{\nu}A_{\mu}-ig[A_{\mu},A_{\nu}]~,~D_{\mu}\lambda={\partial}_{\mu}\lambda-ig[A_{\mu},\lambda].
\end{eqnarray}
The supersymmetric transformations are explicitly given by
\begin{eqnarray}
&&\delta_0 A_{\mu}=\bar{\epsilon}{\gamma}_{\mu}\lambda\nonumber\\
&&\delta_0 \lambda=\bigg(-\frac{1}{4}[{\gamma}^{\mu},{\gamma}^{\nu}]F_{\mu\nu}+i{\gamma}_5D\bigg)\epsilon\nonumber\\
&&\delta_0 D=i\bar{\epsilon}{\gamma}_5{\gamma}_{\mu}{D}^{\mu}\lambda.
\end{eqnarray}
The reduction of this theory to one dimension is obtained by setting $A_{\mu}=X_{\mu}/g$ where ${\partial}_iX_{\mu}=0$. We also set $\lambda=\psi/g$ and $D=F/g$ where ${\partial}_i\lambda=0$, ${\partial}_iF=0$. We get the supersymmetric Yang-Mills quantum mechanics given by the Lagrangian density
\begin{eqnarray}
{\cal L}_0=\frac{1}{g^2}Tr\bigg(\frac{1}{2}(D_0X_i)^2+\frac{1}{4}[X_i,X_j]^2-\frac{1}{2}\bar{\psi}{\gamma}^0D_0\psi+\frac{i}{2}\bar{\psi}{\gamma}^i[X_i,\psi] +\frac{1}{2}F^2\bigg).
\end{eqnarray}
\begin{eqnarray}
D_0={\partial}_0-i[X_0,.].
\end{eqnarray}
The supersymmetric transformations become
\begin{eqnarray}
&&\delta_0 X_{0}=\bar{\epsilon}{\gamma}_{0}\psi\nonumber\\
&&\delta_0 X_{i}=\bar{\epsilon}{\gamma}_{i}\psi\nonumber\\
&&\delta_0 \psi=\bigg(-\frac{1}{2}[{\gamma}^{0},{\gamma}^{i}]D_0X_i+\frac{i}{4}[{\gamma}^{i},{\gamma}^{j}][X_i,X_j]+i{\gamma}_5F\bigg)\epsilon\nonumber\\
&&\delta_0 F=-i\bar{\epsilon}{\gamma}_5{\gamma}_{0}{D}_{0}\psi+\bar{\epsilon}{\gamma}_5{\gamma}_{i}[{X}_{i},\psi].
\end{eqnarray}
Note that the variation of the Lagrangian density ${\cal L}_0$ under the supersymmetry transformations is given by (we set $F=0$ for simplicity)
\begin{eqnarray}
\delta\bigg(Tr\frac{i}{2}\bar{\psi}{\gamma}^i[X_i,\psi]-Tr\frac{1}{2}\bar{\psi}{\gamma}^0D_0\psi+\frac{1}{2}(D_0X_i)^2+\frac{1}{4}[X_i,X_j]^2\bigg)
&=&\nonumber\\
-\frac{1}{3}\bigg[(C{\gamma}^{\rho})_{\alpha\beta}(C{\gamma}_{\rho})_{\mu\nu}+(C{\gamma}^{\rho})_{\beta\nu}(C{\gamma}_{\rho})_{\mu\alpha}&+&\nonumber\\
(C{\gamma}^{\rho})_{\nu\alpha}(C{\gamma}_{\rho})_{\mu\beta}\bigg]{\epsilon}_{\mu}Tr{\psi}_{\alpha}\{{\psi}_{\nu},{\psi}_{\beta}\}.
\end{eqnarray}
This vanishes by Fierz identity.
\subsection{Deformed Yang-Mills Quantum Mechanics in $4$D}
Let $\mu$ be a constant mass parameter. A mass deformation of the Lagrangian density ${\cal L}_0$ takes the form
\begin{eqnarray}
{\cal L}_{\mu}={\cal L}_0+\frac{\mu}{g^2}{\cal L}_1+\frac{{\mu}^2}{g^2}{\cal L}_2+...\label{4DL}
\end{eqnarray}
The Lagrangian density ${\cal L}_0$ has mass dimension $4$. The corrections ${\cal L}_1$ and ${\cal L}_2$ must have mass dimension $3$ and $2$ respectively. We recall that the Bosonic matrices $X_0$ and $X_{a}$ have mass dimension $1$ whereas the Fermionic matrices ${\psi}_i$ have mass dimension $\frac{3}{2}$. A typical term in the Lagrangian densities ${\cal L}_1$ and ${\cal L}_2$ will contain $n_f$ Fermion matrices, $n_b$ Boson matrices and $n_t$ covariant time derivatives. Clearly for ${\cal L}_1$ we must have $\frac{3}{2}n_f+n_b+n_t=3$. There are only three solutions $(n_f,n_b,n_t)=(2,0,0),(0,3,0),(0,2,1)$. For ${\cal L}_2$ we must have $\frac{3}{2}n_f+n_b+n_t=2$ and we have only one solution $(n_f,n_b,n_t)=(0,2,0)$. Thus the most general forms of ${\cal L}_1$ and ${\cal L}_2$ are
\begin{eqnarray}
{\cal L}_1=Tr\bigg(\bar{\psi}M{\psi}+\frac{1}{3!}S_{abc}X_aX_bX_c+J_{ab}X_aD_0X_b\bigg).
\end{eqnarray}
\begin{eqnarray}
{\cal L}_2=Tr\bigg(-\frac{1}{2!}S_{ab}X_aX_b\bigg).
\end{eqnarray}
Clearly for ${\cal L}_3$ we must have $\frac{3}{2}n_f+n_b+n_t=1$ which can not be satisfied. Thus the correction ${\cal L}_3$ and all other higher order corrections vanish identically.
We will follow the method of \cite{Kim:2006wg} to determine the exact form of the mass deformation. We start with the fermionic mass term
\begin{eqnarray}
\frac{\mu}{g^2}{\cal L}_{\psi}=\frac{\mu}{g^2} Tr\bar{\psi}M\psi=-\mu Tr\bar{\psi}CM^TC\psi.
\end{eqnarray}
We can verify that only the identity matrix, the gamma five and the cubic terms in the gamma matrices can survive in the expansion of $M$. The cubic terms are either ${\gamma}^0[{\gamma}^i,{\gamma}^j]$ or ${\gamma}^1{\gamma}^2{\gamma}^3$. we have
\begin{eqnarray}
{\cal L}_{\psi}=Tr\bar{\psi}\bigg(ia{\bf 1}_4+b{\gamma}_5+\frac{1}{2}H_{ij}{\gamma}^0[{\gamma}^i,{\gamma}^j]+c{\gamma}^1{\gamma}^2{\gamma}^3\bigg)\psi.
\end{eqnarray}
Under the chiral transformation $\psi\longrightarrow \chi=e^{i\phi {\gamma}_5}\psi$, $\bar{\psi}\longrightarrow \bar{\chi}=\bar{\psi}e^{i\phi{\gamma}_5}$ the Lagrangian density ${\cal L}_0$ remains the same while ${\cal L}_{\psi}$ transforms as
\begin{eqnarray}
{\cal L}_{\psi}=Tr\bar{\chi}\bigg(ia^{'}{\bf 1}_4+b^{'}{\gamma}_5+\frac{1}{2}H_{ij}{\gamma}^0[{\gamma}^i,{\gamma}^j]+c{\gamma}^1{\gamma}^2{\gamma}^3\bigg)\chi,
\end{eqnarray}
where $a^{'}=a\cos 2\phi+b\sin 2\phi$ and $b^{'}=-a\sin 2\phi+b\cos 2\phi $. Thus we can use this symmetry to set $b=0$. We get
\begin{eqnarray}
{\cal L}_{\psi}=Tr\bar{\psi}\bigg(ia{\bf 1}_4+\frac{1}{2}H_{ij}{\gamma}^0[{\gamma}^i,{\gamma}^j]+c{\gamma}^1{\gamma}^2{\gamma}^3\bigg)\psi.
\end{eqnarray}
The numerical coefficients $a$, $H_{ij}$ and $c$ will be constrained further under the requirement of supersymmetry invariance.
Next we consider the bosonic terms. We can choose the coefficients $J_{ab}$ to be antisymmetric without any loss of generality since we have $\int dt ~TrJ_{ab}X^aD_0X^b=\int dt ~Tr\frac{1}{2}(J_{ab}-J_{ba})X^aD_0X^b-\int Tr\frac{1}{2}D_0J_{ab}X^aX^b$ where clearly the last term can be included in ${\cal L}_2$. The Bosonic part of the action reads
\begin{eqnarray}
\frac{1}{g^2}Tr\bigg(\frac{1}{2}(D_0X_a)^2+\frac{1}{4}[X_a,X_b]^2+\frac{\mu}{3!}S_{abc}X_aX_bX_c+\mu J_{ab}X_aD_0X_b -\frac{{\mu}^2}{2!}S_{ab}X_aX_b\bigg).
\end{eqnarray}
We consider the action of a time dependent $SO(3)$ rotation $L$ defined by $Y_a=L_{ab}X_b$, $X_a=L_{ba}Y_b$, $LL^T=L^TL=1$. The action transforms as
\begin{eqnarray}
\frac{1}{g^2}Tr\bigg(\frac{1}{2}(D_0Y_a)^2+\frac{1}{4}[Y_a,Y_b]^2+\frac{\mu}{3!}\hat{S}_{abc}Y_aY_bY_c+\mu \hat{J}_{ab}Y_aD_0Y_b -\frac{{\mu}^2}{2!}\hat{S}_{ab}Y_aY_b\bigg),
\end{eqnarray}
where $\hat{S}_{abc}=S_{a_0b_0c_0}L_{aa_0}L_{bb_0}L_{cc_0}$, $\hat{S}_{ab}=S_{a_0b_0}L_{aa_0}L_{bb_0}-\frac{2}{\mu}J_{a_0b_0}L_{aa_0}{\partial}_0L_{bb_0}-\frac{1}{{\mu}^2}{\partial}_0L_{ac}{\partial}_0L_{bc}$, $\hat{J}_{ab}=J_{a_0b_0}L_{aa_0}L_{bb_0}+\frac{1}{\mu}L_{bc}{\partial}_0L_{ac}$. Thus it is clear that we can choose $L$ such that $\hat{J}_{ab}=0$.
By similar arguments we can show that the coefficients $S_{ab}$ can be chosen to be totally symmetric while the coefficients $S_{abc}$ can be chosen totally antisymmetric. By rotational invariance we must therefore have $S_{ab}=v\delta_{ab}$ and $S_{abc}=6ie\epsilon_{abc}$ for some numerical coefficients $v$ and $e$. In particular the Myers term is
\begin{eqnarray}
\frac{\mu}{g^2}{\cal L}_{\rm myers}=\frac{\mu}{g^2}\bigg(ie{\epsilon}_{ijk}TrX_iX_jX_k\bigg).
\end{eqnarray}
The mass deformed supersymmetric transformations will be taken such that on bosonic fields they will coincide with the non deformed supersymmetric transformations so that the Fierz identity can still be used. The mass deformed supersymmetric transformations on fermionic fields will be different from the non deformed supersymmetric transformations with a time dependent parameter ${\epsilon}\equiv {\epsilon}(t)$ which satisfies ${\partial}_0{\epsilon}=\mu \Pi{\epsilon}$. We will suppose the supersymmetric transformations
\begin{eqnarray}
&&{\delta}_{\mu} X_{0}={\delta}_0 X_{0}\nonumber\\
&&{\delta}_{\mu} X_{i}={\delta}_0 X_{i}\nonumber\\
&&{\delta}_{\mu} {\psi}={\delta}_0 {\psi}+\mu{\Delta}{\epsilon}.
\end{eqnarray}
By requiring that the Lagrangian density (\ref{4DL}) is invariant under these transformations we can determine precisely the form of the mass deformed Lagrangian density and the mass deformed supersymmetry transformations. A long calculation yields the mass deformed Lagrangian density and mass deformed supersymmetry transformations given respectively by (see Appendix $C$)
\begin{eqnarray}
{\cal L}_{\mu}&=&{\cal L}_{0}+\frac{\mu}{g^2}Tr\bar{\psi}\big(ia-\frac{3e}{4}{\gamma}^1{\gamma}^2{\gamma}^3\big){\psi}+ie{\epsilon}_{ijk}\frac{\mu}{g^2}TrX_iX_jX_k-\frac{{\mu}^2}{g^2}\frac{1}{2}(e^2-\frac{16}{9}a^2)TrX_i^2.\nonumber\\
\end{eqnarray}
\begin{eqnarray}
&&{\delta}_{\mu} X_{0}=\bar{\epsilon}{\gamma}_{0}\psi\nonumber\\
&&{\delta}_{\mu} X_{i}=\bar{\epsilon}{\gamma}_{i}\psi\nonumber\\
&&{\delta}_{\mu} {\psi}=\bigg(-\frac{1}{2}[{\gamma}^{0},{\gamma}^{i}]D_0X_i+\frac{i}{4}[{\gamma}^{i},{\gamma}^{j}][X_i,X_j]-\frac{4\mu}{3}\big(ia+\frac{3e}{4}{\gamma}^1{\gamma}^2{\gamma}^3\big){\gamma}^iX_i\bigg)\epsilon.
\end{eqnarray}
\begin{eqnarray}
\epsilon\equiv \epsilon(t)=e^{\mu\big(\frac{2ia}{3}{\gamma}^0+\frac{e}{2}{\gamma}^0{\gamma}^1{\gamma}^2{\gamma}^3\big)t}.
\end{eqnarray}
We verify that $({\delta}_{\mu} X_{\mu})^+={\delta}_{\mu} X_{\mu}$ and hence the Hermitian matrices $X_{\mu}$ remains Hermitian under supersymmetry. The corresponding supersymmetric algebra is $su(2|1)$ \cite{Kim:2006wg}.
We prefer to work with the parameters $\mu_1$ and $\mu_2$ defined by $ia\mu={{\mu}_1}/{4}$ and $-\frac{3e\mu}{4}={{\mu}_2}/{4}$. The Lagrangian density and supersymmetric transformations become
\begin{eqnarray}
{\cal L}_{\mu}
&=&{\cal L}_{0}+\frac{1}{4g^2}Tr\bar{\psi}\big({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\psi}-i{\epsilon}_{ijk}\frac{{\mu}_2}{3g^2}TrX_iX_jX_k-\frac{1}{18g^2}({\mu}_1^2+{\mu}_2^2)TrX_i^2.\nonumber\\
\end{eqnarray}
\begin{eqnarray}
&&{\delta}_{\mu} X_{0}=\bar{\epsilon}{\gamma}_{0}\psi\nonumber\\
&&{\delta}_{\mu} X_{i}=\bar{\epsilon}{\gamma}_{i}\psi\nonumber\\
&&{\delta}_{\mu} {\psi}=\bigg(-\frac{1}{2}[{\gamma}^{0},{\gamma}^{i}]D_0X_i+\frac{i}{4}[{\gamma}^{i},{\gamma}^{j}][X_i,X_j]-\frac{1}{3}\big({\mu}_1-{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\gamma}^iX_i\bigg)\epsilon.
\end{eqnarray}
\begin{eqnarray}
\epsilon\equiv \epsilon(t)=e^{\frac{1}{6}\big({\mu}_1{\gamma}^0-{\mu}_2{\gamma}^0{\gamma}^1{\gamma}^2{\gamma}^3\big)t}.
\end{eqnarray}
\subsection{Truncation to Zero Dimension}
We consider now the Lagrangian density (action) given by
\begin{eqnarray}
{\cal L}_{\mu}&=&{\cal L}_{0}+\frac{a}{4g^2}Tr\bar{\psi}\big({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\psi}-i{\epsilon}_{ijk}\frac{b{\mu}_2}{3g^2}TrX_iX_jX_k-\frac{c}{18g^2}({\mu}_1^2+{\mu}_2^2)TrX_i^2.\nonumber\\
\end{eqnarray}
\begin{eqnarray}
{\cal L}_0=\frac{1}{g^2}Tr\bigg(\frac{1}{4}[X_{\mu},X_{\nu}][X^{\mu},X^{\nu}]+\frac{i}{2}\bar{\psi}{\gamma}^{\mu}[X_{\mu},\psi] \bigg).
\end{eqnarray}
In above we have allowed for the possibility that mass deformations corresponding to the reduction to zero and one dimensions can be different by including different coefficients $a$, $b$ and $c$ in front of the fermionic mass term, the Myers term and the bosonic mass term respectively. However we will keep the mass deformed supersymmetric transformations unchanged. We have
\begin{eqnarray}
&&{\delta}_{\mu} X_{\mu}=\bar{\epsilon}{\gamma}_{\mu}\psi=-\bar{\psi}{\gamma}_{\mu}\epsilon.
\end{eqnarray}
\begin{eqnarray}
{\delta}_{\mu} {\psi}&=&\bigg(\frac{i}{4}[{\gamma}^{\mu},{\gamma}^{\nu}][X_{\mu},X_{\nu}]-\frac{1}{3}\big({\mu}_1-{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\gamma}^iX_i\bigg)\epsilon.
\end{eqnarray}
We compute the supersymmetric variations
\begin{eqnarray}
g^2{\delta}_{\mu}{\cal L}_0=-\frac{i}{3}Tr\bar{\psi}({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3){\gamma}^0{\gamma}^i[X_0,X_i]\epsilon-\frac{i}{6}Tr\bar{\psi}({\mu}_1-{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3)[{\gamma}^i,{\gamma}^j][X_i,X_j]\epsilon.\label{var0}\nonumber\\
\end{eqnarray}
\begin{eqnarray}
{\delta}_{\mu}\bigg(\frac{a}{4}Tr\bar{\psi}\big({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\psi}\bigg)&=&\frac{a}{12}({\mu}_1^2+{\mu}_2^2)Tr{\delta}_{\mu}(X_i^2)\nonumber\\
&+&\frac{ia}{2}Tr\bar{\psi}({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3){\gamma}^0{\gamma}^i[X_0,X_i]\epsilon\nonumber\\
&+&\frac{ia}{8}Tr\bar{\psi}({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3)[{\gamma}^i,{\gamma}^j][X_i,X_j]\epsilon.\label{var1}
\end{eqnarray}
Clearly the first term of (\ref{var0}) must cancel the second term of (\ref{var1}), i.e.
\begin{eqnarray}
a=\frac{2}{3}~,~c=1.
\end{eqnarray}
We get then
\begin{eqnarray}
{\delta}_{\mu}\bigg(g^2{\cal L}_0+\frac{1}{6}Tr\bar{\psi}\big({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3\big){\psi}-\frac{1}{18}({\mu}_1^2+{\mu}_2^2)TrX_i^2\bigg)&=&\nonumber\\
-\frac{i}{6}Tr\bar{\psi}({\mu}_1-{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3)[{\gamma}^i,{\gamma}^j][X_i,X_j]\epsilon&+&\nonumber\\
\frac{i}{12}Tr\bar{\psi}({\mu}_1+{\mu}_2{\gamma}^1{\gamma}^2{\gamma}^3)[{\gamma}^i,{\gamma}^j][X_i,X_j]\epsilon.\nonumber\\
\end{eqnarray}
By using the identity $\frac{1}{2}{\gamma}^1{\gamma}^2{\gamma}^3[{\gamma}^i,{\gamma}^j]=-{\epsilon}_{ijk}{\gamma}^k$ we find
\begin{eqnarray}
{\delta}_{\mu}\bigg(-i{\epsilon}_{ijk}\frac{b{\mu}_2}{3}TrX_iX_jX_k\bigg)&=&-\frac{ib{\mu}_2}{4}Tr\bar{\psi}{\gamma}^1{\gamma}^2{\gamma}^3[{\gamma}^i,{\gamma}^j][X_i,X_j]\epsilon.
\end{eqnarray}
We must then have
\begin{eqnarray}
b=1.
\end{eqnarray}
But also we must have
\begin{eqnarray}
{\mu}_1=0.
\end{eqnarray}
Thus we get
\begin{eqnarray}
{\delta}_{\mu}\bigg(g^2{\cal L}_0+\frac{{\mu}_2}{6}Tr\bar{\psi}{\gamma}^1{\gamma}^2{\gamma}^3{\psi}-\frac{{\mu}_2^2}{18}TrX_i^2-i{\epsilon}_{ijk}\frac{{\mu}_2}{3}TrX_iX_jX_k\bigg)&=&0.
\end{eqnarray}
The model of interest is therefore
\begin{eqnarray}
{\cal L}_{\mu}&=&\frac{1}{g^2}Tr\bigg(\frac{1}{4}[X_{\mu},X_{\nu}][X^{\mu},X^{\nu}]+\frac{i}{2}\bar{\psi}{\gamma}^{\mu}[X_{\mu},\psi] +\frac{{\mu}_2}{6}Tr\bar{\psi}{\gamma}^1{\gamma}^2{\gamma}^3{\psi}-\frac{{\mu}_2^2}{18}TrX_i^2\nonumber\\
&-&i{\epsilon}_{ijk}\frac{{\mu}_2}{3}TrX_iX_jX_k\bigg).
\end{eqnarray}
Since $\psi$ and $\epsilon$ are Majorana spinors we can rewrite them as
\begin{eqnarray}
&&\psi=\left(
\begin{array}{c}
i{\sigma}_2({\theta}^+)^T \\
{\theta}
\end{array}
\right)~,~\epsilon=\left(
\begin{array}{c}
i{\sigma}_2({\omega}^+)^T \\
{\omega}
\end{array}
\right).
\end{eqnarray}
We compute with $X_0=iX_4$ the action
\begin{eqnarray}
{\cal L}_{\mu}
&=&\frac{1}{g^2}Tr\bigg(\frac{1}{2}[X_{4},X_{i}]^2+\frac{1}{4}\bigg([X_i,X_j]-i\frac{{\mu}_2}{3}{\epsilon}_{ijk}X_k\bigg)^2+{\theta}^+\bigg(i[X_4,..]+{\sigma}_i[X_i,..]+\frac{{\mu}_2}{3}\bigg)\theta\bigg).\nonumber\\
\end{eqnarray}
The supersymmetric transformations are
\begin{eqnarray}
&&{\delta}_{\mu}X_0=i({\omega}^+\theta-{\theta}^+\omega)\nonumber\\
&&{\delta}_{\mu}X_i=i({\theta}^+{\sigma}_i{\omega}-{\omega}^+{\sigma}_i\theta)\nonumber\\
&&{\delta}_{\mu}\theta=\bigg(-i{\sigma}_i[X_0,X_i]-\frac{1}{2}{\epsilon}_{ijk}{\sigma}_k[X_i,X_j]+\frac{i}{3}{\mu}_2{\sigma}_iX_i\bigg)\omega.
\end{eqnarray}
\section{Cohomological Approach}
\subsection{Supersymmetry Transformations}
The ${\cal N}=1$ supersymmetric Yang-Mills theory in four dimensions is given by the Lagrangian density
\begin{eqnarray}
{\cal L}_0=Tr\bigg(-\frac{1}{4}F_{\mu\nu}F^{\mu\nu}-\frac{1}{2}\bar{\lambda}{\gamma}^{\mu}D_{\mu}\lambda +\frac{1}{2}D^2\bigg).
\end{eqnarray}
\begin{eqnarray}
F_{\mu\nu}={\partial}_{\mu}A_{\nu}-{\partial}_{\nu}A_{\mu}-ig[A_{\mu},A_{\nu}]~,~D_{\mu}\lambda={\partial}_{\mu}\lambda-ig[A_{\mu},\lambda].
\end{eqnarray}
The supersymmetric transformations are explicitly given by
\begin{eqnarray}
&&\delta A_{\mu}=\bar{\epsilon}{\gamma}_{\mu}\lambda\nonumber\\
&&\delta \lambda=\bigg(-\frac{1}{4}[{\gamma}^{\mu},{\gamma}^{\nu}]F_{\mu\nu}+i{\gamma}_5D\bigg)\epsilon\nonumber\\
&&\delta D=i\bar{\epsilon}{\gamma}_5{\gamma}_{\mu}{D}^{\mu}\lambda.
\end{eqnarray}
The Majorana spinors $\lambda$ and $\epsilon$ can be written in terms of two dimensional complex spinors $\theta$ and $\omega$ as
\begin{eqnarray}
&&\lambda=-\frac{1}{g}\left(
\begin{array}{c}
i{\sigma}_2({\theta}^+)^T \\
{\theta}
\end{array}
\right)~,~\epsilon=\left(
\begin{array}{c}
i{\sigma}_2({\omega}^+)^T \\
{\omega}
\end{array}
\right).
\end{eqnarray}
We will also write
\begin{eqnarray}
A_{\mu}=\frac{1}{g}X_{\mu}~,~D=\frac{2i}{g}B.
\end{eqnarray}
We will work with Euclidean metric, i.e $X_0=iX_4$. The reduction of the above theory to zero dimension is obtained by setting $\partial_{\mu}X_4=0$, $\partial_{\mu}X_{a}=0$, $\partial_{\mu}\theta=0$, $\partial_{\mu}\theta^+=0$ and $\partial_{\mu}D=0$. We obtain
\begin{eqnarray}
S
&=&-\frac{1}{g^2}Tr\bigg(\frac{1}{4}[X_{\mu},X_{\nu}]^2+\bar{\theta}\bar{\sigma}^{\mu}[X_{\mu},\theta]-2B^2\bigg).
\end{eqnarray}
We can also trivially check that (we set $g^2=1$)
\begin{eqnarray}
S
&=&-\frac{1}{4}Tr[X_{\mu},X_{\nu}]^2-Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[X_a,..]\bigg)\theta+2Tr B^2.
\end{eqnarray}
The supersymmetric transformations become
\begin{eqnarray}
&&{\delta}X^{\mu}=i\bar{\omega}\bar{\sigma}^{\mu}\theta-i\bar{\theta}\bar{\sigma}^{\mu}\omega\nonumber\\
&&\delta\theta=i{\sigma}^{\mu\nu}[X^{\mu},X^{\nu}]\omega-2B\omega\nonumber\\
&&\delta\bar{\theta}=-i\bar{\omega}{\sigma}^{\mu\nu}[X^{\mu},X^{\nu}]+2B\bar{\omega}\nonumber\\
&& \delta B=\frac{1}{2}\bar{\omega}\bar{\sigma}^{\mu}[X^{\mu},\theta]+\frac{1}{2}[X^{\mu},\bar{\theta}]\bar{\sigma}^{\mu}\omega.
\end{eqnarray}
Let us note that since we are in Euclidean signature the transformation law of $X_4$ is antihermitian rather than hermitian.
By using a contour shifting argument for the Gaussian integral over $B$ we can rewrite the auxiliary field $B$ as
\begin{eqnarray}
B=H+\frac{1}{2}[X_1,X_2].
\end{eqnarray}
The matrix $H$ must be taken hermitian. We will also introduce
\begin{eqnarray}
\theta_1=\eta_2+i\eta_1~,~\theta_2=\chi_1+i\chi_2.
\end{eqnarray}
\begin{eqnarray}
\phi=\frac{1}{2}(X_3+iX_4)~,~\bar{\phi}=-\frac{1}{2}(X_3-iX_4).
\end{eqnarray}
Let us now compute
\begin{eqnarray}
S&=&2S_{\rm cohom}.
\end{eqnarray}
\begin{eqnarray}
S_{\rm cohom}
&=&Tr\bigg(H^2+H[X_1,X_2]+[X_i,\phi][X_i,\bar{\phi}]+[\phi,\bar{\phi}]^2-\eta_i[\phi,\eta_i]-\chi_i[\bar{\phi},\chi_i]\nonumber\\
&-&\eta_1\epsilon^{ij}[{\chi}_i,X_j]+\eta_2[\chi_i,X_i]\bigg).
\end{eqnarray}
In above we have used $\epsilon^{12}=1$ and the result $TrF_1[B,F_2]=-Tr\{F_1,F_2\}B$ where $F_i$ are fermionic matrices and $B$ is a bosonic matrix. The indices $i$ and $j$ take the values $1$ and $2$. As we will see $\phi$ and $\bar{\phi}$ must be taken to be independent. Furthermore $\phi$ must be taken antihermitian and $\bar{\phi}$ hermitian.
We have four independent real supersymmetries generated by the four independent grassmannian parameters $\xi_i$, $\rho_i$ defined by the equations $\omega_1=\xi_2+i\xi_1$ and $\omega_2=\rho_1+i\rho_2$. The supercharges $Q_1=Q_{1R}+iQ_{1I}$ and $Q_2=Q_{2R}+iQ_{2I}$ are defined such that the supersymmetric transformation of any operator ${\cal O}={\cal O}_I+i{\cal O}_R$ is given by
\begin{eqnarray}
\delta {\cal O}&=&[Q^+\omega-\omega^+Q,{\cal O}]=(\delta{\cal O})_R+i(\delta{\cal O})_I,
\end{eqnarray}
where
\begin{eqnarray}
(\delta {\cal O})_R=-2i[{\cal Q},{\cal O}_I]~,~
(\delta {\cal O})_I=2i[{\cal Q},{\cal O}_R].
\end{eqnarray}
The generator ${\cal Q}$ is antihermitian and it can be written as
\begin{eqnarray}
{\cal Q}=\xi_2Q_{1R}+\xi_1Q_{1I}+\rho_1Q_{2R}+\rho_2Q_{2I}.
\end{eqnarray}
For a bosonic field ${\cal O}$ the imaginary part ${\cal O}_I$ is zero and thus we obatin $(\delta {\cal O})_I=2i[{\cal Q},{\cal O}]=\hat{\delta}{\cal O}=-i\delta{\cal O}$. After a long calculation we obtain
\begin{eqnarray}
\hat{\delta} X_1
&=&2\big(\xi_2\chi_1+\xi_1\chi_2+\rho_1\eta_2+\rho_2\eta_1\big)\nonumber\\
\hat{\delta} X_2
&=&2\big(\xi_2\chi_2-\xi_1\chi_1+\rho_2\eta_2-\rho_1\eta_1\big).
\end{eqnarray}
\begin{eqnarray}
\hat{\delta} \phi
&=&-2\big(\rho_1\chi_1+\rho_2\chi_2\big)\nonumber\\
\hat{\delta} \bar{\phi}&=&-2\big(\xi_1\eta_1+\xi_2\eta_2\big).
\end{eqnarray}
\begin{eqnarray}
\hat{\delta} H&=&2\xi_2[\phi,\eta_1]-2\xi_1[\phi,\eta_2]+2\rho_1[\bar{\phi},\chi_2]-2\rho_2[\bar{\phi},\chi_1]+2[X_1,\rho_1\eta_1-\rho_2\eta_2]\nonumber\\
&+&2[-\rho_1\eta_2-\rho_2\eta_1,X_2].
\end{eqnarray}
For fermion fields we obtain $ (\delta\theta_1)_R=-\hat{\delta}\eta_1$, $(\delta\theta_1)_I=\hat{\delta}\eta_2$, $(\delta\theta_2)_R=-\hat{\delta}{\chi}_2$ and $(\delta\theta_2)_I=\hat{\delta}{\chi}_1$. Another long calculation yields
\begin{eqnarray}
-\hat{\delta} \eta_1&=&2\xi_1[\phi,\bar{\phi}]-2\xi_2H-2i\rho_1[X_1,\bar{\phi}]-2i\rho_2[X_2,\bar{\phi}]\nonumber\\
\hat{\delta} \eta_2&=&-2\xi_2[\phi,\bar{\phi}]-2\xi_1H-2i\rho_2[X_1,\bar{\phi}]+2i\rho_1[X_2,\bar{\phi}].
\end{eqnarray}
\begin{eqnarray}
-\hat{\delta} \chi_2&=&-2\rho_2[\phi,\bar{\phi}]-2\rho_1H-2i\rho_2[X_1,X_2]+2\xi_1[X_1,\phi]+2\xi_2[X_2,\phi]\nonumber\\
\hat{\delta} \chi_1&=&2\rho_1[\phi,\bar{\phi}]-2\rho_2H+2i\rho_1[X_1,X_2]-2\xi_2[X_1,\phi]+2\xi_1[X_2,\phi].
\end{eqnarray}
We look at the supercharge associated with $\xi_2$. We define the exterior derivative $d$ on bosons by $dB=i[Q_{1R},B]$ and on fermions by $dF=i\{Q_{1R},F\}$, i.e $\hat{\delta}B=2\xi_2dB$ and $\hat{\delta}F=2\xi_2dF$. The corresponding supersymmetric transformations are
\begin{eqnarray}
d X_i=\chi_i.
\end{eqnarray}
\begin{eqnarray}
d\phi=0~,~d\bar{\phi}=-\eta_2.
\end{eqnarray}
\begin{eqnarray}
dH&=&[\phi,\eta_1].
\end{eqnarray}
\begin{eqnarray}
d \eta_1=H~,~d\eta_2=[\bar{\phi},\phi].
\end{eqnarray}
\begin{eqnarray}
d\chi_i&=&[\phi,X_i].
\end{eqnarray}
From these transformation laws we can immediately deduce that for any operator ${\cal O}$ we must have
\begin{eqnarray}
d^2{\cal O}=[\phi,{\cal O}].
\end{eqnarray}
Thus $d^2$ is a gauge transformation generated by $\phi$ and as a consequence it is nilpotent on gauge invariant quantities such as the action.
Next we compute
\begin{eqnarray}
\hat{\delta}\bigg(-Tr\chi_i[X_i,\bar{\phi}]\bigg)=2\xi_2Tr\bigg([X_i,\phi][X_i,\bar{\phi}]-\chi_i[\bar{\phi},\chi_i]+\eta_2[\chi_i,X_i]\bigg).
\end{eqnarray}
\begin{eqnarray}
\hat{\delta}\bigg(Tr\eta_1[X_1,X_2]\bigg)=2\xi_2Tr\bigg(H[X_1,X_2]-\eta_1\epsilon_{ij}[\chi_i,X_j]\bigg).
\end{eqnarray}
\begin{eqnarray}
\hat{\delta}\bigg(Tr\eta_1H\bigg)=2\xi_2Tr\bigg(H^2-\eta_1[{\phi},\eta_1]\bigg).
\end{eqnarray}
\begin{eqnarray}
\hat{\delta}\bigg(-Tr\eta_2[\phi,\bar{\phi}]\bigg)=2\xi_2Tr\bigg([{\phi},\bar{\phi}]^2-\eta_2[\phi,\eta_2]\bigg).
\end{eqnarray}
Hence
\begin{eqnarray}
\hat{\delta}TrQ=2\xi_2 S_{\rm cohom}.
\end{eqnarray}
\begin{eqnarray}
Q=-\chi_i[X_i,\bar{\phi}]+\eta_1[X_1,X_2]+\eta_1H-\eta_2[\phi,\bar{\phi}].\label{Q}
\end{eqnarray}
As a consequence
\begin{eqnarray}
dTrQ=S_{\rm cohom}.
\end{eqnarray}
Thus we have
\begin{eqnarray}
d^2TrQ= dS_{\rm cohom}=0.
\end{eqnarray}
In the above equation we have used the result $dS_{\rm cohom}=0$. Thus $d$ is nilpotent on gauge invariant quantities such as $Q$ which are formed from traces. The term cohomology comes precisely from the analogy of $d$ with an exterior derivative.
\subsection{Cohomologically Deformed Supersymmetry}
We consider the deformed action and deformed exterior derivative given by
\begin{eqnarray}
S_{\rm def}=S_{\rm cohom}+\hat{S}=S_{\rm cohom}+\epsilon_1 S_1+\epsilon_2 S_2+...
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}=d+\epsilon T.
\end{eqnarray}
Supersymmetric invariance requires
\begin{eqnarray}
d_{\rm def}S_{\rm def}=0.\label{supersymmetric}
\end{eqnarray}
The fact that $d^2$ is equal $0$ on gauge invariant quantities, i.e. $d^2S_{\rm cohom}=d^2S_i=0$ leads to $d^2S_{\rm def}=0$. We have the identity
\begin{eqnarray}
d_{\rm def}^2S_{\rm def}=0.
\end{eqnarray}
This is equivalent to
\begin{eqnarray}
\{d,T\}S_{\rm cohom}+\epsilon T^2S_{\rm cohom}+\epsilon\{d,T\}\hat{S}+\epsilon T^2\hat{S}=0.
\end{eqnarray}
Thus we must have among other things
\begin{eqnarray}
\{d,T\}S_{\rm cohom}=\{d,T\}\hat{S}=0.
\end{eqnarray}
In other words $\{d,T\}$ generates one of the continuous bosonic symmetries of the action $S_{\rm def}$ which are gauge transformations and the remaining rotations given by the $SO(2)$ subgroup of $SO(4)$. Following \cite{Kazakov:1998ji} we choose $\{d,T\}$ to be the rotation ${U}$ defined by
\begin{eqnarray}
{U}:X_a\longrightarrow i\epsilon_{ab}X_b~,~{\chi}_a\longrightarrow i\epsilon_{ab}{\chi}_b.
\end{eqnarray}
We have then
\begin{eqnarray}
\{d,T\}={ U}.
\end{eqnarray}
The symmetry $T$ must also satisfy
\begin{eqnarray}
T^2=0.
\end{eqnarray}
By following the method of \cite{Austing:2001ib} we can determine precisely the form of the correction $T$ from the two requirements $T^2=0$ and $\{d,T\}=U$ and also from the assumption that $T$ is linear in the fields. A straightforward calculation shows that there are two solutions but we will only consider here the one which generates mass terms for all the bosonic fields. This is given explicitly by
\begin{eqnarray}
&&TX_i=0~,~T\chi_i=i\epsilon_{ij}X_j~,~T\phi=0\nonumber\\
&&TH=i\gamma \eta_2~,~T\eta_2=0~,~T\eta_1=-i\lambda\phi+i\gamma\bar{\phi}~,~T\bar{\phi}=0.
\end{eqnarray}
The cohomologically deformed supersymmetric transformations are therefore given by
\begin{eqnarray}
d_{\rm def} X_i=\chi_i.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\phi=0~,~d_{\rm def}\bar{\phi}=-\eta_2.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}H&=&[\phi,\eta_1]+i\epsilon \gamma\eta_2.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def} \eta_1=H+\epsilon(-i\lambda\phi+i\gamma\bar{\phi})~,~d_{\rm def}\eta_2=[\bar{\phi},\phi].
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\chi_i&=&[\phi,X_i]+i\epsilon \epsilon_{ij}X_j.
\end{eqnarray}
Furthermore we have the result
\begin{eqnarray}
d_{\rm def}^2=d^2+\epsilon U.
\end{eqnarray}
On $U-$invariant quantities we have $d_{\rm def}^2=d^2$. For example $d_{\rm def}^2=d^2$ on quantities independent of $X_a$ and $\chi_a$. Also $d_{\rm def}^2(\chi_aX_a)=d^2(\chi_aX_a)$ and $d_{\rm def}^2(\epsilon^{ab}\chi_aX_b)=d^2(\epsilon^{ab}\chi_aX_b)$. Thus we have on $U-$invariant quantities the identity
\begin{eqnarray}
d_{\rm def}^2(...)=d^2(...)=[\phi,...].
\end{eqnarray}
\subsection{Cohomologically Deformed Action}
Next we need to solve the condition (\ref{supersymmetric}). The deformed action is a trace over some polynomial $P$. In the non-deformed case we have $S=dQ$ where $Q$ is a $U-$invariant expression given by (\ref{Q}). We assume that the deformed action $S_{\rm def}=TrP$ is also $U-$invariant. By using the theorem of Austing \cite{Austing:2001ib} we can conclude that the general solution of the condition (\ref{supersymmetric}), or equivalently of the equation $d_{\rm def}TrP=0$, is
\begin{eqnarray}
S_{\rm def}=d_{\rm def}TrQ_{\rm def}+TrR_3(\phi).
\end{eqnarray}
For $SU(N)$ gauge group this result holds as long as the degree of $P$ is less than $2N/3$. Clearly when the deformation is sent to zero $d_{\rm def}\longrightarrow d$, $Q_{\rm def}\longrightarrow Q$ and $R\longrightarrow 0$. Thus we take
\begin{eqnarray}
Q_{\rm def}=Q-iR~,~R=\kappa_1R_1+\kappa_2R_2.
\end{eqnarray}
We choose $R_1$ and $R_2$ to be the $U-$invariant quantities given by
\begin{eqnarray}
R_1=\frac{1}{2}\epsilon_{ab}\chi_aX_b~,~R_2=-\eta_1\bar{\phi}.
\end{eqnarray}
We choose $R_3(\phi)$ to be the $U-$invariant quantity given by
\begin{eqnarray}
R_3(\phi)=-\rho^2\phi^2.
\end{eqnarray}
In order to remove the deformation we must take $\epsilon\longrightarrow 0$ so that $d_{\rm def}\longrightarrow d$ and $\rho\longrightarrow 0$ so that $S_{\rm def}\longrightarrow d TrQ_{\rm def}$ and $\kappa_i\longrightarrow 0$ so that $Q_{\rm def}\longrightarrow Q$.
We compute
\begin{eqnarray}
S_{\rm def}&=&dTrQ-idTrR+\epsilon TTrQ-i\epsilon TTrR+TrR_3(\phi)\nonumber\\
&=&S_{\rm cohom}+\hat{S}.
\end{eqnarray}
The first term $S_{\rm cohom}=dTr Q$ is the original action.
By using the result that $d(F_1F_2)=dF_1.F_2-F_1dF_2$ and $T(F_1F_2)=TF_1.F_2-F_1TF_2$ we obtain
\begin{eqnarray}
-idTrR=-iTr\bigg[\kappa_1 \phi[X_1,X_2]-\kappa_1\chi_1\chi_2-\kappa_2H\bar{\phi}-\kappa_2\eta_1\eta_2\bigg].
\end{eqnarray}
\begin{eqnarray}
\epsilon TTrQ=\epsilon Tr\bigg[-i\lambda\phi (H+[X_1,X_2])+i\gamma\bar{\phi}H-i\gamma\eta_1\eta_2+i(\gamma+2)\bar{\phi}[X_1,X_2]\bigg].
\end{eqnarray}
\begin{eqnarray}
-i\epsilon TTrR=\epsilon Tr\bigg(\frac{1}{2}\kappa_1X_i^2+\kappa_2\lambda\phi\bar{\phi}-\kappa_2\gamma\bar{\phi}^2\bigg).
\end{eqnarray}
Also
\begin{eqnarray}
TrR_3(\phi)=Tr(-\rho^2\phi^2).
\end{eqnarray}
We will choose the parameters so that the total action enjoys $SO(3)$ covariance with a Myers (Chern-Simons) term and mass terms for all the bosonic and fermionic matrices. The relevant fermionic terms are
\begin{eqnarray}
i\kappa_1Tr(\chi_1\chi_2-\eta_1\eta_2)+i(\kappa_1+\kappa_2-\epsilon\gamma)Tr\eta_1\eta_2=i\kappa_1Tr(\chi_1\chi_2-\eta_1\eta_2).
\end{eqnarray}
For $SO(3)$ covariance we have chosen
\begin{eqnarray}
\kappa_1+\kappa_2-\epsilon\gamma=0.\label{cond1}
\end{eqnarray}
Next we remark
\begin{eqnarray}
Tr\bigg(H^2+H[X_1,X_2]\bigg)+i(\kappa_2+\epsilon\gamma)TrH\bar{\phi}-i\epsilon\lambda Tr H\phi&=&\nonumber\\
Tr\bigg(H+\frac{1}{2}[X_1,X_2]+\frac{i}{2}(\kappa_2+\epsilon\gamma)\bar{\phi}-\frac{i}{2}\epsilon\lambda\phi\bigg)^2-\frac{1}{4}Tr[X_1,X_2]^2&+&\nonumber\\
\frac{1}{4}Tr\bigg((\kappa_2+\epsilon\gamma)\bar{\phi}-\epsilon\lambda\phi\bigg)^2-\frac{i}{2}Tr\bigg((\kappa_2+\epsilon\gamma)\bar{\phi}-\epsilon\lambda\phi\bigg)[X_1,X_2].
\end{eqnarray}
The relevant bosonic mass terms are therefore given by
\begin{eqnarray}
Tr\bigg(\frac{1}{2}\epsilon\kappa_1X_i^2+\epsilon\kappa_2\lambda\phi\bar{\phi}-\epsilon\kappa_2\gamma\bar{\phi}^2-\rho^2\phi^2\bigg)+\frac{1}{4}Tr\bigg((\kappa_2+\epsilon\gamma)\bar{\phi}-\epsilon\lambda\phi\bigg)^2&=&\nonumber\\
\frac{1}{2}\epsilon\kappa_1Tr X_i^2+(\frac{1}{4}\epsilon^2\lambda^2-\rho^2)Tr\phi^2+\frac{1}{4}(\kappa_2-\epsilon\gamma)^2Tr\bar{\phi}^2+\frac{1}{2}\epsilon\lambda(\kappa_2-\epsilon\gamma)Tr\phi\bar{\phi}.
\end{eqnarray}
In order to cancel the cross product we choose
\begin{eqnarray}
\frac{1}{4}\epsilon^2\lambda^2-\rho^2=\frac{1}{4}(\kappa_2-\epsilon\gamma)^2.\label{cond2}
\end{eqnarray}
Then
\begin{eqnarray}
Tr\bigg(\frac{1}{2}\epsilon\kappa_1X_i^2+\epsilon\kappa_2\lambda\phi\bar{\phi}-\epsilon\kappa_2\gamma\bar{\phi}^2-\rho^2\phi^2\bigg)+\frac{1}{4}Tr\bigg((\kappa_2+\epsilon\gamma)\bar{\phi}-\epsilon\lambda\phi\bigg)^2&=&\nonumber\\
\frac{1}{2}\epsilon\kappa_1Tr X_i^2+\frac{1}{8}(\kappa_2-\epsilon\gamma)(\kappa_2-\epsilon\gamma-\epsilon\lambda)TrX_3^2-\frac{1}{8}(\kappa_2-\epsilon\gamma)(\kappa_2-\epsilon\gamma+\epsilon\lambda)TrX_4^2&=&\nonumber\\
\frac{1}{2}\epsilon\kappa_1Tr X_a^2-\frac{1}{8}(\kappa_2-\epsilon\gamma)(\kappa_2-\epsilon\gamma+\epsilon\lambda)TrX_4^2.
\end{eqnarray}
Again for $SO(3)$ covariance we have chosen
\begin{eqnarray}
\frac{1}{2}\epsilon\kappa_1=\frac{1}{8}(\kappa_2-\epsilon\gamma)(\kappa_2-\epsilon\gamma-\epsilon\lambda).\label{cond3}
\end{eqnarray}
The Chern-Simons term can be obtained from the terms
\begin{eqnarray}
Tr\bigg(-i(\kappa_1+\epsilon \lambda)\phi[X_1,X_2]+i\epsilon(\gamma+2)\bar{\phi}[X_1,X_2]\bigg)-\frac{i}{2}Tr\bigg((\kappa_2+\epsilon\gamma)\bar{\phi}-\epsilon\lambda\phi\bigg)[X_1,X_2]&=&\nonumber\\
-\frac{i}{2}(\epsilon\lambda+2\kappa_1)Tr\phi[X_1,X_2]+\frac{i}{2}(-\kappa_2+\epsilon\gamma+4\epsilon)Tr\bar{\phi}[X_1,X_2]&=&\nonumber\\
-\frac{i}{4}(\epsilon\lambda+\epsilon\gamma+2\kappa_1 -\kappa_2+4\epsilon)Tr X_3[X_1,X_2]+\frac{1}{4}(\epsilon\lambda-\epsilon\gamma+2\kappa_1 +\kappa_2-4\epsilon)Tr X_4[X_1,X_2].
\end{eqnarray}
The first term is the Chern-Simons action. We want to impose the condition
\begin{eqnarray}
\epsilon\lambda+2\kappa_1+\kappa_2=\epsilon\gamma+4\epsilon.\label{cond4}
\end{eqnarray}
The solution of equations (\ref{cond1}), (\ref{cond2}), (\ref{cond3}) and (\ref{cond4}) is
\begin{eqnarray}
\gamma=\frac{\kappa_1+\kappa_2}{\epsilon}~,~\lambda=4-\frac{\kappa_1}{\epsilon}~,~\rho^2=2\epsilon(2\epsilon-\kappa_1).
\end{eqnarray}
The deformation action $\Delta{S}_{\rm cohom}$ is therefore
\begin{eqnarray}
\Delta{S}_{\rm cohom}&=&i\kappa_1Tr(\chi_1\chi_2-\eta_1\eta_2)+\frac{1}{2}\epsilon\kappa_1Tr X_a^2-\frac{1}{8}(\kappa_2-\epsilon\gamma)(\kappa_2-\epsilon\gamma+\epsilon\lambda)TrX_4^2\nonumber\\
&-&\frac{i}{4}(\epsilon\lambda+\epsilon\gamma+2\kappa_1 -\kappa_2+4\epsilon)Tr X_3[X_1,X_2]\nonumber\\
&=&\frac{\kappa_1}{2}Tr\theta^+\theta+\frac{1}{2}\epsilon\kappa_1Tr X_a^2+\frac{1}{4}\kappa_1(2\epsilon-\kappa_1)TrX_4^2-\frac{i}{6}(4\epsilon+\kappa_1)\epsilon_{abc}TrX_aX_bX_c.\nonumber\\
\end{eqnarray}
We introduce now
\begin{eqnarray}
-(4\epsilon+\kappa_1)=\alpha~,~\kappa_1=-\frac{\alpha}{3}+4\zeta_0\alpha.\label{alpha}
\end{eqnarray}
Thus we get
\begin{eqnarray}
\Delta{S}_{\rm cohom}
&=&-\frac{\alpha}{6}(1-12\zeta_0)Tr\theta^+\theta+\frac{\alpha^2}{36}(1+6\zeta_0)(1-12\zeta_0)Tr X_a^2+\frac{\alpha^2}{2}\zeta_0(1-12\zeta_0)TrX_4^2\nonumber\\
&+&\frac{i}{6}\alpha\epsilon_{abc}TrX_aX_bX_c.
\end{eqnarray}
The total action is
\begin{eqnarray}
S_{\rm def}&=&\bigg(S_{\rm cohom}-Tr(H^2+H[X_1,X_2])\bigg)+Tr\bigg(H+\frac{1}{2}[X_1,X_2]+\frac{i}{2}(\kappa_2+\epsilon\gamma)\bar{\phi}-\frac{i}{2}\epsilon\lambda\phi\bigg)^2\nonumber\\
&-&\frac{1}{4}Tr[X_1,X_2]^2+\Delta{S}_{\rm cohom}.
\end{eqnarray}
The first line is effectively equivalent to $S_{\rm cohom}$. Thus the total action is
\begin{eqnarray}
S_{\rm def}&=&S_{\rm cohom}+\Delta{S}_{\rm cohom}.
\end{eqnarray}
Next we perform the scaling
\begin{eqnarray}
X_{\mu}\longrightarrow (2N)^{\frac{1}{4}}X_{\mu}~,~\theta\longrightarrow \sqrt{\frac{2}{N\alpha}}\frac{1}{(2N)^{\frac{1}{8}}}\theta,
\end{eqnarray}
and
\begin{eqnarray}
\alpha\longrightarrow 2(2N)^{\frac{1}{4}}\alpha.\label{scaling}
\end{eqnarray}
We get then the one-parameter family of actions given by (we set $B=0$)
\begin{eqnarray}
S_{\rm def}&=&-\frac{N}{4} Tr[X_{\mu},X_{\nu}]^2+N\frac{2i\alpha}{3}\epsilon_{abc}TrX_aX_bX_c+\frac{2N\alpha^2}{9}(1+6\zeta_0)(1-12\zeta_0)Tr X_a^2\nonumber\\
&+&4N\alpha^2\zeta_0(1-12\zeta_0)TrX_4^2-\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[{X}_a,..]+\frac{2\alpha}{3}(1-12\zeta_0)\bigg)\theta.\nonumber\\
\end{eqnarray}
For stability the parameter $\zeta_0$ must be in the range
\begin{eqnarray}
0<\zeta_0<1/12.
\end{eqnarray}
This action for $\zeta_0=0$ is precisely the mass deformed action derived in section $2$. The value $\zeta_0=1/12$ will also be of interest to us in this article. This one-parameter family of actions preserves only half of the ${\cal N}=1$ supersymmetry in the sense that we can construct only two mass deformed supercharges \cite{Austing:2001ib}.
\section{Simulation Results for $D=4$ Yang-Mills Matrix Models}
\subsection{Models, Supersymmetry and Fuzzy Sphere}
We are interested in the cohomologically deformed Yang-Mills matrix models
\begin{eqnarray}
S&=&N Tr\bigg[-\frac{1}{4}[X_{\mu},X_{\nu}]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N{\beta} TrX_a^2+N\beta_4 Tr X_4^2\nonumber\\
&-&\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[{X}_a,..]+{\zeta}\bigg)\theta.\label{model0}
\end{eqnarray}
The range of the parameters is
\begin{eqnarray}
\beta=\frac{2}{9}(\alpha+6\xi_0)(\alpha-12\xi_0)~,~\beta_4=4\xi_0(\alpha-12\xi_0)~,~\zeta=\frac{2}{3}(\alpha-12\xi_0).
\end{eqnarray}
\begin{eqnarray}
0\leq \xi_0\leq \frac{\alpha}{12}.
\end{eqnarray}
This action preserves two supercharges compared to the four supercharges of the original non deformed Yang-Mills matrix model \cite{Austing:2001ib}. We will be mainly interested in the "minimally" deformed Yang-Mills matrix model corresponding to the value $\xi_0=\alpha/12$ for which we have
\begin{eqnarray}
S&=&N Tr\bigg[-\frac{1}{4}[X_{\mu},X_{\nu}]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]-\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[{X}_a,..]\bigg)\theta.\nonumber\\
\end{eqnarray}
The "maximally" deformed Yang-Mills matrix model corresponding to the value $\xi_0=0$ coincides precisely with the mass-deformed model in $D=4$ and as such it has a full ${\cal N}=1$ mass deformed supersymmetry besides the half ${\cal N}=1$ cohomologically deformed supersymmetry. From this perspective this case is far more important than the previous one. However there is the issue of the convergence of the partition function which we will discuss shortly. In any case the "maximally" deformed Yang-Mills matrix model is given by the action
\begin{eqnarray}
S&=&N Tr\bigg[-\frac{1}{4}[X_{\mu},X_{\nu}]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N\frac{2\alpha^2}{9} TrX_a^2\nonumber\\
&-&\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[{X}_a,..]+\frac{2}{3}{\alpha}\bigg)\theta.
\end{eqnarray}
The above two actions can also be rewritten as (with $X_a=\alpha D_a$ and $\tilde{\alpha}=\alpha\sqrt{N}$)
\begin{eqnarray}
S_{\rm SUSY}&=&NTr\bigg[-\frac{1}{4}[X_a,X_b]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N\tilde{\beta}\alpha^2TrX_a^2\nonumber\\
&-&\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[X_a,..]+\alpha\tilde{{\xi}}\bigg)\theta.
\end{eqnarray}
Equivalently
\begin{eqnarray}
S_{\rm SUSY}&=&\frac{\tilde{\alpha}^4}{N} Tr\bigg[-\frac{1}{4}[D_a,D_b]^2+\frac{2i}{3}{\epsilon}_{abc}D_aD_bD_c\bigg]+\frac{\tilde{\beta}\tilde{\alpha}^4}{N}TrD_a^2\nonumber\\
&-&\frac{1}{N}Tr{\theta}^+\bigg(i[D_4,..]+{\sigma}_a[D_a,..]+\tilde{{\xi}}\bigg)\theta.\label{action0}
\end{eqnarray}
\begin{eqnarray}
&&\tilde{\beta}=0~,~\tilde{\xi}=0~~{\rm cohomologically}~{\rm deformed}\nonumber\\
&&\tilde{\beta}=\frac{2}{9}~,~\tilde{\xi}=\frac{2}{3}~~{\rm mass}~{\rm deformed}.
\end{eqnarray}
We remark that the bosonic part of the mass-deformed Yang-Mills matrix action can be rewritten as a complete square, viz
\begin{eqnarray}
S_B&=&N Tr\bigg[-\frac{1}{4}[X_{\mu},X_{\nu}]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N\frac{2\alpha^2}{9} TrX_a^2\nonumber\\
&=&N Tr\bigg(\frac{i}{2}[X_{\mu},X_{\nu}]+\frac{\alpha}{3}{\epsilon}_{\mu\nu\lambda}X_{\lambda}\bigg)^2.
\end{eqnarray}
Clearly ${\epsilon}_{\mu\nu\lambda}=0$ if any of the indices $\mu$,$\nu$,$\lambda$ takes the value $4$. Generically the bosonic action of interest is given by
\begin{eqnarray}
S_B&=&N Tr\bigg[-\frac{1}{4}[X_{\mu},X_{\nu}]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N\tilde{\beta}\alpha^2 TrX_a^2.
\end{eqnarray}
Here we allow $\tilde{\beta}$ to take on any value. The variation of the bosonic action for generic values of $\tilde{\beta}$ reads
\begin{eqnarray}
&&{\delta}S_B=NTrJ_4{\delta}X_4+NTrJ_b{\delta}X_b\nonumber\\
&&J_4=[X_a,[X_a,X_4]]~,~J_b=2\tilde{\beta}\alpha^2 X_b+i[F_{ab},X_a]+[X_4,[X_4,X_b]]~,~\nonumber\\
&&F_{ab}=i[X_a,X_b]+\alpha{\epsilon}_{abc}X_c.
\end{eqnarray}
Thus extrema of the model are given by $1)$ reducible representations $J_a$ of $SU(2)$, i.e $X_a=J_a$ and $X_4=0$ and $2)$ commuting matrices, i.e $X_{\mu}$ belong to the Cartan sub-algebra of $SU(N)$. The identity matrix corresponds to an uncoupled mode and thus we have $SU(N)$ instead of $U(N)$. Global minima are given by irreducible representations of $SU(2)$ of dimensions $N$ and $0$. Indeed we find that the configurations $X_a=\phi L_a$, $X_4=0$ solve the equations of motion with $\phi$ satisfying the cubic equation $\phi({\phi}^2-\alpha \phi+\tilde{\beta}\alpha^2)=0$. We get the solutions
\begin{eqnarray}
{\phi}_0=0~,~{\phi}_{\pm}=\alpha\frac{1\pm \sqrt{1-4\tilde{\beta}}}{2}.
\end{eqnarray}
We can immediately see that we must have $\tilde{\beta}{\leq}{1}/{4}$ which does indeed hold for the values of interest $\tilde{\beta}=0$ and $\tilde{\beta}=2/9$. However the action at ${\phi}_{\pm}$ is given by
\begin{eqnarray}
S_B[{\phi}_{\pm}]=\frac{N^2c_2{\phi}_{\pm}^2}{2}\alpha^2\bigg(\tilde{\beta}-\frac{1}{6}\mp\frac{1}{6}\sqrt{1-4\tilde{\beta}}\bigg).
\end{eqnarray}
We can verify that $S_B[{\phi}_{-}]$ is always positive while $S_B[{\phi}_{+}]$ is negative for the values of $\tilde{\beta}$ such that $\tilde{\beta}{\leq}{2}/{9}$. Furthermore we note that $S[{\phi}_0]=0$. In other words for $\tilde{\beta}{\leq}2/9$ the global minimum of the model is the irreducible representation of $SU(2)$ of maximum dimension $N$ whereas for $\tilde{\beta}> 2/9$ the global minimum of the model is the irreducible representation of $SU(2)$ of minimum dimension $0$.
At $\tilde{\beta}=2/9$ we get ${\phi}_+=2\alpha/3$ and $S[{\phi}_+]=0$. Thus the configuration $X_a=\frac{2\alpha}{3}L_a$ becomes degenerate with the configuration $X_a=0$. However there is an entire $SU(N)$ manifold of configurations $X_a=\frac{2\alpha}{3}UL_aU^+$ which are equivalent to the fuzzy sphere configuration. In other words the fuzzy sphere configuration is still favored although now due to entropy. Thus there is a first order transition at $\tilde{\beta}=2/9$ when the classical ground state switches from $X_a=\frac{2}{3}L_a$ to $X_a=0$ as we increase $\tilde{\beta}$ through the critical value $\tilde{\beta}=2/9$. The two values of interest $\tilde{\beta}=0$ and $\tilde{\beta}=2/9$ both lie in the regime where the fuzzy sphere is the stable classical ground state.
This discussion holds also for the full bosonic model in which we include a mass term for the matrix $X_4$. Quantum correction, i.e. the inclusion of fermions, are expected to alter significantly this picture.
Towards the commutative limit we rewrite the action, the second line of (\ref{action0}), into the form (with $\tilde{\alpha}^4=1/g^2$ and $F_{ab}=i[D_a,D_b]+{\epsilon}_{abc}\phi D_c$)
\begin{eqnarray}
S&=&\frac{1}{4g^2N} TrF_{ab}^2-\frac{3\phi -2}{6g^2N}Tr\left[\epsilon_{abc}F_{ab}D_c+\phi D_a^2\right]+\frac{1}{g^2N}\bigg(\phi(\phi-1)+\tilde{\beta}\bigg)TrD_a^2\nonumber\\
&-&\frac{1}{2g^2N}Tr [D_a,D_4]^2-\frac{1}{N}Tr{\theta}^+ \big(i[D_4,..]+{\sigma}_a[{D}_a,..] + \tilde{\xi} \big){\theta}.
\end{eqnarray}
The $3$rd terms actually cancel for all values of $\beta$. Thus
\begin{eqnarray}
S&=&\frac{1}{4g^2N} TrF_{ab}^2-\frac{3\phi -2}{6g^2N}Tr\left[\epsilon_{abc}F_{ab}D_c+\phi D_a^2\right]-\frac{1}{2g^2N}Tr [D_a,D_4]^2\nonumber\\
&-&\frac{1}{N}Tr{\theta}^+ \big(i[D_4,..]+{\sigma}_a[{D}_a,..] + \tilde{\xi} \big){\theta}.
\end{eqnarray}
The commutative limit $N\longrightarrow \infty$ is then obvious. We write $D_a=\phi (L_a +A_a)$ and we obtain
\begin{eqnarray}
S&=&\frac{1}{4g^2} \int_{S^2} F_{ab}^2-\frac{(3\phi-2)\phi}{4g^2}{\epsilon}_{abc}\int F_{ab}A_c
-\frac{1}{2g^2}\int_{S^2}({\cal L}_aD_4)^2-\int_{S^2} {\psi}^+ \big(\phi {\sigma}_a{\cal L}_a + \tilde{\xi} \big){\psi}.\nonumber\\
\end{eqnarray}
\subsection{Path Integral, Convergence and Observables}
In the quantum theory we will integrate over $N\times N$ bosonic matrices $X_{\mu}$ and $N\times N$ fermionic matrices ${\theta}_{\alpha}^+$ and ${\theta}_{\alpha}$. The trace parts of $X_{\mu}$, ${\theta}_{\alpha}^+$ and ${\theta}_{\alpha}$ will be removed since they correspond to free degrees of freedom. The partition function of the model is therefore given by
\begin{eqnarray}
Z&=&\int {\cal D}X_{\mu}~{\cal D} \theta~{\cal D}{\theta}^+~{\delta}\big(Tr X_{\mu}\big)~{\delta}\big(Tr{\theta}_{\alpha}^+\big)~\delta\big(Tr{\theta}_{\alpha}\big)~e^{-S_{\rm SUSY}}\nonumber\\
&=&\int {\cal D}X_{\mu}{\delta}~\big(Tr X_{\mu}\big)~{\rm det}{\cal D}~e^{-S_B}.\label{pathI}
\end{eqnarray}
\begin{eqnarray}
{\rm det}{\cal D}&=&\int d{\theta}d{\theta}^+{\delta}(Tr{\theta}_{\alpha}){\delta}(Tr{\theta}_{\alpha}^+)e^{\frac{1}{N\alpha}Tr {\theta}^+{\cal D}{\theta}}.
\end{eqnarray}
The integration over the fermions yielded the determinant of the $2(N^2-1)\times 2(N^2-1)$ dimensional matrix ${\cal D}=i[X_4,..]+{\sigma}_a[X_a,..]+\tilde{\xi}\alpha$. This determinant is positive definite since every eigenvalue ${\lambda}$ of ${\cal D}$ is doubly degenerate \cite{Ambjorn:2000bf}. The reason lies in the fact that the Dirac operator ${\cal D}=iX_4-iX_4^R+{\sigma}_aX_a-{\sigma}_aX_a^R+\tilde{\xi}\alpha$ is symmetric under the exchange of left and right operators, viz under $X_a\leftrightarrow -X_a^R$. A much cleaner proof goes as follows. Let $\Psi$ be an eigenstate of ${\cal D}$ with eigenvalue $\lambda$, in other words
\begin{eqnarray}
i[X_4,\Psi]+{\sigma}_a[X_a,\Psi]+\tilde{\xi}\alpha \psi =\lambda \Psi.
\end{eqnarray}
Taking the hermitian conjugate of this equation we get
\begin{eqnarray}
i[X_4,(\Psi^+)^T]-{\sigma}_a^T[X_a,({\Psi}^+)^T]+\tilde{\xi}\alpha ({\Psi}^+)^T=\lambda ({\Psi}^+)^T.
\end{eqnarray}
In above $({\Psi}^+)^T$ is a column vector with components given by ${\Psi}^+_{1,2}$. Multiplying the above equation by ${\sigma}_2$ and defining the spinor $\tilde{\Psi}={\sigma}_2({\Psi}^+)^T$ we arrive at the equation
\begin{eqnarray}
i[X_4,\tilde{\Psi}]+{\sigma}_a[X_a,\tilde{\Psi}]+\xi\alpha \tilde{\Psi} =\lambda \tilde{\Psi}.
\end{eqnarray}
We have also used the identity ${\sigma}_a=-{\sigma}_2{\sigma}_a^T{\sigma}_2$. We conclude that $\tilde{\Psi}$ is also an eigenstate of ${\cal D}$ with the same eigenvalue $\lambda$. The spinors $\Psi$ and $\tilde{\Psi}$ are charge conjugate to each other. In above we have assumed that ${\lambda}$ is real which follows from the fact that the Dirac operator ${\cal D}=i[X_4,..]+{\sigma}_a[{X}_a,..]+\tilde{\xi}\alpha$ is hermitian. This establishes that the determinant $\det {\cal D}$ is positive definite for any configuration $X_{\mu}$ and hence the model can be accessed directly by Monte Carlo simulation.
Let us also add that the Dirac operator ${\cal D}$ admits an approximate chirality operator and hence there is an approximate chiral symmetry in this model beside exact rotational invariance, exact gauge invariance and exact charge conjugation. The existence of chiral symmetry (though approximate) means that there should exist more structure in the low energy fermionic spectrum.
The partition function $Z$ is also invariant under the translation $X_{\mu}\longrightarrow X_{\mu}+\epsilon X_{\mu}$ where $\epsilon$ is a small parameter. Under this coordinate transformation the measure $dX_{\mu}$ changes to $(1+4(N^2-1)\epsilon)dX_{\mu}$. The bosonic action $S_B=S_4+S_3+S_2$ changes to $S_B+\epsilon(4S_4+3S_3+2S_2)$ under $X_{\mu}\longrightarrow X_{\mu}+\epsilon X_{\mu}$. The determinant, on the other hand, changes under $X_{\mu}\longrightarrow X_{\mu}+\epsilon X_{\mu}$ as
\begin{eqnarray}
{\rm det}{\cal D}&\longrightarrow &(1+\epsilon)^{2(N^2-1)}{\rm det}^{'}\bigg({\cal M}^{'}-\epsilon\tilde{\xi}\alpha(1+\gamma)\bigg)\nonumber\\
&\longrightarrow & (1+\epsilon)^{2(N^2-1)}{\rm det}^{'}\bigg(1-\frac{\epsilon}{{\cal M}^{'}}\tilde{\xi}\alpha(1+\gamma)\bigg){\rm det}^{'}{\cal M}^{'}.
\end{eqnarray}
The matrices ${\cal M}^{'}$ and $\gamma$ are given in appendix $B$. We obtain then
\begin{eqnarray}
{\rm det}{\cal D}\longrightarrow \bigg(1+\epsilon\bigg[2(N^2-1)-\tilde{\xi}\alpha Tr^{'}_{\rm ad}\frac{1}{\cal D}-\tilde{\xi}\alpha Tr^{'}_{\rm ad}\frac{1}{\cal D}\gamma\bigg]\bigg) {\rm det}{\cal D}.
\end{eqnarray}
From the invariance of the partition function under the coordinate transformation $X_{\mu}\longrightarrow X_{\mu}+\epsilon X_{\mu}$ we derive therefore the Schwinger-Dyson identity
\begin{eqnarray}
{\rm IDE}&=&4\frac{<{\rm YM}>}{N^2}+4\frac{<{\rm YM}_0>}{N^2}+3\frac{<{\rm CS}>}{N^2}+2\frac{<{\rm RAD}>}{N^2}+\tilde{\xi}\alpha \frac{{\rm COND}}{N^2}+\frac{6}{N^2}\nonumber\\
&\equiv &6.\label{ide}
\end{eqnarray}
This is an exact result.
The operators ${\rm YM}$, ${\rm YM}_0$ and ${\rm CS}$ are the actions given by
\begin{eqnarray}
&&{\rm YM}= -\frac{N}{4}Tr[X_a,X_b]^2~,~{\rm YM}_0= -\frac{N}{2}Tr[X_0,X_a]^2~,~{\rm CS}=\frac{iN\alpha}{3}{\epsilon}_{abc}Tr[X_a,X_b]X_c.\nonumber\\
\end{eqnarray}
The action ${\rm RAD}$ is related to the radius of the sphere. It is given by
\begin{eqnarray}
{\rm RAD}=N\tilde{\beta}\alpha^2 TrX_a^2.
\end{eqnarray}
We will define the radius $r$ of the sphere through the relation
\begin{eqnarray}
\frac{1}{r}=\frac{1}{N\alpha^2c_2}TrX_a^2.
\end{eqnarray}
The total bosonic action is given by $S={\rm YM}+{\rm YM}_0+{\rm CS}+{\rm RAD}$. The condensation is defined by
\begin{eqnarray}
{\rm COND}&=& \frac{1}{\alpha}\frac{\partial\ln Z}{\partial\tilde{\xi}}=<\frac{1}{N\alpha}Tr\theta^+\theta>.
\end{eqnarray}
We find
\begin{eqnarray}
{\rm COND}
&=&{\rm COND}_0+{\rm COND}_1.
\end{eqnarray}
\begin{eqnarray}
&&{\rm COND}_0= <Tr^{'}_{\rm ad}\frac{1}{i[X_4,..]+{\sigma}_a[{X}_a,..]+\tilde{\xi}\alpha}>,\nonumber\\
&&{\rm COND}_1= <Tr^{'}_{\rm ad}\frac{1}{i[X_4,..]+{\sigma}_a[{X}_a,..]+\tilde{\xi}\alpha}\gamma>.
\end{eqnarray}
These are real quantities. The condensation ${\rm COND}_0$ is obviously real since every eigenvalue of the Dirac operator is doubly degenerate. The expression of the total condensation ${\rm COND}$ suggests that it is real. We have verified numerically that ${\rm COND}_1$ is real and that the condensation is dominated by ${\rm COND}_0$.
For completeness we will also measure the logarithm of the determinant of the Dirac operator as an independent observable in Monte Carlo simulation.
Convergence of Yang-Mills path inetgrals such as the one given by (\ref{pathI}) was studied extensively in \cite{Austing:2001ib} and in \cite{Austing:2001bd,Krauth:1998xh,Krauth:1999qw, Krauth:1998yu, Austing:2001pk,Austing:2003kd}. This question is of paramount importance for analytical analysis as well as for Monte Carlo simulation. The source of the divergence, if any lies in the so-called flat directions, i.e. the set of commuting matrices.
The path integral (\ref{pathI}) corresponds to a gauge theory with gauge group $SU(N)$ in dimension $D=4$. We will also consider $SU(N)$ gauge theory in dimension $D=3$. We start the discussion with the model $\alpha=0$, $\tilde{\beta}=0$ and $\tilde{\xi}=0$. It was found in \cite{Austing:2001bd} that the bosonic path integral in $D=3$ is convergent for $N\geq 4$ while the bosonic path integral in $D=4$ is convergent for $N\geq 3$. Since we are interested in large values of $N$ we can safely consider the bosonic path integrals in $D=3,4$ to be convergent for all practical purposes. On the other hand, it is found in \cite{Austing:2001pk}, that the supersymmetric path integral in $D=3$ is not convergent while the supersymmetric path integral in $D=4$ is convergent for all $N\geq 2$.
Tuning the parameters $\alpha$, $\tilde{\beta}$ does not change this picture. For example it was shown in \cite{Austing:2003kd} that adding a Myers term, i.e. considering a non-zero value of $\alpha$, does not change the convergence properties of the $D-$dimensional Yang-Mills matrix path integral. The point is that the Chern-Simons (Myers) term is always small compared to the quartic Yang-Mills term. The same argument should then lead to the conclusion that adding a bosonic mass term, i.e. if we consider a non-zero $\tilde{\beta}$, will not change the above picture.
Tuning the fermion mass term, i.e. considering a non-zero value of the scalar curvature $\tilde{\xi}$, will lead to complications. In this case the Pfaffian, or equivalently the determinant, will be expanded as a polynomial in the scalar curvature $\tilde{\xi}$. The analysis of \cite{Austing:2001pk} should then be repeated for every term in this expansion. We claim that the supersymmetric path integral in $D=4$ is not convergent for generic values of $\tilde{\xi}$.
We have extensively checked in Monte Carlo simulation the conjecture that Yang-Mills matrix models in dimension $D=4$ does not make sense for generic values of $\tilde{\xi}$. The major observation is that for $\tilde{\xi}\neq 0$ the fermion determinant for generic values of $\tilde{\alpha}=\sqrt{N}\alpha$ never reaches thermalization \footnote{This happens typically for small values of $\tilde{\alpha}$ far from the fuzzy sphere region but not very close to $\tilde{\alpha}=0$.}. However, we have also observed that for sufficiently small values of $\tilde{\xi}$ the theory actually makes sense and thus there is some critical value of $\tilde{\xi}$, which we will not determine in this article, above which the path integral is ill defined. The value of interest $\tilde{\xi}=2/3$ corresponding to the mass deformed matrix model lies in this range where the model is actually ill defined.
Therefore in order to access the mass deformed Yang-Mills matrix model by the Monte Carlo method we must regularize the theory in such a way as to make sure that the path integral is absolutely convergent. Unfortunately most regularizations will not maintain neither the full ${\cal N}=1$ mass deformed supersymmetry nor the half ${\cal N}=1$ cohomologically deformed supersymmetry of this model. We adopt here the regularization in which we will simply set $\tilde{\xi}=0$. In other words we make the replacement
\begin{eqnarray}
S_{\rm SUSY}\longrightarrow S_{\rm SUSY}^{'}&=&NTr\bigg[-\frac{1}{4}[X_a,X_b]^2+\frac{2i\alpha}{3}{\epsilon}_{abc}X_aX_bX_c\bigg]+N\tilde{\beta}\alpha^2TrX_a^2\nonumber\\
&-&\frac{1}{N\alpha}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[X_a,..]\bigg).\label{action1}
\end{eqnarray}
In summary, the value $\tilde{\beta}=2/9$ corresponds to the mass deformed Yang-Mills matrix model with softly broken supersymmetry whereas the value $\tilde{\beta}=0$ is precisely the minimally deformed model which enjoys half of the ${\cal N}=1$ cohomologically deformed supersymmetry.
The Metropolis algorithm and other algorithms used to study these models numerically and the detail of the simulations can be found in appendices $A$ and $B$.
\subsection{Bosonic Theory: Emergent Geometry and Phase Diagram}
\paragraph{Emergent Geometry}
We measure the different observables as a function of the coupling constant $\tilde{\alpha}$ for the two relevant values of $\tilde{\beta}$, i.e. $\tilde{\beta}=0,2/9$. We have verified that the bosonic Schwinger-Dyson equation holds in Monte Carlo simulations. See figure (\ref{ident}). Recall that this identity reads for the bosonic models as follows
\begin{eqnarray}
{\rm IDE}&=&4\frac{<{\rm YM}>}{N^2}+4\frac{<{\rm YM}_0>}{N^2}+3\frac{<{\rm CS}>}{N^2}+2\frac{<{\rm RAD}>}{N^2}+\frac{4}{N^2}
\equiv 4.\label{ideB}
\end{eqnarray}
The radius which we have defined by the equation $<1/r>=<TrX_a^2>/\tilde{\alpha}^2c_2$ is shown on figure (\ref{radiusB}). For large values of $\tilde{\alpha}$ the result is consistent with the classical prediction
\begin{eqnarray}
<\frac{1}{r}>=<\frac{TrX_a^2}{\tilde{\alpha}^2c_2}>=\phi_+^2~,~\phi_+=\frac{1+\sqrt{1-4\tilde{\beta}}}{2}.
\end{eqnarray}
This means in particular that the system is in the ground state configurations
\begin{eqnarray}
X_4=0~,~X_a=\alpha\phi L_a.
\end{eqnarray}
In other words we have a fuzzy spherical geometry given by the commutation relations
\begin{eqnarray}
[X_4,X_a]=0~,~[X_a,X_b]=i\epsilon_{abc}\alpha\phi X_c.
\end{eqnarray}
We have checked these commutation relations and found them to hold quite well for sufficiently large values of $\tilde{\alpha}$. The coordinates on the sphere are defined by
\begin{eqnarray}
n_a=\frac{X_a}{\sqrt{c_2}\alpha}~,~\sum_an_a^2=\phi^2.
\end{eqnarray}
We observe that as we decrease $\tilde{\alpha}$, the radius $1/r$ jumps abruptly to $0$ then starts to increase again until it becomes infinite at $\tilde{\alpha}=0$. This is the most dramatic effect of the so-called sphere-to-matrix transition in which the sphere suddenly expands and evaporates at the transition points then it starts shrinking to zero rapidly as we lower the coupling further.
This is the interpretation advocated in \cite{DelgadilloBlando:2008vi,DelgadilloBlando:2007vx,O'Connor:2006wv} for a similar phenomena observed in the case of three dimensional bosonic models. As far as we know this phenomena was observed in Monte Carlo simulation first in \cite{Azuma:2004zq} and it was found in analytical work on perturbative three dimensional bosonic models in \cite{CastroVillarreal:2004vh} and then in \cite{Azuma:2004ie}.
The transitions for the bosonic mass deformed model with $\tilde{\beta}=2/9$ and the bosonic cohomological model with $\tilde{\beta}=0$ are observed to occur at the following estimated values
\begin{eqnarray}
\tilde{\alpha}_*=4.9\pm 0.1~,~\tilde{\beta}=2/9.
\end{eqnarray}
\begin{eqnarray}
\tilde{\alpha}_*=2.55\pm 0.1~,~\tilde{\beta}=0.
\end{eqnarray}
The fuzzy sphere phase corresponds to the region $\tilde{\alpha}>\tilde{\alpha}_*$ whereas the matrix phase corresponds to the region $\tilde{\alpha}<\tilde{\alpha}_*$. In other words the sphere becomes more stable as we make $\tilde{\beta}$ smaller (see below).
The order of the sphere-to-matrix transition is very difficult to determine. Since the ground state configurations are $X_4=0$ and $X_a=\alpha\phi L_a$, the theoretical analysis based on the effective potential of the three dimensional model done in \cite{DelgadilloBlando:2008vi,DelgadilloBlando:2007vx} should also hold here largely unchanged (see below). As a consequence we will only summarize here the main points omitting much technical details.
The specific heat $C_v=(<S^2>-<S>^2)/(N^2-1)$ shown on figure (\ref{cvB}) diverges from the side of the fuzzy sphere with a critical exponent equal $1/2$. It is equal to $3$ in this phase where $1/2$ is due to the $2$ dimensional $U(1)$ gauge field on the sphere, $1/2$ is due to the normal scalar field on the sphere and $1/2$ is due to the scalar field $X_4$. This critical behavior is typical of a second order transition. In the matrix phase the specific heat is a constant right up to the transition point and it is equal $1$ where each matrix contributes $1/4$. There is no divergence from this side and the critical exponent is $0$. In other words the behavior above and below the critical coupling are different, which is quite unusual, but still from the specific heat we qualify this transition as second order.
The expectation values of the Yang-Mills action and the Myers (or Chern-Simons) action are shown on (\ref{YMCSB}). The expectation values of the total bosonic action for the two cases $\tilde{\beta}=2/9$ and $\tilde{\beta}=0$ are shown on figure (\ref{actionB}). From these observables we observe a discontinuity at the transition point. Thus the sphere-to-matrix transition is associated with a latent heat equal to $\Delta <S>=<S>_{\rm matrix}-<S>_{\rm sphere}$ which is typical of a first order phase transition. It is straightforward to estimate the value of this latent heat. The latent heat is released by going from the matrix phase to the fuzzy sphere phase for $\tilde{\beta}=0$ whereas for $\tilde{\beta}=2/9$ the latent heat is released by going in the other direction from the fuzzy sphere phase to the matrix phase.
As we will see from the discussion of the eigenvalues distributions the matrices $X_{\mu}$ in the matrix phase are commuting matrices centered around $0$.
\paragraph{Phase Diagram}
The last point we would like to address within the context of the bosonic theory is the construction of the phase diagram in the plane $\tilde{\alpha}-\tilde{\beta}$. We have already measured two points of this phase diagram which correspond to the two values $\tilde{\beta}=2/9$ and $\tilde{\beta}=0$. In order to map the phase boundary between the fuzzy sphere and the matrix phase we choose other values of $\tilde{\beta}$ and measure for each one of them the critical value of $\tilde{\alpha}$ from the discontinuity in the radius $1/r$. The result is shown on figure (\ref{phaseB}).
The effective potential of the $4$ dimensional bosonic Yang-Mills matrix model in the Feynman-'t Hooft background field gauge in the ground state configurations $X_4=0$ and $X_a=\alpha\phi L_a$ can be calculated using the method of \cite{CastroVillarreal:2004vh}. We find
\begin{eqnarray}
\frac{V_{\rm eff}}{2c_2}=\tilde{\alpha}^4\bigg[\frac{\phi^4}{4}-\frac{\phi^3}{3}+\tilde{\beta}\frac{\phi^2}{2}\bigg]+2\log\phi^2.
\end{eqnarray}
The difference with the three dimensional bosonic Yang-Mills matrix model lies in the factor of $2$ multiplying the logarithm. The critical line can then be obtained following the method of \cite{DelgadilloBlando:2008vi}. We get
\begin{eqnarray}
\phi_*=\frac{3}{8}(1+\sqrt{1-\frac{32\tilde{\beta}}{9}})~,~\tilde{\alpha}_*^4=\frac{16}{\phi_*^2(\phi_*^2-2\tilde{\beta})}.
\end{eqnarray}
This is the fit used on figure (\ref{phaseB}) with very reasonable agreement with the Monte Carlo data.
\subsection{Dynamical Fermions: Impact of Supersymmetry}
In this section we will discuss the effect of the fermion determinant. First we note that simulations with fermions are much more harder than pure bosonic simulations. The main source of complication is the evaluation of the determinant which is highly non trivial. Thermalization is very difficult and as a consequence taking the limit of large $N$ is not so easy even with the use of the Hybrid Monte Carlo algorithm. In the bosonic case we could go as large as $N=100$ with very decent number of statistics although in this article we have only reported data with $N$ up to $N=16$. In the fermionic case we will report data with $N$ up to $N=10$.
The first thing we have checked is the Schwinger-Dyson identity (\ref{ide}). The Monte Carlo data are shown on figure (\ref{ident}). The fermionic data agrees well with the prediction $6$ whereas the bosonic data agrees well with the prediction $4$. Note that $6=4+2$ where $4$ is the number of bosonic matrices and $2$ is the number of fermionic matrices.
The most important order parameter with direct significance to the underlying geometry is the radius $1/r$. See figures (\ref{radiusF1}), (\ref{radiusF2}) and (\ref{radiusF3}). We observe that the transition sphere-to-matrix observed in the bosonic theory disappeared completely. Again it seems here that there is no major difference between the two models with $\tilde{\beta}=2/9$ and $\tilde{\beta}=0$. It is clear from the structure of the action that the theory with $\tilde{\alpha}=0$ can not support the fuzzy sphere geometry and thus a phase with commuting matrices must still exist. However, the transition to the phase of commuting matrices starting from the fuzzy sphere phase seems to be a crossover transition not the second/first order behavior observer in the bosonic model. This seems to be confirmed by the behavior of the specific heat, the Yang-Mills and Myers actions and the total action shown on figures (\ref{cvF}), (\ref{YMCSF1}-\ref{YMCSF2}) and (\ref{actionF}) respectively. The jump and critical behavior in the specific heat and the discontinuity in the various actions disappeared.
We have to note here that the observable $<Tr X_a^2>/N$ diverges in the supersymmetric theory with $\tilde{\alpha}=\tilde{\beta}=0$ \cite{Krauth:1999qw}. For the mass deformed theory we have $\tilde{\beta}=2/9$ and thus the observable $<Tr X_a^2>/N$ always exists. We observe on the second graph of figure (\ref{radiusF1}) that $<Tr X_a^2>/N$ increases as we decrease $\tilde{\alpha}$ towards $0$ which is consistent with the fact that it will diverge in the limit $\tilde{\alpha}\longrightarrow 0$. Qualitatively the same phenomena is observed for $\tilde{\beta}=0$ on the second graph of figure (\ref{radiusF2}) with more erratic behavior as we decrease $\tilde{\alpha}$ towards $0$. However in this case we can not infer that $<Tr X_a^2>/N$ exists for all $\tilde{\alpha}$ since $\tilde{\beta}=0$ although it looks that it does from the data. From this perspective the mass deformed model is better than the cohomologically deformed model.
We have not succeeded in determining precisely the value at which the crossover transition occurs but it seems that it depends on $N$ in such a way that it is pushed to smaller values of $\tilde{\alpha}$ as we increase $N$. From figure (\ref{radiusF3}) we can see that the crossover transition for $\tilde{\beta}=2/9$ occurs at $\tilde{\alpha}=3.13,2.63,2.38$ and $2.13$ for $N=4,6,8$ and $N=10$ respectively. A simple fit yields the result
\begin{eqnarray}
\tilde{\alpha}_*^4=\frac{61.13}{N^{2.38}}~,~\tilde{\beta}=2/9.
\end{eqnarray}
The conjecture that the crossover transition occurs at arbitrarily small values of $\tilde{\alpha}$ in the large $N$ limit is one of the main results of this article. In this way the fuzzy sphere is truly stable in the supersymmetric theory and does not decay. In any case we are certain that the fuzzy sphere in the supersymmetric theory is more stable compared to the bosonic theory and the crossover transition to the matrix phase is much slower. This conclusion is similar to that of \cite{Anagnostopoulos:2005cy}.
\subsection{Eigenvalues Distributions}
\paragraph{Bosonic Theory}
A powerful set of order parameters is given by the eigenvalues distributions of the two matrices $X_3$ and $X_4$. See (\ref{distrB}). The eigenvalues distribution of the matrix $X_4$ is qualitatively the same for all values of the coupling constants $\tilde{\alpha}$. However, the eigenvalues distribution of the matrix $X_3$ suffers a major change as we go across the transition point. In the fuzzy sphere region the eigenvalues distribution of $X_3$ is given by an $N-$cut distribution corresponding to the $N$ eigenvalues $-(N-1)/2,...,(N-1)/2$ whereas in the matrix phase the eigenvalues distribution of $X_3$ is identical to the eigenvalues distribution of $X_4$.
The eigenvalues distribution $\rho_4(x_4)$ of the matrix $X_4$ is always centered around $0$. In the fuzzy sphere phase $\rho_4(x_4)$ depends on the coupling constant $\tilde{\alpha}$. In the matrix phase below the critical value the eigenvalues distribution $\rho_4(x_4)$ does not depend on $\tilde{\alpha}$ and coincides with the eigenvalues distribution of the non deformed model with $\tilde{\alpha}=0$. In this region the eigenvalues distributions of the matrices $X_3$ and $X_4$ are identical.
Motivated by the work \cite{Berenstein:2008eg,Hotta:1998en} it was conjectured \cite{denjoeprivate} that the joint eigenvalues distribution of $d$ matrices $X_1$, $X_2$,...$X_d$ with dynamics given by a reduced Yang-Mills action should be uniform inside a solid ball of some radius $R$. We have already checked that this conjecture works in three dimensions \cite{Ydri:2010kg}. We will check now that this conjecture holds also true in four dimensions. Let $\rho(x_1,x_2,x_3,x_4)$ be the joint eigenvalues distribution of the $4$ matrices $X_1$, $X_2$, $X_3$ and $X_4$. We assume that $\rho(x_1,x_2,x_3,x_4)$ is uniform inside a four dimensional ball of radius $R$. The normalization condition gives $\rho(x_1,x_2,x_3,x_4)=1/V_4=2/\pi^2 R^4$. We want to compute the eigenvalues distribution of a single matrix, say $X_4$, which is induced by integrating out the other three matrices. We compute
\begin{eqnarray}
\bigg[\int_{-R}^R dx_4\int_{-R}^R dx_3\int_{-R}^R dx_2\int_{-R}^R dx_1\bigg]_{x_1^2+x_2^2+x_3^2+x_4^2\leq R^2} &=&\nonumber\\
\int_{-R}^R dx_4\bigg[\int_{-R}^R dx_3\int_{-R}^R dx_2\int_{-R}^R dx_1\bigg]_{x_1^2+x_2^2+x_3^2\leq R^2-x_4^2}&=&\nonumber\\
\int_{-R}^R dx_4\bigg[\int r^2dr d\Omega_3\bigg]_{r^2\leq R^2-x_4^2}&=&\nonumber\\
\frac{4\pi}{3}\int_{-R}^R dx_4(R^2-x_4^2)^{\frac{3}{2}}.
\end{eqnarray}
We obtain therefore the eigenvalues distribution
\begin{eqnarray}
\rho_4(x_4)=\frac{8}{3\pi R^4}(R^2-x_4^2)^{\frac{3}{2}}.\label{4ball}
\end{eqnarray}
This is precisely the fit shown on figure (\ref{distrB}) with a measured value of $R$ for $\tilde{\beta}=0$ and $\tilde{\alpha}=0$ given by
\begin{eqnarray}
R_0=1.826\pm 0.004.
\end{eqnarray}
The above eigenvalues distribution works better for the theory with $\tilde{\beta}=2/9$ as shown on figure (\ref{distrF2}) with a similar measured value of $R$ given for $\tilde{\alpha}=0.25$ by
\begin{eqnarray}
R_{2/9}=1.815\pm 0.008.
\end{eqnarray}
We have found that these two measured values are almost the same throughout the matrix phase.
We emphasize that $\rho_4(x_4)$ is the eigenvalues distribution of the matrix $X_4$ not only in the matrix phase but also in the fuzzy sphere phase with a value of $R$ which depends on the coupling constant $\tilde{\alpha}$. We also emphasize that $\rho_4(x_3)$ is the eigenvalues distribution of the matrix $X_3$ in the matrix phase for the bosonic theory for both values $\tilde{\beta}=0$ and $\tilde{\beta}=2/9$.
Another non trivial check for this important conjecture is the theoretical prediction of the radius
\begin{eqnarray}
<\frac{1}{N}Tr X_a^2>&=&3<\frac{1}{N}Tr X_3^2>\nonumber\\
&=&3\int_{-R}^{R}dx_4 \rho_4(x_4) x_4^2\nonumber\\
&=&\frac{R^2}{2}.
\end{eqnarray}
This means that in the matrix phase the order parameter $<\frac{1}{N}Tr X_a^2>$, which is related to the radius, is constant. Indeed, this is what we see on figure (\ref{radiusB}) with a good agreement between the Monte Carlo measurement and the theoretical prediction. The observed value of $<\frac{1}{N}Tr X_a^2>$ is slightly below the theoretical prediction for $\tilde{\beta}=2/9$ throughout. This is not the case for $\tilde{\beta}=0$ where the Monte Carlo measurement starts slightly below $R^2/2$ and then rises above it as we approach the transition to the fuzzy sphere.
This can potentially be a serious difference between the tow cases $\tilde{\beta}=2/9$ and $\tilde{\beta}=0$. The transition to the sphere in the case of $\tilde{\beta}=2/9$ is in the form of an abrupt jump but in the case of $\tilde{\beta}=0$ there is a slow rise in the matrix phase as we increase $\tilde{\alpha}$ before the actual jump.
The main conclusion of these successful measurements is the fact that the matrices $X_{\mu}$ in the matrix phase are commuting and thus they are diagonalizable with a joint eigenvalues distribution which is uniform inside a ball of dimension $R$.
\paragraph{Supersymmetric Theory} In the supersymmetric case we found it much easier to compute eigenvalues distributions with the value $\tilde{\beta}=2/9$ and thus we will only consider here the mass deformed model. A sample of the eigenvalues distributions of the mass deformed model is shown on figures (\ref{distrF1}) and (\ref{distrF2}).
Again it is observed that the eigenvalues distribution of $X_3$ in the fuzzy sphere phase is given by an $N-$cut distribution corresponding to the $N$ eigenvalues $-(N-1)/2,...,(N-1)/2$ whereas in the matrix phase the eigenvalues distributions of $X_3$ is given by $\rho_4(x_3)$ with a much larger value of $R$ given for $\tilde{\alpha}=0.25$ by
\begin{eqnarray}
R=2.851\pm 0.009.
\end{eqnarray}
The eigenvalues distribution of $X_4$ is always centered around $0$ given by $\rho_4(x_4)$ with a value of $R$ which depends on the coupling constant $\tilde{\alpha}$. This eigenvalues distribution coincides with the eigenvalues distribution of $X_3$ deep inside the matrix phase below $\tilde{\alpha}=0.25$.
The eigenvalues distribution $\rho_4$ is therefore universal in the sense that it describes the behavior of the eigenvalues of the matrix $X_4$ for all values of $\tilde{\alpha}$ and all values of $\tilde{\beta}$ and the behavior of the eigenvalues of the matrix $X_3$ in the matrix phase for all values of $\tilde{\beta}$. We note here the difference between this eigenvalues distribution $\rho_4$ and the eigenvalues distribution of the supersymmetric model with $\tilde{\alpha}=\tilde{\beta}=0$ \cite{Krauth:1999qw}. In the latter case the distribution extends from $-\infty $ to $+\infty $ and goes as $1/x^3$ for large eigenvalues. It is not clear to us at this stage how the two distributions relate to each other.
The point at which the eigenvalues distributions of $X_3$ and $X_4$ coincide may be taken as the measure for the crossover transition point and thus for $N=10$ this occurs at a point between $\tilde{\alpha}=1$ and $\tilde{\alpha}=0.25$.
\subsection{Remarks: $D=3$ Yang-Mills Matrix Models and Scalar Fluctuations}
The $D=3$ Yang-Mills matrix models we can immediately consider here can be obtained from the above $D=4$ models by simply setting the fourth matrix $X_4$ to zero. This is different from the IKKT supersymmetric Yang-Mills matrix model in $D=3$ by the fact that it involves a determinant instead of a Pffafian and as a consequence the path integrals of these theories are convergent.
The physics of these $D=3$ models is identical to the physics of the $D=4$ models in the sense that there is a first/second order phase transition from a background geometry (the fuzzy sphere) to commuting matrices which in the presence of dynamical fermions is turned into a slow crossover transition. The most important difference is the natural expectation that the eigenvalues distributions of the matrices $X_a$ in the matrix phase must be distributed according to the formula
\begin{eqnarray}
\rho_3(x_3)=\frac{3}{4R^3}(R^2-x_3^2).\label{3ball}
\end{eqnarray}
By analogy with the $D=4$ formula (\ref{4ball}) this distribution can be derived from the assumption that the joint eigenvalues distribution of the $3$ matrices $X_1$, $X_2$, $X_3$ is uniform inside a three dimensional ball of radius $R$. In the next section we will also derive this distribution for the $D=4$ Yang-Mills matrix model with a particular choice of the parameters with $\beta_4\neq 0$ (see (\ref{model0})).
Monte Carlo measurment of the radius gives the value
\begin{eqnarray}
R\simeq 2.
\end{eqnarray}
As shown on the first graph of the figure (\ref{D3D4}) a sample of the data for the $N=10$ three-dimensional bosonic Yang-Mills matrix model with $\tilde{\beta}=2/9$ and $\tilde{\alpha}=0.5$ is shown. Clearly it can be fit nicely to (\ref{3ball}) with $R=2$. In performing the fitting in three dimensions we have to cut the tails in order to get a sensible answer. As it turns out the same three dimensional data can also be fit to the four dimensional prediction (\ref{4ball}). We also show the data for the $N=10$ four-dimensional bosonic Yang-Mills matrix model with $\tilde{\beta}=2/9$ and $\tilde{\alpha}=0.5$ for comparison.
In the Monte Carlo data of the $D=3$ Yang-Mills matrix models reported in this article it was not possible to resolve the ambiguity between the two fits (\ref{4ball}) and (\ref{3ball}). However high precision runs performed in \cite{rodrigo} seems to indicate that indeed the three dimensional prediction (\ref{3ball}) is the correct behavior for the eigenvalues distributions of the $D=3$ Yang-Mills matrix models.
The second remark we would like to discuss in this section concerns the dependence on $N$ and $\tilde{\alpha}$ of the eigenvalues distributions $\rho_4$ and $\rho_3$ given in (\ref{4ball}) and (\ref{3ball}) respectively. As shown on the second graph of the figure (\ref{D3D4}) the distributions $\rho_4$ and $\rho_3$ are independent of $\tilde{\alpha}$. Similarly we can show that these distributions are independent of $N$.
The third remark concerns the eigenvalues distributions of the normal scalar field in the fuzzy sphere phase which is define by $\phi=(X_a^2-\phi^2c_2)/(2\phi\sqrt{c_2})$ \cite{CastroVillarreal:2004vh}. This is shown on figure (\ref{scalar}) for both the $D=3$ and $D=4$ models. The behavior in both cases is the same although we have to note that the effective values $c_{2,\rm eff}$ in $D=3$ and $D=4$ are slightly different. This is quite natural as the three dimensional model is more stable in the sense that it has a lower critical value $\tilde{\alpha}_*$. The central observation here is that we can nicely fit these eigenvalues distributions to the eigenvalues distribution $\rho_4$ given in (\ref{4ball}) as shown on figure (\ref{scalar}).
\section{Elements of the Solution of the $D=3$ Theory}
\subsection{Localization: Reduction to $D=3$ Chern-Simons Theory}
We start by summarizing our main results of section $3$. The action of the theory of interest consists of two terms $S_{\rm cohom}$ and $\hat{S}$, viz $S_{\rm def}=S_{\rm cohom}+\hat{S}$ \footnote{In fact the action that should be considered is $2S_{\rm def}/g^2$.}. The first piece $S_{\rm cohom}$ is the standard ${\cal N}=1$ Yang-Mills matrix theory in $D=4$ which has $4$ supercharges whereas the second piece $\hat{S}$ is the cohomological deformation which preserves two of the supercharges. The parameters of the deformation were fixed so that the action (after the integration of the BRST field $H$) corresponds to a generalization of the mass deformed action considered in section $2$ with mass terms for the bosonic and fermionic matrices and a Myers term. Effectively the action $S_{\rm def}$ will be the sum of two actions $S_{\rm cohom}$ and $\Delta{S}_{\rm cohom}$ given by
\begin{eqnarray}
S_{\rm cohom}
&=&-\frac{1}{8}Tr[X_{\mu},X_{\nu}]^2-\frac{1}{2}Tr{\theta}^+\bigg(i[X_4,..]+{\sigma}_a[X_a,..]\bigg)\theta+Tr B^2.\label{loc1}
\end{eqnarray}
\begin{eqnarray}
\Delta{S}_{\rm cohom}
&=&\frac{\kappa_1}{2}Tr\theta^+\theta+\frac{1}{2}\epsilon\kappa_1Tr X_a^2+\frac{1}{4}\kappa_1(2\epsilon-\kappa_1)TrX_4^2-\frac{i}{6}(4\epsilon+\kappa_1)\epsilon_{abc}TrX_aX_bX_c.\label{loc2}\nonumber\\
\end{eqnarray}
The first supercharge of this cohomologically deformed theory corresponds to the supersymmetry transformations
\begin{eqnarray}
d_{\rm def} X_i=\chi_i.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\phi=0~,~d_{\rm def}\bar{\phi}=-\eta_2.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}H&=&[\phi,\eta_1]+i(\kappa_2+\kappa_1)\eta_2.
\end{eqnarray}
\begin{eqnarray}
d_{\rm def} \eta_1=H+(-i(4\epsilon-\kappa_1)\phi+i(\kappa_2+\kappa_1)\bar{\phi})~,~d_{\rm def}\eta_2=[\bar{\phi},\phi].
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\chi_i&=&[\phi,X_i]+i\epsilon \epsilon_{ij}X_j.
\end{eqnarray}
The second supercharge can be obtained by an appropriate permutation of the spinors $\eta_i$ and $\chi_i$ \cite{Austing:2001ib}.
We observe that we have three parameters $\kappa_1$, $\kappa_2$ and $\epsilon$ where $\kappa_2$ does not appear in the action. Thus the path integral does not depend on $\kappa_2$. We note that in \cite{Austing:2001ib} a different cohomological deformation was considered for which it was pssible to show explicitly that the path integral is independent of $\kappa_2$. In summary we have then two deformation parameters $\kappa_1$ and $\epsilon$ or equivalently $\alpha$ and $\zeta_0$ defined in equation (\ref{alpha}). For our purposes $\alpha$ will play the role of the gauge coupling constant while $\zeta_0$ is the actual parameter of the cohomological/mass deformation.
The theory with $\kappa_2=0$ will yield the same action (\ref{loc1})+(\ref{loc2}) with the supersymmetry transformations
\begin{eqnarray}
d_{\rm def} X_i=\chi_i.\label{tra1}
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\phi=0~,~d_{\rm def}\bar{\phi}=-\eta_2.\label{tra2}
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}H&=&[\phi,\eta_1]+i\kappa_1\eta_2.\label{tra3}
\end{eqnarray}
\begin{eqnarray}
d_{\rm def} \eta_1=H+(-i(4\epsilon-\kappa_1)\phi+i\kappa_1\bar{\phi})~,~d_{\rm def}\eta_2=[\bar{\phi},\phi].\label{tra4}
\end{eqnarray}
\begin{eqnarray}
d_{\rm def}\chi_i&=&[\phi,X_i]+i\epsilon \epsilon_{ij}X_j.\label{tra4}
\end{eqnarray}
We note that the action for the value $\kappa_1=2\epsilon$ corresponds precisely to the mass deformed action considered in section $2$ and as a consequence the above supersymmetry transformations (\ref{tra1})-(\ref{tra4}) will correspond to one of the mass deformed supercharges.
The path integral we wish to evaluate is
\begin{eqnarray}
Z&=&\int dX_{\mu}~dB~d{\theta}^+~d\theta~\exp(-S_{\rm cohom}-\Delta{S}_{\rm cohom})
\end{eqnarray}
This can be obtained from the path integral (with $S_{\rm def}[\kappa_2=0]=S_{\rm cohom}+\hat{S}[\kappa_2=0]$)
\begin{eqnarray}
&=&\int dX_1~dX_2~d\bar{\phi}~d\phi~dH~d\chi_1~d\chi_2~d\eta_1~d\eta_2~\exp(-S_{\rm def}[\kappa_2=0]).\label{path}
\end{eqnarray}
In this equation the actions $S_{\rm cohom}$ and $\hat{S}$ must be expressed in terms of the BRST fields $H$, $\phi$, $\bar{\phi}$, $X_i$, $\eta_i$ and $\chi_i$, viz
\begin{eqnarray}
S_{\rm cohom}
&=&Tr\big(H^2+H[X_1,X_2]+[X_i,\phi][X_i,\bar{\phi}]+[\phi,\bar{\phi}]^2-\eta_i[\phi,\eta_i]-\chi_i[\bar{\phi},\chi_i]\nonumber\\
&-&\eta_1\epsilon^{ij}[{\chi}_i,X_j]+\eta_2[\chi_i,X_i]\big).
\end{eqnarray}
\begin{eqnarray}
\hat{S}[\kappa_2=0]
&=&i\kappa_1Tr(\chi_1\chi_2-\eta_1\eta_2)-4i\epsilon Tr\phi[X_1,X_2]+i(\kappa_1+2\epsilon)Tr\bar{\phi}[X_1,X_2]\nonumber\\
&+&i\kappa_1Tr\bar{\phi}H-i(4\epsilon-\kappa_1)Tr\phi H-2\epsilon(2\epsilon-\kappa_1)Tr\phi^2+\frac{1}{2}\epsilon\kappa_1TrX_i^2.
\end{eqnarray}
To perform the above path integral (\ref{path}) we will now add the terms proportional to $\kappa_2$ and since the resulting action remains independent of $\kappa_2$ we will take the limit $\kappa_2\longrightarrow\infty$ in which the path integral localizes. We have
\begin{eqnarray}
Z&=&\int dX_{\mu}~dB~d{\theta}^+~d\theta~\exp(-S_{\rm cohom}-\Delta{S}_{\rm cohom})\nonumber\\
&=&\int dX_1~dX_2~d\bar{\phi}~d\phi~dH~d\chi_1~d\chi_2~d\eta_1~d\eta_2~\exp(-S_{\rm def}[\kappa_2=0]-\kappa_2\Delta\hat{S}).\label{path1}
\end{eqnarray}
\begin{eqnarray}
\Delta\hat{S}&=&iTr\eta_1\eta_2+iTr\bar{\phi}H+(4\epsilon-\kappa_1)Tr\bar{\phi}\phi-\kappa_1Tr\bar{\phi}^2.
\end{eqnarray}
In the limit $\kappa_2\longrightarrow\infty$ we are able to integrate the BRST quartet $\eta_1$, $\eta_2$, $H$ and $\bar{\phi}$. The fermionic part of the action which depends on $\kappa_2$ is
\begin{eqnarray}
i\kappa_2Tr\eta_1\eta_2.
\end{eqnarray}
Thus by using the saddle point method we obtain
\begin{eqnarray}
\int d\eta_1~d\eta_2~ f(\eta_1,\eta_2)~e^{-i\kappa_2Tr\eta_1\eta_2}=\kappa_2^{N^2-1}i^{N^2-1}Nf(0,0).
\end{eqnarray}
The actions $S_{\rm cohom}$ and $\hat{S}[\kappa_2=0]$ reduce to
\begin{eqnarray}
S_{\rm cohom}
&=&Tr\bigg(H^2+H[X_1,X_2]+[X_i,\phi][X_i,\bar{\phi}]+[\phi,\bar{\phi}]^2-\chi_i[\bar{\phi},\chi_i]\bigg).
\end{eqnarray}
\begin{eqnarray}
\hat{S}[\kappa_2=0]
&=&i\kappa_1Tr\chi_1\chi_2-4i\epsilon Tr\phi[X_1,X_2]+i(\kappa_1+2\epsilon)Tr\bar{\phi}[X_1,X_2]\nonumber\\
&+&i\kappa_1Tr\bar{\phi}H-i(4\epsilon-\kappa_1)Tr\phi H-2\epsilon(2\epsilon-\kappa_1)Tr\phi^2+\frac{1}{2}\epsilon\kappa_1TrX_i^2.
\end{eqnarray}
Next we do the path integral over $H$ then $X_3$ in that order using again the saddle point method. The relevant terms are the bosonic contributions which are proportional to $\kappa_2$. They are given by
\begin{eqnarray}
(4\epsilon-\kappa_1)\kappa_2Tr\bar{\phi}{\phi}-\kappa_1\kappa_2Tr\bar{\phi}^2+i\kappa_2Tr\bar{\phi}H.
\end{eqnarray}
For $\epsilon<0$ we can verify that the integral over $X_3$ is exponentially damped and therefore we can shift $X_3$ appropriately. The resulting integral over $H$ turns out also to be damped exponentially. Explicitly we have
\begin{eqnarray}
(4\epsilon-\kappa_1)\kappa_2Tr\bar{\phi}{\phi}-\kappa_1\kappa_2Tr\bar{\phi}^2+i\kappa_2Tr\bar{\phi}H&=&
-\epsilon\kappa_2Tr\big(X_3+\frac{i}{4\epsilon}(H-\kappa_1X_4)\big)^2\nonumber\\
&-&\frac{\kappa_2}{16\epsilon}Tr(H+(4\epsilon-\kappa_1)X_4)^2+\frac{\kappa_2}{2}(4\epsilon-\kappa_1)TrX_4^2.\nonumber\\
\end{eqnarray}
In the limit $\kappa_2\longrightarrow \infty$ the hermitian matrix $H$ will be localized around $-(4\epsilon-\kappa_1)X_4=i(4\epsilon-\kappa_1)(\phi+\bar{\phi})$. The above equation reduces to
\begin{eqnarray}
(4\epsilon-\kappa_1)\kappa_2Tr\bar{\phi}{\phi}-\kappa_1\kappa_2Tr\bar{\phi}^2+i\kappa_2Tr\bar{\phi}H&=&
-\epsilon\kappa_2Tr(X_3-iX_4)^2+\frac{\kappa_2}{2}(4\epsilon-\kappa_1)TrX_4^2.\nonumber\\\label{5.25}
\end{eqnarray}
Equivalently
\begin{eqnarray}
(4\epsilon-\kappa_1)\kappa_2Tr\bar{\phi}{\phi}-\kappa_1\kappa_2Tr\bar{\phi}^2+i\kappa_2Tr\bar{\phi}H&=&
-4\epsilon\kappa_2Tr\bar{\phi}^2-\frac{\kappa_2}{2}(4\epsilon-\kappa_1)Tr(\phi+\bar{\phi})^2.\nonumber\\
\end{eqnarray}
We can now shift the integral over $X_3$ as $X_3\longrightarrow \bar{\phi}=-\frac{1}{2}(X_3-iX_4)$. Clearly we can now assume that $\bar{\phi}$ is hermitian. For consistency we will also shift the integral over $X_4$ as $X_4\longrightarrow \phi=iX_4-\bar{\phi}$. In the limit $\kappa_2\longrightarrow \infty$ the hermitian matrix $\bar{\phi}$ is localized around $0$. The matrix $\phi$ is then seen to be antihermitian identified with $iX_4$.
We get
thus by using the saddle point method the result
\begin{eqnarray}
\int d\bar{\phi}~dH~ f(\bar{\phi},H)~e^{(4\epsilon-\kappa_1)\kappa_2Tr\bar{\phi}{\phi}-\kappa_1\kappa_2Tr\bar{\phi}^2+i\kappa_2Tr\bar{\phi}H}&=&\nonumber\\
\kappa_2^{1-N^2}(2\pi)^{N^2-1}\frac{1}{N}f(0,i(4\epsilon-\kappa_1)\phi)e^{\frac{\kappa_2}{2}(4\epsilon-\kappa_1)Tr\phi^2}.
\end{eqnarray}
The $\kappa_2$ dependence cancels completely if we choose $4\epsilon=\kappa_1$. The actions $S_{\rm cohom}$ and $\hat{S}[\kappa_2=0]$ reduce to
\begin{eqnarray}
S_{\rm cohom}
&=&Tr\bigg(-(4\epsilon-\kappa_1)^2\phi^2+i(4\epsilon-\kappa_1)\phi[X_1,X_2]\bigg).
\end{eqnarray}
\begin{eqnarray}
\hat{S}[\kappa_2=0] &=&i\kappa_1Tr\chi_1\chi_2-4i\epsilon Tr\phi[X_1,X_2]+(4\epsilon-\kappa_1)^2Tr\phi^2+2\epsilon(\kappa_1-2\epsilon)Tr\phi^2\nonumber\\
&+&\frac{1}{2}\epsilon\kappa_1TrX_i^2.
\end{eqnarray}
The integration over the last fermionic degrees of freedom $\chi_1$ and $\chi_2$ is now trivial since they are free degrees of freedom decoupled from everything else. We end up with the model
\begin{eqnarray}
Z&=&\int d{\phi}~dX_1~dX_2 \exp\bigg(i\kappa_1Tr\phi[X_1,X_2]-2\epsilon(\kappa_1-2\epsilon)Tr\phi^2-\frac{1}{2}\epsilon\kappa_1TrX_i^2\nonumber\\
&+&\frac{\kappa_2}{2}(4\epsilon-\kappa_1)Tr\phi^2\bigg).
\end{eqnarray}
This is essentially the path integral of two-dimensional gauge theory on the fuzzy sphere studied in \cite{Ishiki:2008vf}. As was shown in \cite{Ishiki:2009vr} it can also be derived from the reduction to zero dimension of Chern-Simons theory on ${\bf S}^3$ .
We can therefore conclude that the mass deformation considered here reduces the $4$-dimensional supersymmetric theory to a bosonic $D=3$ matrix theory which when expanded about the ground state yields a noncommutative gauge theory on the fuzzy sphere.
\subsection{Exact Integration: Emergence of the Fuzzy Sphere}
In the previous section we have found that $\bar{\phi}=-(X_3-iX_4)/2$ is localized around $0$ which means that the most important configurations satisfy $X_3-iX_4=0$. Since $\phi=iX_4-\bar{\phi}$ we can think of $\phi$ as $i X_4$, i.e. $\phi$ is antihermitian, and as a consequence the cubic term is not real and the mass term of $\phi$ is of the wrong sign.
Formally we can also think of $\phi$ as a hermitian matrix which can be identified with $X_3$. The cubic term in this case is real which is precisely a Chern-Simon term and the mass term of $\phi$ is of the correct sign. This can be seen by rewriting in the limit $\kappa_2\longrightarrow\infty$ the path integration over $X_3$ and $X_4$ as (see equation (\ref{5.25}))
\begin{eqnarray}
\int dX_3\int dX_4 \exp\bigg(\epsilon\kappa_2Tr(X_3-iX_4)^2-\frac{\kappa_2}{2}(4\epsilon-\kappa_1)TrX_4^2\bigg)(...)&\sim &\nonumber\\
\int dX_3\int dX_4 \delta(X_3-iX_4)\exp\bigg(-\frac{\kappa_2}{2}(4\epsilon-\kappa_1)TrX_4^2\bigg)(...).
\end{eqnarray}
Instead of doing the integral over $X_3$ first then over $X_4$ by performing the shift $X_3\longrightarrow \bar{\phi}=-(X_3-iX_4)/2$, $X_4\longrightarrow \phi=iX_4-\bar{\phi}$ we will do the integral over $X_4$ first then over $X_3$ by performing the shift $X_4\longrightarrow \bar{\phi}=-(X_3-iX_4)/2$, $X_3\longrightarrow \phi=X_3+\bar{\phi}$.
In the following we will therefore assume that $\phi$ is a hermitian matrix identified with $X_3$. Furthermore recall that $\epsilon <0$ and as a consequence we will take $\kappa_1<0$ and $\kappa_1-2\epsilon<0$ in order to have mass terms for $\phi$ and $X_i$. Since $\epsilon=-\alpha(1+6\zeta_0)/6$ and $\kappa_1-2\epsilon=6\zeta_0\alpha$ we conclude that we must have $-1/6\leq \zeta_0<0$. We have already found that we must have $0\leq\zeta_0\leq 1/12$ in order to have a stable classical theory in the direction $X_4$ and that the value $\zeta_0=0$ corresponds precisely to the mass deformed theory of interest which is constructed in section $2$.
In the current case we have to take the value $4\epsilon=\kappa_1$, or equivalently $\zeta_0=-1/24$, which is the value at which the dependence on $\kappa_2$ drops completely. For this value the field $X_4$ will have a negative mass but the original theory remains stable in the $X_4$ as one might easily check in the fuzzy sphere region.
We introduce
\begin{eqnarray}
t=2\epsilon^3(\kappa_1-2\epsilon)=-\frac{\alpha^4}{18}\zeta_0(1+6\zeta_0)^3.
\end{eqnarray}
Furthermore since $\bar{\phi}$ is localized around $0$ we can identify $\phi$ with $X_3$. In order to make $SO(3)$ covariance manifest we perform the rescaling
\begin{eqnarray}
X_{i}\longrightarrow -2\epsilon\sqrt{\frac{\kappa_1-2\epsilon}{\kappa_1}}X_{i}~,~\phi\longrightarrow -\epsilon \phi.
\end{eqnarray}
The path integral becomes (with $4\epsilon=\kappa_1$)
\begin{eqnarray}
Z=\int d{\phi}~dX_1~dX_2 \exp t\bigg(-2iTr\phi[X_1,X_2]-Tr\phi^2-TrX_i^2\bigg).
\end{eqnarray}
We perform now the scaling (\ref{scaling}). We get then
\begin{eqnarray}
Z=\int d{\phi}~dX_1~dX_2 \exp N t\bigg(-2iTr\phi[X_1,X_2]-Tr\phi^2-TrX_i^2\bigg).
\end{eqnarray}
\begin{eqnarray}
&=&-\frac{16\alpha^4}{9}\zeta_0(1+6\zeta_0)^3.
\end{eqnarray}
For $4\epsilon=\kappa_1$ we have explicitly
\begin{eqnarray}
&=&\frac{\alpha^4}{32}.
\end{eqnarray}
The classical equations of motion are
\begin{eqnarray}
[X_1,X_2]=i\phi~,~[X_2,\phi]=iX_1~,~[\phi,X_1]=iX_2.
\end{eqnarray}
The solutions are given by $SU(2)$ irreducible representations, namely
\begin{eqnarray}
X_i=L_i~,~\phi=L_3.
\end{eqnarray}
We perform now the integrals over $X_1$ and $X_2$. By integrating over $X_2$ we get
\begin{eqnarray}
Z
&=&\int d\phi~dX_1 \exp Nt\bigg(-Tr[\phi,X_1]^2-Tr\phi^2- TrX_1^2\bigg).
\end{eqnarray}
Next we diagonalize the hermitian matrix $\phi$. We have
\begin{eqnarray}
d\phi=\prod_{i=1}^Nd\phi_i \prod_{i<j}(\phi_i-\phi_j)^2.
\end{eqnarray}
We get then
\begin{eqnarray}
Z&=&\int \prod_{i=1}^Nd\phi_i
\prod_{i<j}(\phi_i-\phi_j)^2\int dX_1 \exp\bigg(-\sum_{i,j}(X_1)_{ij}(X_1)^*_{ij}\bigg[-Nt(\phi_i-\phi_j)^2+Nt\bigg]-Nt\sum_{i}\phi_i^2\bigg).\nonumber\\
\end{eqnarray}
Integrating over $X_1$ we get
\begin{eqnarray}
Z
&=&\int \prod_{i=1}^Nd\phi_i
\prod_{i<j}(\phi_i-\phi_j)^2 \det\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)^{-1}\exp\bigg(-Nt\sum_{i}\phi_i^2\bigg).\nonumber\\
\end{eqnarray}
Let us compute the determinant for $N=3$. Clearly $t \longrightarrow 0$ when $\alpha\longrightarrow 0$. Thus we have in the limit $\alpha\longrightarrow 0$ (with $t_{ij}=-Nt(\phi_i-\phi_j)^2+Nt$)
\begin{eqnarray}
\det\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)=2t_{12}t_{13}t_{23}+t_{11}^3-t_{11}(t_{12}^2+t_{13}^2+t_{23}^2).
\end{eqnarray}
But $t_{11}$ is proportional to $\alpha$. In other words $t_{11}$ vanishes if $\alpha\longrightarrow 0$. In this case the detreminant is given by
\begin{eqnarray}
\det\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)^{-1}\propto \prod_{i<j}\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)^{-1}.
\end{eqnarray}
The generalization of this result to higher $N$ is straightforward. This result is actually exact and it does not require taking the limit $\alpha\longrightarrow 0$ \cite{Eynard:1998fn}. The path integral becomes
\begin{eqnarray}
Z
&=&\int \prod_{i=1}^Nd\phi_i
\prod_{i<j}(\phi_i-\phi_j)^2 \prod_{i<j}\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)^{-1} \exp\bigg(-Nt\sum_{i}\phi_i^2\bigg).\label{patheff}\nonumber\\
\end{eqnarray}
This can also put in the form (with $t=1/g^2$)
\begin{eqnarray}
Z
&=&\int \prod_{i=1}^Nd\phi_i \prod_{i\neq j}\frac{\phi_i-\phi_j}{\phi_i-\phi_j+1}\exp\bigg(-\frac{N}{g^2} \sum_{i}\phi_i^2\bigg).
\end{eqnarray}
We will use the Cauchy formula
\begin{eqnarray}
\sum_{\sigma\in{\cal S}_N}(-1)^{\sigma}\prod_{i=1}^N\bigg(\frac{f(\phi_i)}{\phi_i-\phi_{\sigma(i)}+1}\bigg)&=&\prod_{i=1}^Nf(\phi_i) \prod_{i\neq j}\frac{\phi_i-\phi_j}{\phi_i-\phi_j+1}.
\end{eqnarray}
It is quite illuminating to illustrate this identity for smaller values of $N$. For example we consider $N=3$. We have
\begin{eqnarray}
\sum_{\sigma\in{\cal S}_3}(-1)^{\sigma}\prod_{i=1}^3\bigg(\frac{f(\phi_i)}{\phi_i-\phi_{\sigma(i)}+1}\bigg
&=&\bigg[\frac{1}{\phi_1-\phi_{1}+1}\frac{1}{\phi_2-\phi_{2}+1}\frac{1}{\phi_3-\phi_{3}+1}\nonumber\\
&+&\frac{1}{\phi_1-\phi_{3}+1}\frac{1}{\phi_2-\phi_{1}+1}\frac{1}{\phi_3-\phi_{2}+1}\nonumber\\
&+&\frac{1}{\phi_1-\phi_{2}+1}\frac{1}{\phi_2-\phi_{3}+1}\frac{1}{\phi_3-\phi_{1}+1}\nonumber\\
&-&\frac{1}{\phi_1-\phi_{1}+1}\frac{1}{\phi_2-\phi_{3}+1}\frac{1}{\phi_3-\phi_{2}+1}\nonumber\\
&-&\frac{1}{\phi_1-\phi_{3}+1}\frac{1}{\phi_2-\phi_{2}+1}\frac{1}{\phi_3-\phi_{1}+1}\nonumber\\
&-&\frac{1}{\phi_1-\phi_{2}+1}\frac{1}{\phi_2-\phi_{1}+1}\frac{1}{\phi_3-\phi_{3}+1}\bigg]f(\phi_1)f(\phi_2)f(\phi_3).\label{165}\nonumber\\
\end{eqnarray}
We introduce the notation $T_{ij}=\phi_i-\phi_j$. Then we have
\begin{eqnarray}
\sum_{\sigma\in{\cal S}_3}(-1)^{\sigma}\prod_{i=1}^3\bigg(\frac{f(\phi_i)}{\phi_i-\phi_{\sigma(i)}+1}\bigg)
&=&\frac{f(\phi_1)f(\phi_2)f(\phi_3)}{(T_{12}+1)(T_{21}+1)(T_{13}+1)(T_{31}+1)(T_{23}+1)(T_{32}+1)}\bigg[\nonumber\\
&-&(T_{12}^2-1)(T_{13}^2-1)(T_{23}^2-1)+(-T_{13}+1)(T_{12}+1)(T_{23}+1)\nonumber\\
&+&(-T_{12}+1)(-T_ {23}+1)(T_{13}+1)-(T_{12}^2-1)(T_{13}^2-1)\nonumber\\
&-&(T_{12}^2-1)(T_{23}^2-1)-(T_{13}^2-1)(T_{23}^2-1)\bigg]\nonumber\\
&=&\frac{f(\phi_1)f(\phi_2)f(\phi_3)}{(T_{12}+1)(T_{21}+1)(T_{13}+1)(T_{31}+1)(T_{23}+1)(T_{32}+1)}\bigg[-T_{12}^2T_{13}^2T_{23}^2\nonumber\\
&+&(T_{12}-T_{13}+T_{23})^2\bigg]\nonumber\\
&=&f(\phi_1)f(\phi_2)f(\phi_3)\prod_{i\ne j}\frac{T_{ij}}{T_{ij}+1}.
\end{eqnarray}
By using the Cauchy formula the partition function becomes
\begin{eqnarray}
Z
&=&\sum_{\sigma\in{\cal S}_N}(-1)^{\sigma}\int\prod_{i=1}^N\bigg( d\phi_i \frac{e^{-\frac{N}{g^2} \phi_i^2}}{\phi_i-\phi_{\sigma(i)}+1}\bigg).
\end{eqnarray}
From our earlier considerations it is natural to understand the integrals as contour integrals. The poles are on the real line so we regularize this partition function as follows
\begin{eqnarray}
Z_{\beta}
&=&\sum_{\sigma\in{\cal S}_N}(-1)^{\sigma}\oint\prod_{i=1}^N\bigg( d\phi_i \frac{e^{-\frac{N}{g^2} \phi_i^2+i\beta\phi_i}}{\phi_i-\phi_{\sigma(i)}+1+i\beta}\bigg)~,~\beta >0.
\end{eqnarray}
Thus we close the contours in the upper half-plane. The reason behind this way of regularization is twofold. Firstly among the two poles which may appear for each variable only one will be counted. Secondly the result obtained here will be consistent with the result for Yang-Mills quantum mechanics obtained in \cite{Hoppe:1999xg}.
Since the eigenvalues $\phi_i$ are defined up to a permutation we must also incorporate a combinatorial factor equal $1/N!$. Furthermore the tracelessness condition $Tr\phi=0$ must be included in the form $N\delta(\phi_1+...+\phi_N)$. In summary we get the partition function
\begin{eqnarray}
Z_{\beta}
&=&\frac{1}{(N-1)!}\sum_{\sigma\in{\cal S}_N}(-1)^{\sigma}\oint \delta(\phi_1+...+\phi_N)\prod_{i=1}^N\bigg( d\phi_i \frac{e^{-\frac{N}{g^2} \phi_i^2+i\beta\phi_i}}{\phi_i-\phi_{\sigma(i)}+1+i\beta}\bigg).
\end{eqnarray}
Among the $N!$ integrals there are $(N-1)!$ which are non zero. Let us check this in the case of $N=3$. The contour integrals over $\phi_1$, $\phi_2$ and $\phi_3$ of the last three terms respectively in (\ref{165}) vanish because there are no poles in these variables. The first term in (\ref{165}) vanishes because the contour integrals over $\phi_1$, $\phi_2$ and $\phi_3$ vanish separately. The second and third term in (\ref{165}) lead to identical contributions given by
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{2}\frac{2!}{2!}\oint \delta(\phi_1+\phi_2+\phi_3) \prod_{i=1}^3\bigg( d\phi_i \frac{e^{-\frac{3}{g^2} \phi_i^2+i\beta\phi_i}}{\phi_i-\phi_{i-1}+1+i\beta}\bigg)~,~\phi_0=\phi_3.
\end{eqnarray}
In general we get
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{N-1}\frac{(N-1)!}{(N-1)!}\oint \delta(\phi_1+...+\phi_N)\prod_{i=1}^N\bigg( d\phi_i \frac{e^{-\frac{N}{g^2} \phi_i^2+i\beta\phi_i}}{\phi_i-\phi_{i-1}+1+i\beta}\bigg)~,~\phi_0=\phi_{N}.\nonumber\\
\end{eqnarray}
Next we will perform the integrals over the variables $\phi_2$,...,$\phi_{N-1}$ using the residue theorem. The two remaining integrals over $\phi_1$ and $\phi_N$ will be constrained such that $\phi_1+\phi_N=0$. To see this explicitly we try one more time a small value of $N$ say $N=4$. We have with the notation $i\gamma=1+i\beta$ the partition function
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{4-1}\oint \delta(\phi_1+\phi_2+\phi_3+\phi_4)\prod_{i=1}^4\bigg( d\phi_i \frac{e^{-\frac{4}{g^2} \phi_i^2+i\beta\phi_i}}{\phi_i-\phi_{i-1}+i\gamma}\bigg).
\end{eqnarray}
The pole in the $\phi_2-$plane is at $\phi_2=\phi_3+i\gamma$ and the pole in the $\phi_3-$plane is at $\phi_3=\phi_4+i\gamma$. By using the residue theorem we get
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{4-1}\bigg[-(-2\pi i)^2\oint d\phi_1d \phi_4\delta(\phi_1+3\phi_4+3i\gamma)~e^{-\frac{4}{g^2} \big(\phi_1^2+(\phi_4+2i\gamma)^2+(\phi_4+i\gamma)^2+\phi_4^2\big)}\nonumber\\
&\times &e^{i\beta \big(\phi_1+(\phi_4+2i\gamma)+(\phi_4+i\gamma)+\phi_4\big)} \frac{1}{\phi_1-\phi_4+i\gamma}\frac{1}{\phi_1-\phi_4-3i\gamma}\bigg].
\end{eqnarray}
In general there will be a pole in the $\phi_2-$plane at $\phi_2=\phi_3+i\gamma$, a pole in the $\phi_3-$plane at $\phi_3=\phi_4+i\gamma$, a pole in the $\phi_4-$plane at $\phi_4=\phi_5+i\gamma$...and a pole in the $\phi_{N-1}-$plane at $\phi_{N-1}=\phi_N+i\gamma$. By using the residue theorem we get
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{N-1}\bigg[-(-2\pi i)^{N-2}\oint d\phi_1d \phi_N\delta(\phi_1+(N-1)\phi_N+\frac{1}{2}(N-1)(N-2)i\gamma)\nonumber\\
&\times &e^{-\frac{N}{g^2} \big(\phi_1^2+(\phi_N+(N-2)i\gamma)^2+...+(\phi_N+i\gamma)^2+\phi_N^2\big)}e^{i\beta \big(\phi_1+(\phi_N+(N-2)i\gamma)+...+(\phi_N+i\gamma)+\phi_N\big)}\nonumber\\
&\times & \frac{1}{\phi_1-\phi_N+i\gamma}\frac{1}{\phi_1-\phi_N-(N-1)i\gamma}\bigg].
\end{eqnarray}
The integration over $\phi_1$ will be dominated by the pole at $\phi_1=\phi_N+(N-1)i\gamma$. The delta function becomes
\begin{eqnarray}
\delta(\phi_1+(N-1)\phi_N+\frac{1}{2}(N-1)(N-2)i\gamma)&=&\delta\bigg(N(\phi_N+\frac{1}{2}(N-1)i\gamma)\bigg)\nonumber\\
&=&\delta\bigg(\frac{N}{2}(\phi_1+\phi_N)\bigg).
\end{eqnarray}
In other words we must have (we take the limit $\beta\longrightarrow 0$)
\begin{eqnarray}
Z_{\beta}
&=&(-1)^{N-1}\bigg[-(-2\pi i)^{N-2}\oint d\phi_1d \phi_N\delta\bigg(\frac{N}{2}(\phi_1+\phi_N)\bigg)e^{-\frac{N}{g^2} \big(\phi_1^2+(\phi_N+(N-2))^2+...+(\phi_N+1)^2+\phi_N^2\big)}\nonumber\\
&\times & \frac{1}{\phi_1-\phi_N+1}\frac{1}{\phi_1-\phi_N-(N-1)}\bigg]\nonumber\\
&=&(-1)^{N-1}\bigg[-(-2\pi i)^{N-1}\oint d \phi_N \frac{1}{N}\delta\bigg(\phi_N+\frac{N-1}{2}\bigg)e^{-\frac{N}{g^2} \big(\phi_N^2+(\phi_N+(N-2))^2+...+(\phi_N+1)^2+\phi_N^2\big)} \frac{1}{N}\bigg]\nonumber\\
&=&(-1)^N(2\pi i)^{N-1}\frac{1}{N^2}\exp\bigg(-\frac{N}{g^2}\sum_{m=-\frac{N-1}{2}}^{m=\frac{N-1}{2}}m^2\bigg)\nonumber\\
&=&(-1)^N(2\pi i)^{N-1}\frac{1}{N^2}\exp\bigg(-\frac{N^2}{3g^2}s(s+1)\bigg)~,~s=\frac{N-1}{2}.
\end{eqnarray}
The smallest eigenvalue is $\phi_N=-(N-1)/2$ and the largest eigenvalue is $\phi_1=(N-1)/2$. We observe that $\phi_1=\phi_N+N-1$. We have in total $N=2s+1$ eigenvalues between $\phi_N$ and $\phi_1$ with a step equal $1$, viz $m=(N-1)/2,(N-3)/2,...,-(N-3)/2,-(N-1)/2$. This vacuum configuration corresponds precisely to the $SU(2)$ irreducible representation $s=(N-1)/2$. The vacuum energy defined as the logarithm of the partition function is clearly proportional to the quadratic Casimir in the irreducible representation $s=(N-1)/2$. In summary we have found that the partition function is dominated by the integration in the vicinity of the poles $\phi_i-\phi_j+1=0$ which corresponds to the irreducible representation of $SU(2)$ of size $N$.
\subsection{Saddle-Point Method: The Matrix Phase}
\paragraph{Hermitian Case:}
We will keep assuming that the matrix $\phi$ is hermitian. The effective potential derived from the path integral (\ref{patheff}) is given by
\begin{eqnarray}
-V_{\rm eff}(\phi_i)
&=&-Nt\sum_{i}\phi_i^2+\frac{1}{2}\sum_{i\neq j}\ln (\phi_i-\phi_j)^2-\frac{1}{2}\sum_{i\neq j}\ln\bigg(-t(\phi_i-\phi_j)^2+t\bigg).\nonumber\\
\end{eqnarray}
The saddle point associated with this potential is essentially the inverted oscillator problem which is the analytic continuation of the supersymmetric model considered in \cite{Moore:1998et}. More importantly the observation that the saddle point associated with this potential actually also corresponds to the Baxter's three-colorings problem \cite{baxter}.
As before we will define $t=1/g^2$. The saddle-point equation reads explicitly
\begin{eqnarray}
\frac{2}{g^2}\phi_k
&=&\frac{2}{N}\sum_{i\neq k}\frac{1}{\phi_k-\phi_i}-\frac{1}{N}\sum_{j\neq k}\bigg[\frac{1}{1+\phi_k+\phi_j}-\frac{1}{1-\phi_k-\phi_j}\bigg].
\end{eqnarray}
We introduce the density of eigenvalues and the resolvent given by
\begin{eqnarray}
\rho(x)=\frac{1}{N}\sum_i\delta(x-\phi_i)~,~W(z)=\int dx \frac{\rho(x)}{z-x}.
\end{eqnarray}
The saddle-point equation becomes
\begin{eqnarray}
\frac{2}{g^2}z=2\int dy\frac{\rho(y)}{z-y}-\int dy\bigg[\frac{\rho(y)}{1+z-y}-\frac{\rho(y)}{1-z+y}\bigg].
\end{eqnarray}
In terms of the resolvent this reads
\begin{eqnarray}
\frac{2}{g^2}z=W(z+i\epsilon)+W(z-i\epsilon)+W(-1-z)+W(1-z).\label{sad2}
\end{eqnarray}
We observe that the term $\sum_j1/(1-\phi_k-\phi_j)$ is singular if one of the eigenvalues approaches $1/2$ whereas the term $\sum_j1/(1+\phi_k+\phi_j)$ is singular if one of the eigenvalues approaches $-1/2$. We are interested in the case where the eigenvalues live on a single interval $[a,b]\subset[-1/2,1/2]$. Thus $W(z)$ is analytic everywhere in the complex plane except along the cut $[a,b]$. The above equation can be rewritten as
\begin{eqnarray}
W(z+i\epsilon)=\frac{2}{g^2}z-W(z-i\epsilon)-W(-1-z)-W(1-z)~,~z\in[a,b].
\end{eqnarray}
Thus as the complex number $z$ crosses the cut $[a,b]$ from the first sheet into the second sheet we see that the resolvent $W(z)$ becomes a linear combination of $W(z)$, $W(1-z)$ and $W(-1-z)$. In other words we have three cuts $[a,b]$, $[1-b,1-a]$ and $[-1-b,-1-a]$ in the second sheet. By crossing the cuts $[a,b]$, $[1-b,1-a]$ and $[-1-b,-1-a]$ into the third sheet we generate more cuts. Hence the domain of definition of $W(z)$ is a Riemann surface of infinite genus with an infinite number of cuts in each sheet.
By comparison the one-matrix model (we set $2z/g^2$ to $V^{'}(z)/g^2$ and $W(-1-z)+W(1-z)$ to $0$) yields a Riemann surface with one cut in each of the two possible sheets whereas the $O(n)$-matrix model (we set $2z/g^2$ to $V^{'}(z)/g^2$ and $W(-1-z)+W(1-z)$ to $n W(-z)$) yields a Riemann surface with two cuts in each of the two possible sheets.
We introduce now the notation $z_k=(-1)^k(z-k)$. The saddle-point equation (\ref{sad2}) is equivalent to the loop equation \cite{Eynard:1998fn}
\begin{eqnarray}
S(z)=0.\label{sad3}
\end{eqnarray}
\begin{eqnarray}
S(z
&=&\sum_{k=1}^{+\infty}(f(z_k)+f((1-z)_k)).
\end{eqnarray}
\begin{eqnarray}
f(z)&=&W^2(z)+\frac{1}{2}(W(1-z)+W(-1-z))W(z)-\frac{1}{g^2}(2zW(z)-R(z)).
\end{eqnarray}
The function $S(z)$ has no cut throughout the complex plane and it satisfies $S(z+2)=S(z)$, $S(1-z)=S(z)$. In order to guarantee convergence of the sum we have subtracted the polynomial part $R(z_k)$ of $2z_kW(z_k)$.
Next we can easily verify that the resolvent can be rewritten in terms of the moments $t_n$ of the matrix $\phi$ as
\begin{eqnarray}
W(z
&=&\sum_{n=0}^{\infty}\frac{t_n}{z^{n+1}}~,~t_n=\int dx x^n\rho(x)=\frac{1}{N}Tr \phi^n.
\end{eqnarray}
After a long calculation we can rewrite the saddle-point equation (\ref{sad3}) as
\begin{eqnarray}
T_{q}=\sum_{p=0}^{q-1}T_{q-p-1}T_{p}+2g^2\sum_{p=0}^{\infty}\sum_{m=0}^{\infty}g^{2(p+m)}T_{p}T_{m+q}C^{2(p+m)+1}_{2p}~,~T_q=\frac{t_{2q}}{2g^{2q}}.
\end{eqnarray}
It is not difficult to show now that the free theory $g^2=0$ corresponds to a density of eigenvalues given by the Wigner's semicircle law
\begin{eqnarray}
\rho(x)=\frac{2}{\pi a^2}\sqrt{a^2-x^2}~,~a^2=2g^2.
\end{eqnarray}
A perturbative solution around this free solution can be constructed following the method of \cite{Eynard:1998fn}. However the exact solution as we will see shortly is quite different from the prediction of perturbation theory. This result is rather expected since in the limit of interest $\alpha\longrightarrow 0$ we have $t\longrightarrow 0$ and as a consequence $g^2\longrightarrow \infty$. This conclusion is actually also confirmed By Monte Carlo simulations.
\paragraph{Eigenvalues Distribution:}
As we have already said the analytic continuation of our model is essentially the model studied in \cite{Kazakov:1998ji}. However the exact solution we would like to construct here is entirely based on the eigenvalues distribution of the matrix $\phi$ from which we can calculate all observables of interest to us. This explicit solution is rather different from the sophisticated implicit solution found in \cite{Kazakov:1998ji}. The eigenvalues distribution we will derive shortly is also different from the one presented in \cite{Berenstein:2008eg} and it agrees well with the numerical Monte Carlo simulations.
Let us first recall our notation
\begin{eqnarray}
t=\frac{1}{g^2}=\frac{\alpha^4}{32}.
\end{eqnarray}
Let us next consider the saddle point equation once again. This equation can be rewritten in the form
\begin{eqnarray}
\frac{z}{g^2}=\int dy \frac{\rho(y)}{(z-y)(1-(z-y)^2)}~,~\int dy \rho(y)=1.\label{sad5}
\end{eqnarray}
We have
\begin{eqnarray}
\frac{z}{g^2}&=&\int_{z-L}^{z+L} dx \frac{\rho(z-x)}{x(1-x^2)}\nonumber\\
&=&\rho(z)\int_{z-L}^{z+L} dx \frac{1}{x(1-x^2)}-\rho^{'}(z)\int_{z-L}^{z+L} dx \frac{1}{1-x^2}+\rho^{''}(z)\int_{z-L}^{z+L} dx \frac{x}{2(1-x^2)}+...\nonumber\\
\end{eqnarray}
We have
\begin{eqnarray}
\int \frac{dx}{x(1-x^2)
&=&-\frac{1}{2}\bigg(-\frac{1}{x^2}-\frac{1}{2x^4}+... \bigg).
\end{eqnarray}
\begin{eqnarray}
\int dx \frac{1}{1-x^2
&=&\frac{1}{x}+\frac{1}{3x^3}+...
\end{eqnarray}
\begin{eqnarray}
\int dx \frac{x}{2(1-x^2)}&=&-\frac{1}{4}\ln(x^2-1).
\end{eqnarray}
We will assume $2$ things:
\begin{itemize}
\item{}A quadratic distribution.
\item{}An (infinite) support $[-L,L]$.
\end{itemize}
We get then to leading contribution in $1/L$ the expansion
\begin{eqnarray}
\frac{z}{g^2}
&=&\rho(z)(-\frac{2z}{L^3}+...)-\rho^{'}(z)(\frac{2}{L}+...)+\rho^{''}(z)(-\frac{z}{L}+...)+...
\end{eqnarray}
We assume a quadratic distribution which is also symmetric given by
\begin{eqnarray}
\rho(z)=a+b z^2.
\end{eqnarray}
Normalization gives
\begin{eqnarray}
a=\frac{1}{2L}-\frac{bL^2}{3}.
\end{eqnarray}
The saddle-point equation to leading order in $1/L$ becomes
\begin{eqnarray}
\frac{z}{g^2}
&=&-\frac{6bz}{L}+...
\end{eqnarray}
In other words
\begin{eqnarray}
b=-\frac{1}{g^2}\frac{L}{6}.
\end{eqnarray}
The distribution becomes
\begin{eqnarray}
\rho(z)&=&\frac{1}{2L}+\frac{L^3}{18g^2}-\frac{L}{6g^2}z^2\nonumber\\
&=&\frac{L}{6g^2}(L^2-z^2)\nonumber\\
&=&\frac{3}{4L^3}(L^2-z^2).
\end{eqnarray}
We imposed the condition
\begin{eqnarray}
\frac{1}{2L}+\frac{L^3}{18g^2}=\frac{L^3}{6g^2}~\Leftrightarrow L=(\frac{9}{2})^{\frac{1}{4}}\sqrt{g}.
\end{eqnarray}
By performing the rescaling $z\longrightarrow z_0=(L_0/L)z$ we can bring the above distribution to the form
\begin{eqnarray}
\rho_0(z_0)
&=&\frac{3}{4L_0^3}(L_0^2-z_0^2).
\end{eqnarray}
This can be derived from the same saddle-point equation (\ref{sad5}) and therefore the same path integral (\ref{patheff}) with a coupling constant $t_0=1/g_0^2$ where $g_0$ is defined by the equation
\begin{eqnarray}
L_0=(\frac{9}{2})^{\frac{1}{4}}\sqrt{g_0}.
\end{eqnarray}
The original normalization of the matrices corresponds to $L_0/L=\alpha\phi$. Thus we have
\begin{eqnarray}
L_0&=&\alpha\phi L\nonumber\\
&=&2\sqrt{3}\phi\nonumber\\
&=&\sqrt{3}(1+\sqrt{1-4\tilde{\beta}}).
\end{eqnarray}
This is independent of $N$ and $\alpha$ which is precisely what we observe in Monte Carlo simulations. For the value of $\tilde{\beta}$ at hand which for $\tilde{\zeta}_0=-1/24$ is $\tilde{\beta}=1/4$ we get the prediction $L_0=\sqrt{3}$. If we simply apply this formula for $\tilde{\beta}=2/9$ we obtain the prediction $L_0=4/\sqrt{3}=2.31$ which should be compared with the measured value $L_0=2.85$.
Since the above distribution will work only for large $L$ it must only be valid for large $g^2$ which is equivalent to small $\alpha$. This is the regime of the matrix phase. We must have then
\begin{eqnarray}
L>>1\Leftrightarrow g^2>>\frac{2}{9}.
\end{eqnarray}
In other words we must have the following lower estimate of the critical value
\begin{eqnarray}
\alpha<<\alpha_*=2\sqrt{3}
\end{eqnarray}
\paragraph{Antihermitian Case:}
The above distribution is the same distribution which was found for large values of $g^2$ for the antihermitian model in \cite{Berenstein:2008eg}. However the crucial difference is the functional dependence of $L$ on $g$ which we will now briefly discuss.
To get the model of \cite{Kazakov:1998ji} and \cite{Berenstein:2008eg} we must assume that $\phi$ is antihermitian and take $\kappa_1-2\epsilon>0$ and $\kappa_1<0$, i.e. $\zeta_0>0$. We get the path integral
\begin{eqnarray}
Z=\int d{\phi}~dX_1~dX_2 \exp N t\bigg(-2iTr\phi[X_1,X_2]+Tr\phi^2-TrX_i^2\bigg).
\end{eqnarray}
In this case
\begin{eqnarray}
t
&=&-\frac{\alpha^4}{32}.
\end{eqnarray}
Integration over $X_1$ and $X_2$ yields
\begin{eqnarray}
Z
&=&\int \prod_{i=1}^Nd\phi_i
\prod_{i<j}(\phi_i-\phi_j)^2 \prod_{i<j}\bigg(-Nt(\phi_i-\phi_j)^2+Nt\bigg)^{-1} \exp\bigg(Nt\sum_{i}\phi_i^2\bigg).\nonumber\\
\end{eqnarray}
We get the effective potential (shifting the eigenvalues as $\phi_i\longrightarrow i\phi_i$)
\begin{eqnarray}
-V_{\rm eff}(\phi_i)
&=&-Nt\sum_{i}\phi_i^2+\frac{1}{2}\sum_{i\neq j}\ln (\phi_i-\phi_j)^2-\frac{1}{2}\sum_{i\neq j}\ln\bigg(t(\phi_i-\phi_j)^2+t\bigg).
\end{eqnarray}
The saddle-point equation is
\begin{eqnarray}
\frac{1}{g^2}\phi_k=\frac{1}{N}\sum_{i\neq k}\frac{1}{(\phi_k-\phi_i)\big(1+(\phi_k-\phi_i)^2\big)}.\label{sad1}
\end{eqnarray}
Therefore in this case the saddle-point equation is given by
\begin{eqnarray}
\frac{z}{g^2}=\int dy \frac{\rho(y)}{(z-y)(1+(z-y)^2)}.
\end{eqnarray}
We go now through the same steps. We have
\begin{eqnarray}
\frac{z}{g^2}&=&\int_{z-L}^{z+L} dx \frac{\rho(z-x)}{x(1+x^2)}\nonumber\\
&=&\rho(z)\int_{z-L}^{z+L} dx \frac{1}{x(1+x^2)}-\rho^{'}(z)\int_{z-L}^{z+L} dx \frac{1}{1+x^2}+\rho^{"}(z)\int_{z-L}^{z+L} dx \frac{x}{2(1+x^2)}+...\nonumber\\
&=&-\frac{1}{2}\rho(z)\ln(1+\frac{1}{x^2})|_{z-L}^{z+L}-\rho^{'}(z)\arctan x|_{z-L}^{z+L}+\frac{1}{4}\rho^{"}(z)\ln(1+x^2)|_{z-L}^{z+L}+...\nonumber\\
\end{eqnarray}
Again we assume a symmetric quadratic distribution. As before only the above three terms will contribute. The first term is still of order $1/L^3$, the third term is still of order $1/L$ whereas the second term becomes of order $1$.
The saddle-point equation to leading order in $1/L$ becomes
\begin{eqnarray}
\frac{z}{g^2}
&=&-\pi\rho^{'}(z)+...
\end{eqnarray}
We immediately obtain
\begin{eqnarray}
\rho(z)=-\frac{z^2}{2\pi g^2}+a.
\end{eqnarray}
Normalization gives
\begin{eqnarray}
a=\frac{1}{2L}+\frac{L^2}{6\pi g^2}.
\end{eqnarray}
We obtain the distribution
\begin{eqnarray}
\rho(z)&=&\frac{1}{2\pi g^2}(2\pi g^2 a-z^2)\nonumber\\
&=&\frac{3}{4L^3}(L^2 -z^2).
\end{eqnarray}
We imposed the condition
\begin{eqnarray}
L^2=2\pi g^2 a\Leftrightarrow L=(\frac{3\pi}{2})^{\frac{1}{3}}g^{\frac{2}{3}}.
\end{eqnarray}
By comparing with the numerical results we will find that the hermitian prediction is more accurate than this antihermitian calculation.
\section{Summary and Future Directions}
In this article we employed supersymmetry, cohomological deformation, localization and the saddle-point method as well as the Monte Carlo method to study nonperturbatively Yang-Mills matrix models in $D=4$ with mass terms. We can summarize the main results, findings and conjectures of this work as follows:
\begin{itemize}
\item{}By imposing the requirement of supersymmetry and $SO(3)$ covariance we have shown that there exists a single mass deformed Yang-Mills quantum mechanics in $D=4$ which preserves all four real supersymmetries of the original theory although in a deformed form. This is the $4$ dimensional analogue of the $10$ dimensional BMN model. Full reduction yields a unique mass deformed $D=4$ Yang-Mills matrix model. This latter $4$ dimensional model is the analogue of the $10$ dimensional IKKT model.
\item{} By using cohomological deformation of supersymmetry we constructed a one-parameter ($\zeta_0$) family of cohomologically deformed $D=4$ Yang-Mills matrix models which preserve two supercharges. The mass deformed model is one limit ($\zeta_0\longrightarrow 0$) of this
one-parameter family of cohomologically deformed Yang-Mills models.
\item{}We studied the models with the values $\tilde{\beta}=0$ and $\tilde{\beta}=2/9$ where $\tilde{\beta}$ is the mass parameter of the bosonic matrices $X_a$. The second model is special in the sense that classically the configurations $X_a\sim L_a,X_4=0$ is degenerate with the configuration $X_a=0,X_4=0$.
\item{}The Monte Carlo simulation of the bosonic $D=4$ Yang-Mills matrix model with mass terms shows the existence of an exotic first/second order transition from a phase with a well defined background geometry given by the famous fuzzy sphere to a phase with commuting matrices with no geometry in the sense of Connes. The transition looks first order due to the jump in the action whereas it looks second order due to the divergent peak in the specific heat.
\item{}The fuzzy sphere is less stable as we increase the mass term of the bosonic matrices $X_a$, i.e. as we increase $\tilde{\beta}$. For $\tilde{\beta}=2/9$ we find the critical value $\tilde{\alpha}_*=4.9$ whereas for $\tilde{\beta}=0$ we find the critical value $\tilde{\beta}=2.55$.
\item{}The measured critical line in the plane $\tilde{\alpha}-\tilde{\beta}$ agrees well with the theoretical prediction coming from the effective potential calculation.
\item{}The order parameter of the transition is given by the inverse radius of the sphere defined by $1/r=Tr X_a^2/(\tilde{\alpha}^2c_2)$. The radius is equal to $1/\phi^2$ (where $\phi$ is the classical configuration) in the fuzzy sphere phase. At the transition point the sphere expands abruptly to infinite size. Then as we decrease the inverse temperature (the inverse gauge coupling constant) $\tilde{\alpha}$, the size of the sphere shrinks fast to $0$, i.e. the sphere evaporates.
\item{}The fermion determinant is positive definite for all gauge configurations in $D=4$. We have conjectured that the path integral is convergent as long as the scalar curvature (the mass of the fermionic matrices) is zero.
\item{}We have simulated the two models $\tilde{\beta}=0$ and $\tilde{\beta}=2/9$ with dynamical fermions. The model with $\tilde{\beta}=0$ has two supercharges while the model $\tilde{\beta}=2/9$ has a softly broken supersymmetry since in this case we needed to set by hand the scalar curvature to zero in order to regularize the path integral.
Thus $\tilde{\beta}=0$ is amongst the very few models (which we known of) with exact supersymmetry which can be probed and accessed with the Monte Carlo method.
\item{}The fuzzy sphere is stable for the supersymmetric $D=4$ Yang-Mills matrix model with mass terms in the sense that the bosonic phase transition is turned into a very slow crossover transition. The transition point $\tilde{\alpha}$ is found to scale to zero with $N$. There is no jump in the action nor a peak in the specific heat.
\item{}The fuzzy sphere is stable also in the sense that the radius is equal $1/\phi^2$ over a much larger region then it starts to decrease slowly as we decrease the inverse temperature $\tilde{\alpha}$ until it reaches $0$ at $\tilde{\alpha}=0$. We claim that the value where the radius starts decreasing becomes smaller as we increase $N$.
The model at $\tilde{\alpha}=0$ can never sustain the geometry of the fuzzy sphere since it is the non deformed model so in some sense the transition to commuting matrices always occurs and in the limit $N\longrightarrow \infty$ it will occur at $\tilde{\alpha}_*\longrightarrow 0$.
\item{}We have spent a lot of time in trying to determine the eigenvalues distributions of the matrices $X_{\mu}$ in both the bosonic and supersymmetric theories. A universal behavior seems to emerge with many subtleties. These can be summarized as follows:
\begin{itemize}
\item{}In the fuzzy sphere the matrices $X_a$ are given by the $SU(2)$ irreducible representations $L_a$. For example diagonalizing the matrix $X_3$ gives $N$ eigenvalues between $(N-1)/2$ and $-(N-1)/2$ with a step equal $1$, viz $m=(N-1)/2,(N-3)/2,...,-(N-3)/2,-(N-1)/2$.
\item{}In the matrix phase the matrices $X_{\mu}$ become commuting. More explicitly the eigenvalues distribution of any of the matrices $X_{\mu}$ in the matrix phase is given by the non-polynomial law
\begin{eqnarray}
\rho_4(x)=\frac{8}{3\pi R^4}(R^2-x^2)^{\frac{3}{2}}.
\end{eqnarray}
This can be obtained from the conjecture that the joint probability distribution of the four matrices $X_{\mu}$ is uniform inside a solid ball with radius $R$.
\item{}In the matrix phase the eigenvalues distribution of any of the $X_a$, say $X_3$, is given by the above non-polynomial law with a radius $R$ independent of $\tilde{\alpha}$ and $N$.
\item{}This is also confirmed by computing the radius in this distribution and comparing to the Monte Carlo data.
\item{}A very precise measurement of the transition point can be made by observing the point at which the eigenvalues distribution of $X_3$ undergoes the transition from the $N$-cut distribution to the above non-polynomial law.
\item{}The eigenvalues distribution of $X_4$ is always given by the above non-polynomial law, i.e. for all values of $\tilde{\alpha}$, with a radius $R$ which depends on $\tilde{\alpha}$ and $N$.
\item{}Another signal that the matrix phase is fully reached is when the eigenvalues distribution of $X_4$ coincides with that of $X_3$. From this point downward the eigenvalues distribution of $X_4$ ceases to depend on $\tilde{\alpha}$ and $N$.
\item{}Monte Carlo measurements seems to indicate that $R=1.8$ for bosonic models and $R=2.8$ for supersymmetric models. The distribution becomes wider in the supersymmetric case.
\item{}We have also observed that the eigenvalues of the normal scalar field $X_a^2-c_2$ in the fuzzy sphere are also distributed according to the above non-polynomial law. This led us to the conjecture that the eigenvalues of the gauge field on the background geometry are also distributed according to the above non-polynomial law. Recall that the normal scalar field is the normal component of the gauge field to the background geometry which is the sphere here.
\end{itemize}
\item{}In the $D=3$ Yang-Mills matrix model with mass terms the eigenvalues distribution becomes polyonomial (parabolic) given by
\begin{eqnarray}
\rho_3(x)=\frac{3}{4R^3}(R^2-x^2).
\end{eqnarray}
It was difficult for us in this article to differentiate with certainty between the two distributions $\rho_4$ and $\rho_3$ in the three dimensional setting.
\item{}We have also attempted to compute the above eigenvalues distributions analytically. Using localization techniques we were able to find a special set of parameters for which the $D=4$ Yang-Mills matrix model with mass terms can be reduced to the three dimensional Chern-Simons (CS) matrix model. The saddle-point method leads then immediately to the eigenvalues distributions $\rho_3$. We believe that our theoretical prediction for the value of $R$ is reasonable compared to the Monte Carlo value.
\item{}We have also made a preliminary comparison between the dependence of $R$ on $\alpha$ in the hermitian and antihermitian CS matrix models. The hermitian case seems more appropriate for the description of the eigenvalues of $X_3$ whereas the antihermitian case may be relevant to the description of the eigenvalues of $X_4$.
\item{}Finally, we conjecture that the transition from a background geometry to the phase of commuting matrices is associated with spontaneous supersymmetry breaking. Indeed mass deformed supersymmetry preserves the fuzzy sphere configuration but not diagonal matrices.
\end{itemize}
Among the future directions that can be considered we will simply mention the following four points:
\begin{itemize}
\item{}Higher precision Monte Carlo simulations of the models studied in this article is the first obvious direction for future investigation. The most urgent question (in our view) is the precise determination of the behavior of the eigenvalues distributions in $D=4$ and $D=3$. An analytical derivation of $\rho_3$ and especially $\rho_4$ is an outstanding problem.
\item{}Finding matrix models with emergent $4$ dimensional background geometry is also an outstanding problem.
\item{}Models for emergent time, and to a lesser extent emergent gravity, and as a consequence emergent cosmology are very rare.
\item{}Monte Carlo simulation of supersymmetry based on matrix models seems to be a very promising goal.
\end{itemize}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 6,009 |
{"url":"https:\/\/encyclopediaofmath.org\/wiki\/Simplicial_set","text":"# Simplicial set\n\n(formerly called semi-simplicial complex, full semi-simplicial complex)\n\nA simplicial object in the category of sets $\\mathop{\\rm Ens}$( cf. Simplicial object in a category), that is, a system of sets ( $n$- fibres) $K _ {n}$, $n \\geq 0$, connected by mappings $d _ {i} : K _ {n} \\rightarrow K _ {n - 1 }$, $0 \\leq i \\leq n$( boundary operators), and $s _ {i} : K _ {n} \\rightarrow K _ {n + 1 }$, $0 \\leq i \\leq n$ (degeneracy operators), satisfying the conditions\n\n$$d_i d_j = d_{j-1} d_i \\ \\textrm{if}\\; i<j \\,,$$ $$\\tag{*} s_i s_j = s_{j+1} s_i \\ \\textrm{if}\\; i \\le j \\,;$$ $$d_i s_j = \\left\\lbrace\\begin{array}{cl} s_{j-1} d_i & \\textrm{if}\\; i<j\\,,\\\\ \\mathrm{id} & \\textrm{if}\\; i=j \\ \\textrm{or}\\; i=j+1\\,,\\\\ s_j d_{i-1} & \\textrm{if}\\; i>j+1\\ . \\end{array}\\right.$$\n\nThe elements of the fibre $K _ {n}$ are called the $n$-dimensional simplices of the simplicial set $K$. If only the operators $d _ {i}$ are given, satisfying the relations $d _ {i} d _ {j} = d _ {j - 1 } d _ {i}$, $i < j$, then the system $\\{ K _ {n} , d _ {n} \\}$ is called a semi-simplicial set.\n\nA simplicial mapping $f: K \\rightarrow K ^ \\prime$ between two simplicial sets $K$ and $K ^ \\prime$ is a morphism of functors, i.e. a sequence of mappings $f _ {n} : K _ {n} \\rightarrow K _ {n} ^ \\prime$, $n \\geq 0$, satisfying the relations\n\n$$d _ {i} f _ {n + 1 } = f _ {n} d _ {i} ,\\ \\ 0 \\leq i \\leq n + 1; \\ \\ s _ {i} f _ {n} = f _ {n + 1 } s _ {i} ,\\ \\ 0 \\leq i \\leq n.$$\n\nSimplicial sets and their simplicial mappings form a category, $\\Delta ^ {0} \\mathop{\\rm Ens}$. If all the $f _ {n}$ are imbeddings, then $K$ is called a simplicial subset of $K ^ \\prime$. In this case, the boundary and degeneracy operators in $K$ are the restrictions to $K$ of the corresponding operators in $K ^ \\prime$.\n\nGiven any topological space $X$, one can define a simplicial set $S ( X)$, called the singular simplicial set of the space $X$. Its simplices are the singular simplices of $X$( see Singular homology), i.e. continuous mappings $\\sigma : \\Delta ^ {n} \\rightarrow X$, where $\\Delta ^ {n}$ is the $n$- dimensional geometric standard simplex:\n\n$$\\Delta ^ {n} = \\ \\left \\{ { ( t _ {0} \\dots t _ {n} ) } : { 0 \\leq t _ {i} \\leq 1,\\ \\sum _ {i = 0 } ^ { n } t _ {i} = 1 } \\right \\} \\subset \\ \\mathbf R ^ {n + 1 } .$$\n\nThe boundary operators $d _ {i}$ and degeneracy operators $s _ {i}$ of this simplicial set are defined by the formulas\n\n$$( d _ {i} \\sigma ) ( t _ {0} \\dots t _ {n - 1 } ) = \\ \\sigma ( t _ {0} \\dots t _ {i - 1 } ,\\ 0, t _ {i} \\dots t _ {n - 1 } ),$$\n\n$$( s _ {i} \\sigma ) ( t _ {0} \\dots t _ {n + 1 } ) =$$\n\n$$= \\ \\sigma ( t _ {0} \\dots t _ {i - 1 } , t _ {i} + t _ {i + 1 } , t _ {i+ 2 } \\dots t _ {n + 1 } ).$$\n\nThe correspondence $X \\mapsto S ( X)$ is a functor (called the singular functor) from the category of topological spaces $\\mathop{\\rm Top}$ into the category of simplicial sets $\\Delta ^ {0} \\mathop{\\rm Ens}$.\n\nAn arbitrary simplicial complex $K$ determines a simplicial set $O ( K)$. Its $n$- dimensional simplices are the $( n + 1)$- tuples $( x _ {0} \\dots x _ {n} )$ of vertices of $K$ with the property that there is a simplex $s$ in $K$ such that $x _ {i} \\in s$ for $i = 0 \\dots n$. The operators $d _ {i}$ and $s _ {i}$ for this simplicial set are given by\n\n$$d _ {i} ( x _ {0} \\dots x _ {n} ) = \\ ( x _ {0} \\dots \\widehat{x} _ {i} \\dots x _ {n} ),$$\n\n$$s _ {i} ( x _ {0} \\dots x _ {n} ) = ( x _ {0} \\dots x _ {i} , x _ {i} , x _ {i + 1 } \\dots x _ {n} ),$$\n\nwhere $\\widehat{ {}}$ means that the symbol below it is omitted. If $K$ is ordered, then the simplices $( x _ {0} \\dots x _ {n} )$ for which $x _ {0} \\leq \\dots \\leq x _ {n}$ form a simplicial subset $O ^ {+} ( K)$ of $O ( K)$. The correspondence $K \\mapsto O ( K)$( $K \\mapsto O ^ {+} ( K)$) is a functor from the category of simplicial complexes (ordered simplicial complexes) into the category $\\Delta ^ {0} \\mathop{\\rm Ens}$.\n\nFor an arbitrary group $\\pi$ one can define a simplicial set $K ( \\pi )$. Its $n$- simplices are equivalence classes of $( n + 1)$- tuples $( x _ {0} : \\dots : x _ {n} )$, $x _ {i} \\in \\pi$( where $( x _ {0} : \\dots : x _ {n} ) \\sim ( x _ {0} ^ \\prime : \\dots : x _ {n} ^ \\prime )$ if there is an element $y \\in \\pi$ such that $x _ {i} ^ \\prime = yx _ {i}$ for all $i = 0 \\dots n$). The operators $d _ {i}$ and $s _ {i}$ of $K ( \\pi )$ are given by\n\n$$d _ {i} ( x _ {0} : \\dots : x _ {n} ) = \\ ( x _ {0} : \\dots : x _ {i - 1 } : \\ x _ {i + 1 } : \\dots : x _ {n} ),$$\n\n$$s _ {i} ( x _ {0} : \\dots : x _ {n} ) = ( x _ {0} : \\dots : x _ {i - 1 } : x _ {i} : x _ {i} : x _ {i + 1 } : \\dots : x _ {n} ).$$\n\nThe simplicial set $K ( \\pi )$ is actually a simplicial group.\n\nGiven an arbitrary Abelian group $\\pi$ and any integer $n \\geq 1$, one can define a simplicial set (in fact, a simplicial Abelian group) $E ( \\pi , n)$. Its $q$- dimensional simplices are the $n$- dimensional cochains of the $q$- dimensional geometric standard simplex $\\Delta ^ {q}$ with coefficients in $\\pi$( that is, $E ( \\pi , n) _ {q} = C ^ {n} ( \\Delta ^ {q} ; \\pi )$). Denoting the vertices of $\\Delta ^ {q}$ by $e _ {j} ^ {q}$, $j = 0 \\dots q$, one defines the simplicial mappings $\\delta _ {i} : \\Delta ^ {q - 1 } \\rightarrow \\Delta ^ {q}$ and $\\sigma _ {i} : \\Delta ^ {q} \\rightarrow \\Delta ^ {q - 1 }$ by the formulas\n\n$$\\delta _ {i} ( e _ {j} ^ {q - 1 } ) = \\ \\left \\{ \\begin{array}{ll} e _ {j} ^ {q} &\\textrm{ if } j < i, \\\\ e _ {j + 1 } ^ {q} &\\textrm{ if } j \\geq i; \\\\ \\end{array} \\right .$$\n\n$$\\sigma _ {i} ( e _ {j} ^ {q} ) = \\left \\{ \\begin{array}{ll} e _ {j} ^ {q - 1 } &\\textrm{ if } j \\leq i, \\\\ e _ {j - 1 } ^ {q - 1 } &\\textrm{ if } j > i. \\\\ \\end{array} \\right .$$\n\nThe induced homomorphisms of cochain groups\n\n$$d _ {i} = \\ \\delta _ {i} ^ {*} : \\ C ^ {n} ( \\Delta ^ {q} ; \\pi ) \\rightarrow \\ C ^ {n} ( \\Delta _ {q - 1 } ; \\pi ),$$\n\n$$s _ {i} = \\sigma _ {i} ^ {*} : C ^ {n} ( \\Delta ^ {q - 1 } , \\pi ) \\rightarrow C ^ {n} ( \\Delta ^ {q} ; \\pi )$$\n\nare, by definition, the boundary and degeneracy operators of the simplicial set $E ( \\pi , n)$. The simplices that are cocycles form a simplicial subset of $E ( \\pi , n)$, called the Eilenberg\u2013MacLane simplicial set and denoted by $K ( \\pi , n)$. The coboundary operator on the groups $C ^ {*} ( \\Delta ^ {q} ; \\pi )$ defines a canonical simplicial mapping $E ( \\pi , n) \\rightarrow K ( \\pi , n + 1)$, denoted by $\\delta$. Since the concept of a one-dimensional cocycle also makes sense when $\\pi$ is non-Abelian (see Non-Abelian cohomology), the simplicial set $K ( \\pi , 1)$ can be defined without the assumption that $\\pi$ is Abelian. This simplicial set is isomorphic to the simplicial set $K ( \\pi )$( by assigning to every simplex $z \\in K ( \\pi , 1) _ {q} = Z ^ {1} ( \\Delta ^ {q} , \\pi )$ the values at the vertices $e _ {j} ^ {q}$ of a zero-dimensional cochain whose coboundary is $z$).\n\nBy assigning to every fibre $K _ {n}$ of a simplicial set $K$ the free Abelian group generated by it, one obtains a simplicial Abelian group and thus a chain complex. This complex is denoted by $C ( K)$ and is called the chain complex of $K$. The (co)homology groups of $C ( K)$( with coefficients in a group $G$) are called the (co) homology groups $H ( K; G)$ and $H ^ {*} ( K; G)$ of $K$. The (co)homology groups of a singular simplicial set $S ( X)$ are the (co)homology groups of the space $X$. The (co)homology groups of $O ( K)$ and $O ^ {+} ( K)$ are isomorphic and are called the (co) homology groups of the simplicial complex $K$. The (co)homology groups of the simplicial set $K ( \\pi )$ are the (co) homology groups of $\\pi$.\n\nA simplex $x \\in K _ {n}$ of a simplicial set $K$ is called degenerate if there is a simplex $y \\in K _ {n - 1 }$ and a degeneracy operator $s _ {i}$ such that $x = s _ {i} y$. The Eilenberg\u2013Zil'ber lemma states that any simplex $x \\in K _ {n}$ can be uniquely written in the form $x = K ( s) y$, where $s$ is a certain epimorphism $s _ {i} : [ n] \\rightarrow [ m]$, $m \\leq n$, and $y \\in K _ {m}$ is a non-degenerate simplex. The smallest simplicial subset of a simplicial set $K$ containing all its non-degenerate simplices of dimension at most $n$ is denoted by $K ^ {n}$ or $\\mathop{\\rm Sk} ^ {n} K$, and is called the $n$- dimensional skeleton or $n$- skeleton of $K$.\n\nThe standard geometric simplices (cf. Standard simplex)\n\n$$\\Delta ^ {n} = \\ \\left \\{ { ( t _ {0} \\dots t _ {n} ) } : { 0 \\leq t _ {i} \\leq 1,\\ \\sum _ {i = 0 } ^ { n } t _ {i} = 1 } \\right \\} \\subset \\ \\mathbf R ^ {n + 1 }$$\n\nform a co-simplicial topological space with respect to the co-boundary operators $\\delta _ {i}$ and co-degeneracy operators $\\sigma _ {i}$, defined by the formulas\n\n$$\\delta _ {i} ( t _ {0} \\dots t _ {n - 1 } ) = \\ ( t _ {0} \\dots t _ {i - 1 } , 0,\\ t _ {i} \\dots t _ {n - 1 } ),$$\n\n$$\\sigma _ {i} ( t _ {0} \\dots t _ {n + 1 } ) = ( t _ {0} \\dots t _ {i - 1 } , t _ {i} + t _ {i + 1 } , t _ {i + 2 } \\dots t _ {n + 1 } ).$$\n\nIn the disjoint union $\\cup _ {n = 0 } ^ \\infty K _ {n} \\times \\Delta ^ {n}$, where all the $K _ {n}$ are regarded as discrete sets, the formulas\n\n$$( d _ {i} x, u) \\sim \\ ( x, \\delta _ {i} u),\\ \\ x \\in K _ {n} ,\\ \\ u \\in \\Delta ^ {n - 1 } ;$$\n\n$$( s _ {i} x, u) \\sim ( x, \\sigma _ {i} u),\\ x \\in K _ {n} ,\\ u \\in \\Delta ^ {n + 1 } ,$$\n\ngenerate an equivalence relation, the quotient space by which is a complex (a cellular space) whose cells are in one-to-one correspondence with the non-degenerate simplices of $K$. This complex is denoted by $| K |$ or $RK$ and is called the geometric realization in the sense of Milnor of $K$. Any simplicial mapping $f: K \\rightarrow L$ induces a continuous mapping $Rf: RK \\rightarrow RL$, given by\n\n$$Rf [ x, u] = \\ [ f ( x), u] ,$$\n\nand the correspondence $K \\mapsto RK$, $f \\mapsto Rf$ defines a functor $R: \\Delta ^ {0} \\mathop{\\rm Ens} \\rightarrow \\mathop{\\rm Top}$. This functor is left adjoint to the singular functor $S: \\mathop{\\rm Top} \\rightarrow \\Delta ^ {0} \\mathop{\\rm Ens}$. The corresponding natural isomorphisms\n\n$$\\phi : \\Delta ^ {0} \\mathop{\\rm Ens} ( K, S ( X)) \\rightarrow \\ \\mathop{\\rm Top} ( RK, X),$$\n\n$$\\psi : \\mathop{\\rm Top} ( RK, X) \\rightarrow \\Delta ^ {0} \\mathop{\\rm Ens} ( K, S ( X))$$\n\nare defined by the formulas\n\n$$\\phi ( f ) [ x, u] = f ( x) ( u),$$\n\n$$( \\psi ( g) ( x)) ( u) = g [ x, u],$$\n\nwhere\n\n$$x \\in K _ {n} ,\\ \\ u \\in \\Delta ^ {n} ,\\ \\ f \\in \\Delta ^ {0} \\mathop{\\rm Ens} ( K, S ( X)),\\ \\ g \\in \\mathop{\\rm Top} ( RK, X).$$\n\nFor any topological space $X$ the adjunction morphism $\\Phi ( X): RS ( X) \\rightarrow X$ is a weak homotopy equivalence (which proves that any topological space is weakly homotopy equivalent to a complex).\n\nThe construction of the geometric realization $| K |$ extends to the case of a simplicial topological space $K$. One can also define the geometric realization $\\| K \\|$ in the sense of Giever\u2013Hu by taking only the boundary operators $d _ {i}$ into account (in this model there are cells for all the simplices of $K$, not just for the non-degenerate ones). If every degeneracy operator $s _ {i}$ is a closed cofibration (a condition which holds automatically in the case of a simplicial set), then the natural mapping $p: \\| K \\| \\rightarrow | K |$ is a homotopy equivalence.\n\nThe category $\\Delta ^ {0} \\mathop{\\rm Ens}$ admits products: given simplicial sets $K = \\{ K _ {n} , d _ {i} ^ {K} , s _ {i} ^ {K} \\}$ and $L = \\{ L _ {n} , d _ {i} ^ {L} , s _ {i} ^ {L} \\}$, their product is the simplicial set $K \\times L$ for which\n\n$$( K \\times L) _ {n} = K _ {n} \\times L _ {n} ,$$\n\n$$d _ {i} ^ {K \\times L } = d _ {i} ^ {K} \\times d _ {i} ^ {L} ,$$\n\n$$s _ {i} ^ {K \\times L } = s _ {i} ^ {K} \\times s _ {i} ^ {L} .$$\n\nIn particular, given any simplicial set $K$, one can define its product with the simplicial segment $\\Delta ^ {1}$. The projections $\\pi _ {1} : K \\times L \\rightarrow K$ and $\\pi _ {2} : K \\times L \\rightarrow L$ define a bijective mapping\n\n$$R \\pi _ {1} \\times R \\pi _ {2} : R ( K \\times L) \\rightarrow RK \\times RL,$$\n\nwhich is a homeomorphism if the product $RK \\times RL$ is a complex (for example, if both simplicial sets $K$ and $L$ are countable or if one of the complexes $RK$, $RL$ is locally finite). In particular, it follows that the geometric realization of any countable simplicial monoid (group, Abelian group) is a topological monoid (group, Abelian group).\n\nTwo simplicial mappings $f, g: K \\rightarrow L$ are called homotopic if there is a simplicial mapping (a homotopy) $F: K \\times \\Delta ^ {1} \\rightarrow L$ such that\n\n$$F ( x, sd _ {0} t _ {1} ) = f ( x),$$\n\n$$F ( x, sd _ {1} t _ {1} ) = g ( x)$$\n\nfor any simplex $x \\in K _ {n}$ and for any composition $s$( of length $n$) of degeneracy operators. This definition (modelled on the usual definition of homotopy of continuous mappings) is equivalent to the interpretation in simplicial sets of the general definition of homotopy of simplicial mappings between arbitrary simplicial objects (see Simplicial object in a category).\n\nGiven the notion of homotopy, it is possible to develop a homotopy theory for simplicial sets similar to that for polyhedra. It turns out that these two theories are completely parallel; this finds expression in the fact that the corresponding homotopy categories are equivalent (the equivalence being induced by the geometric realization functor). In particular, geometric realizations of homotopic simplicial mappings are homotopic and, for example, the geometric realization of $K ( \\pi , n)$ is the Eilenberg\u2013MacLane space $K ( \\pi , n)$. However, the actual construction of the homotopy theory for simplicial sets differs slightly in its details from the construction of the homotopy theory for topological spaces. The main difference is that the relation of homotopy for simplicial mappings is not, in general, an equivalence relation. This difficulty is overcome in the following way.\n\nA simplicial mapping $\\Lambda _ {k} ^ {n} \\rightarrow K$ of the standard horn (see Standard simplex) into a simplicial set $K$ is called a horn in $K$. Every horn is uniquely defined by an $( n + 1)$- tuple of $n$- simplices $x _ {0} \\dots x _ {k - 1 } , x _ {k + 1 } \\dots x _ {n + 1 }$, for which $d _ {i} x _ {j} = d _ {j - 1 } x _ {i}$ for all $i < j$, $i \\neq k$. One says that a horn fills out if one can find an $( n + 1)$- dimensional simplex $x$ such that $d _ {i} x = x _ {i}$ for every $i \\neq k$. The simplicial set $K$ is said to be full (or to satisfy the Kan condition) if all its horns fill out.\n\nThe singular simplicial set $S ( X)$ of an arbitrary topological space $X$ is always full, and so is every simplicial group; in particular, the Eilenberg\u2013MacLane simplicial sets $K ( \\pi )$ and $K ( \\pi , n)$ are full. The importance of full simplicial sets lies in the fact that the relation of homotopy between simplicial mappings from an arbitrary simplicial set to a full simplicial set is an equivalence relation. Therefore, in the subcategory of full simplicial sets, the construction of a homotopy theory involves no major difficulties. Moreover, there is a functor (see [4]) $\\mathop{\\rm Ex} ^ \\infty : \\Delta ^ {0} \\mathop{\\rm Ens} \\rightarrow \\Delta ^ {0} \\mathop{\\rm Ens}$ assigning to every simplicial set $K$ a full simplicial set, $\\mathop{\\rm Ex} ^ \\infty K$, whose geometric realization is homotopy equivalent to the geometric realization of $K$ and which can therefore be used in place of $K$ in all questions of homotopy.\n\nTwo $n$- simplices $x$ and $x ^ \\prime$ of a simplicial set $K$ are called comparable if $d _ {i} x = d _ {i} x ^ \\prime$, $0 \\leq i \\leq n$. Two such simplices are said to be homotopic if there is an $( n + 1)$- dimensional simplex $y$ such that $d _ {n} y = x$, $d _ {n + 1 } y = x ^ \\prime$ and $d _ {i} y = s _ {n - 1 } d _ {i} x = s _ {n - 1 } d _ {i} x ^ \\prime$, $0 \\leq i \\leq n$. For full simplicial sets this is an equivalence relation, and two simplices are homotopic if and only if their characteristic simplicial mappings are homotopic $\\mathop{\\rm rel} \\mathop{\\rm Sk} ^ {n - 1 } \\Delta ^ {n}$.\n\nA simplicial set $K$ is said to be pointed if it contains a distinguished zero-dimensional simplex $\\theta$( where the symbol $\\theta$ is also used to denote all degenerations of this simplex as well as the simplicial set generated by it, which is usually referred to as the distinguished point of $K$). For a full pointed simplicial set $K$, the set $\\pi _ {n} ( K)$ of homotopy classes of $n$- dimensional simplices comparable with $\\theta$ is a group when $n \\geq 1$. This group is called the $n$- dimensional homotopy group of $K$; this terminology is justified by the fact that $\\pi _ {n} ( K) = \\pi _ {n} (| K |)$ and, in particular, $\\pi _ {n} ( K ( \\pi , n)) = \\pi$ and $\\pi _ {i} ( K ( \\pi , n)) = 0$ for $i \\neq n$. A simplicial set $K$ for which $\\pi _ {i} ( K) = 0$ for all $i \\leq n$ is called an $n$- connected set; in particular, a $0$- connected simplicial set is called connected, and a $1$- connected simplicial set simply connected. For $n \\geq 1$, the addition in $\\pi _ {n} ( K)$ is induced by the operation which assigns to two simplices $x$ and $y$( comparable with $\\theta$) the simplex $d _ {n} z$, where $z$ is a simplex of dimension $n + 1$, filling the horn $x _ {i} = \\theta$, $i \\leq n - 2$, $x _ {n - 1 } = x$, $x _ {n + 1 } = y$. If $K$ is a simplicial monoid with unit $\\theta$, then the addition is also induced by the multiplication in this monoid (the product of two simplices comparable with $\\theta$ is comparable with $\\theta$).\n\nSince any simplex $x$ comparable with $\\theta$ is a cycle (of the chain complex $C ( K)$ defined by $K$), there is a natural Hurewicz homomorphism $h: \\pi _ {n} ( K) \\rightarrow H _ {n} ( K)$, which induces an isomorphism\n\n$$\\pi _ {1} ( K)\/[ \\pi _ {1} ( K), \\pi _ {1} ( K)] \\rightarrow H _ {1} ( K)$$\n\nwhen $n = 1$( Poincar\u00e9's theorem), and for $n > 1$ it is an isomorphism if $K$ is $( n - 1)$- connected (Hurewicz' theorem). For full simplicial sets both variants of Whitehead's theorem hold, that is, a simplicial mapping $f: K \\rightarrow L$ of full simplicial sets is a homotopy equivalence if and only if it induces an isomorphism of homotopy groups; in the simply-connected case this condition is equivalent to the induced homomorphisms of the homology groups being isomorphisms.\n\nIn the case when $K$ is a simplicial group, the homotopy group $\\pi _ {n} ( K)$ is isomorphic to the homology group $H _ {n} ( \\overline{K}\\; )$ of the (not necessarily Abelian) chain complex $\\overline{K}\\;$ for which\n\n$$\\overline{K}\\; _ {n} = \\ K _ {n} \\cap \\mathop{\\rm Ker} d _ {0} \\cap \\dots \\cap \\mathop{\\rm Ker} d _ {n - 1 } ,$$\n\nand the boundary operator is the restriction to $\\overline{K}\\; _ {n}$ of $(- 1) ^ {n} d _ {n}$. If $K$ is Abelian, then $\\overline{K}\\;$ is a subcomplex of $K$, regarded as a chain complex, and also a chain deformation retract of it, and hence a direct summand of it. It turns out that the subcomplex generated by the degenerate simplices can be taken as the other direct summand. Therefore, the corresponding quotient complex of $K$ is chainwise equivalent to it. For example, it follows that the cohomology groups of an arbitrary simplicial set $K$ are isomorphic to the normalized cohomology groups (the normalization theorem), that is, the groups obtained from the cochains that vanish on all degenerate simplices. Furthermore, $\\pi _ {n} ( C ( K)) = H _ {n} ( K)$.\n\nThe functor $K \\mapsto \\overline{K}\\;$ induces an equivalence between the homotopy theory of simplicial Abelian groups and the homology theory of chain complexes. In particular, it follows that any connected simplicial Abelian group $K$ is homotopy equivalent to a product of Eilenberg\u2013MacLane simplicial sets $K ( \\pi _ {n} ( K), n)$.\n\nA full simplicial set $K$ is called minimal when comparable simplices are homotopic if and only if they coincide. The simplicial set $K ( \\pi , n)$ is minimal. Every homotopy equivalence of minimal simplicial sets is an isomorphism. Every full simplicial set $K$ has a minimal subset. It is a deformation retract, and is thus uniquely defined up to isomorphism.\n\nA simplicial mapping $p: E \\rightarrow B$ is called a Kan fibration if any horn $f: \\Lambda _ {k} ^ {n} \\rightarrow E$ in $E$ can be filled whenever $p \\circ f: \\Lambda _ {k} ^ {n} \\rightarrow B$ can be, and for any filling $g: \\Delta ^ {n + 1 } \\rightarrow B$ of $p \\circ f$ there is a filling $\\widetilde{f} : \\Delta ^ {n + 1 } \\rightarrow E$ of $f$ such that $p \\circ \\widetilde{f} = g$. Kan fibrations are the simplicial analogue of Serre fibrations (cf. Serre fibration), and they satisfy the following homotopy lifting theorem: If the simplicial mappings $\\widetilde{f} : K \\rightarrow E$ and $\\Phi : K \\times \\Delta ^ {1} \\rightarrow B$ satisfy the equation $\\Phi \\circ ( \\mathop{\\rm id} \\times \\delta _ {1} ) = p \\circ \\widetilde{f}$, then there is a simplicial mapping $\\widetilde \\Phi : K \\times \\Delta ^ {1} \\rightarrow E$ such that $\\widetilde \\Phi \\circ ( \\mathop{\\rm id} \\times \\delta _ {1} ) = \\widetilde{f}$ and $p \\circ \\widetilde \\Phi = \\Phi$. If the fibration $p$ is surjective, then $E$ is full if and only if $B$ is full. The fibre of $p: E \\rightarrow B$ is the (automatically full) simplicial set $F = p ^ {-} 1 ( \\theta )$, where $\\theta$ is the distinguished point of $B$. For any Serre fibration $p: E \\rightarrow B$ the simplicial mapping $S ( p): S ( E) \\rightarrow S ( B)$ is a Kan fibration, and for any Kan fibration $p: E \\rightarrow B$ the mapping $R p : RE \\rightarrow RB$ is a Serre fibration (see [5]).\n\nLet $K$ be a full pointed simplicial set and let $n \\geq 0$. Write $x \\sim ^ {n} y$ for $x, y \\in K _ {q}$ when $d _ {i} x = d _ {i} y$ for all $i \\leq n$, that is, when\n\n$$\\left . \\chi _ {x} \\right | _ { \\mathop{\\rm Sk} ^ {n} \\Delta ^ {q} } = \\left . \\chi _ {y} \\right | _ { \\mathop{\\rm Sk} ^ {n} \\Delta ^ {q} }$$\n\n(see Standard simplex). This is an equivalence relation, and the quotient sets $( \\mathop{\\rm Cosk} ^ {n} K) _ {q} = K _ {q} \/ \\sim ^ {n}$ form a simplicial set $\\mathop{\\rm Cosk} ^ {n} K$( with respect to the induced boundary and degeneracy operators), called the $n$- co-skeleton of $K$. By definition, $\\mathop{\\rm Cosk} ^ \\infty K = K$. For any $n \\geq 0$, the simplicial set $\\mathop{\\rm Cosk} ^ {n} K$ is full and $\\pi _ {q} ( \\mathop{\\rm Cosk} ^ {n} K) = 0$ when $q > n$. Moreover, for any $m \\leq n$ the natural surjective simplicial mapping\n\n$$p _ {m} ^ {n} : \\ \\mathop{\\rm Cosk} ^ {n} K \\rightarrow \\ \\mathop{\\rm Cosk} ^ {m} K$$\n\nis a fibration inducing an isomorphism of homotopy groups in dimensions less than or equal to $m$. In particular, the fibre of $p _ {n - 1 } ^ {n}$ is homotopy equivalent to the Eilenberg\u2013MacLane simplicial set $K ( \\pi _ {n} ( K), n)$. The sequence of fibrations\n\n$$K \\rightarrow \\dots \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n + 1 } K \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n} K \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n - 1 } K \\rightarrow \\dots$$\n\nis called the Postnikov system of a full simplicial set $K$. If $K$ is minimal, then this sequence is a resolution of $K$( see Homotopy type).\n\nThe construction of the Postnikov system admits a direct generalization to an arbitrary fibration $p: E \\rightarrow B$ of a full simplicial set $E$ over a full simplicial set $B$. Let $\\mathop{\\rm Cosk} ^ {\\ } p$ be the simplicial set whose fibres $( \\mathop{\\rm Cosk} ^ {n} p) _ {q}$ are the quotient sets of the fibres $E _ {q}$ by the relation $x \\sim ^ {n} y$, which holds if and only if $p ( x) = p ( y)$ and $d _ {i} x = d _ {i} y$ for all $i \\leq n$. By definition, $\\mathop{\\rm Cosk} ^ \\infty p = E$. Note that $\\mathop{\\rm Cosk} ^ {0} p = B$. For $m \\leq n \\leq \\infty$ the natural simplicial mapping\n\n$$p _ {m} ^ {n} : \\mathop{\\rm Cosk} ^ {n} p \\rightarrow \\mathop{\\rm Cosk} ^ {m} p$$\n\nis a fibration inducing an isomorphism of homotopy groups in dimensions less than or equal to $m$ or greater than $n + 1$. In particular, the fibre of $p _ {n - 1 } ^ {n}$ is homotopy equivalent to the Eilenberg\u2013MacLane simplicial set $K ( \\pi _ {n} ( F ), n)$. The fibre of $p _ {0} ^ {n} : \\mathop{\\rm Cosk} ^ {n} p \\rightarrow B$ is the simplicial set $\\mathop{\\rm Cosk} ^ {n} F$, where $F$ is the fibre of $p: E \\rightarrow B$. The sequence of fibrations\n\n$$E \\rightarrow \\dots \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n + 1 } p \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n} p \\rightarrow \\ \\mathop{\\rm Cosk} ^ {n - 1 } p \\rightarrow \\dots \\rightarrow B$$\n\nis called the Moore\u2013Postnikov system of $p: E \\rightarrow B$.\n\nIt is convenient to define spectra in the language of simplicial sets. A simplicial spectrum is a sequence $\\{ X _ {(} q) \\}$ of pointed sets (whose elements are called simplices, and the distinguished simplex is denoted by $\\theta$) defined for any integer $q$, and equipped with mappings $d _ {i} : X _ {(} q) \\rightarrow X _ {( q - 1) }$, $i \\geq 0$( boundary operators), and $s _ {i} : X _ {(} q) \\rightarrow X _ {( q - 1) }$, $i \\geq 0$( degeneracy operators), which satisfy the relations (*) together with the following condition: For every simplex $x \\in X$ there is an integer $n$ such that $d _ {i} x = \\theta$ when $i > n$. To any spectrum $X$ and integer $n$ one can assign the simplicial set $X _ {n}$ defined by\n\n$$( X _ {n} ) _ {q} = \\ \\{ {x \\in X _ {( q - n) } } : { d _ {i} x = \\theta \\textrm{ for } i > q,\\ d _ {0} \\dots d _ {q} x = 0 } \\} .$$\n\nThese simplicial sets $X _ {n}$ are equipped with imbeddings $SX _ {n} \\subset X _ {n + 1 }$, where $S$ is the suspension functor. From the sequence of simplicial sets $X _ {n}$ and imbeddings $SX _ {n} \\subset X _ {n + 1 }$, the simplicial spectrum $X$ can in turn be uniquely recovered. If every member of $X$ is full, then $X _ {n} = \\Omega X _ {n + 1 }$, where $\\Omega$ is the loop functor. The geometric realization functor gives an equivalence of the category of simplicial spectra and the category of topological spectra. Simplicial spectra can be defined for an arbitrary category. The category of Abelian group spectra is isomorphic to the category of (Abelian) chain complexes.\n\n#### References\n\n [1] P. Gabriel, M. Zisman, \"Calculus of fractions and homotopy theory\" , Springer (1967) [2] J.P. May, \"Simplicial objects in algebraic topology\" , v. Nostrand (1967) [3] K. Lamotke, \"Semisimpliziale algebraische Topologie\" , Springer (1968) [4] D.M. Kan, \"On c.s.s. complexes\" Amer. J. Math. , 79 (1957) pp. 449\u2013476 [5] D.G. Quillen, \"The geometric realization of a Kan fibration is a Serre fibration\" Proc. Amer. Math. Soc. , 19 (1968) pp. 1499\u20131500 [6] E.H. Brown, \"Finite computability of Postnikov complexes\" Ann. of Math. (2) , 65 (1957) pp. 1\u201320 [7] D.M. Kan, \"A combinatorial definition of homotopy groups\" Ann. of Math. (2) , 67 (1958) pp. 282\u2013312 [8] D.M. Kan, \"On homotopy theory and c.s.s. groups\" Ann. of Math. (2) , 68 (1958) pp. 38\u201353 [9] D.M. Kan, \"An axiomatization of the homotopy groups\" Illinois J. Math. , 2 (1958) pp. 548\u2013566 [10] D.M. Kan, \"A relation between CW-complexes and free c.s.s. groups\" Amer. J. Math. , 81 (1959) pp. 512\u2013528\n\nThe \"Kan condition\" that every horn fills out is also called the extension condition.\n\nA simplicial set or simplicial complex $K$ is called a Kan complex if it satisfies the Kan condition, [2], p. 2.\n\nLet $B$ be the set of all monomorphisms $\\Lambda ^ {k} [ n] \\rightarrow \\Delta [ n]$ of horns.\n\nA class of monomorphisms ${\\mathcal M}$ in a category is called saturated if it satisfies the following conditions:\n\ni) all isomorphisms belong to ${\\mathcal M}$;\n\nii) let\n\n$$\\begin{array}{rcl} X & \\rightarrow & Y \\\\ {size - 3 {m } } \\downarrow &{} &\\downarrow {size - 3 {m ^ \\prime } } \\\\ {X ^ \\prime } & \\rightarrow &{Y ^ \\prime } \\\\ \\end{array}$$\n\nbe a co-Cartesian square. Then if $m \\in {\\mathcal M}$, also $m ^ \\prime \\in {\\mathcal M}$( stability of ${\\mathcal M}$ under pushouts; a co-Cartesian square is a Cartesian square in the dual category);\n\niii) given a commutative diagram\n\n$$\\begin{array}{rcccl} X & \\rightarrow ^ { u } & Y & \\rightarrow ^ { v } & X \\\\ {size - 3 {m ^ \\prime } } \\downarrow &{} &\\downarrow {size - 3 {m } } &{} &\\downarrow {size - 3 {m ^ \\prime } } \\\\ {X ^ \\prime } & \\mathop \\rightarrow \\limits _ { {u ^ \\prime }} &{Y ^ \\prime } & \\mathop \\rightarrow \\limits _ { {v ^ \\prime }} &{X ^ \\prime } \\\\ \\end{array}$$\n\nwith $v \\circ u = \\mathop{\\rm id}$, $v ^ \\prime \\circ u ^ \\prime = \\mathop{\\rm id}$ and $m \\in {\\mathcal M}$, then $m ^ \\prime \\in {\\mathcal M}$( stability of ${\\mathcal M}$ under retractions);\n\niv) ${\\mathcal M}$ is stable under countable compositions and arbitrary direct sums.\n\nLet $\\widehat{B}$ be the saturated closure of $B$, i.e. the intersection of all saturated classes containing $B$. These are called the anodyne extensions in [1].\n\nA morphism $p : E \\rightarrow X$ of $\\Delta ^ {0} \\mathop{\\rm Ens}$ is called a Kan fibration if for each anodyne extension $i: K \\rightarrow L$ and commutative square\n\n$$\\begin{array}{rcl} K &\\rightarrow ^ { u } & E \\\\ {size - 3 {i } } \\downarrow &{} &\\downarrow {size - 3 {p } } \\\\ L & \\rightarrow _ { v } & X \\\\ \\end{array}$$\n\nthere exists a morphism $w : L \\rightarrow E$ such that $w \\circ i = u$ and $p \\circ w = v$. A simplicial set $X$ is a Kan complex if and only if the unique morphism $X \\rightarrow \\Delta [ 0]$, where $\\Delta [ 0]$ is the standard zero simplex, is a Kan fibration.\n\nHow to Cite This Entry:\nSimplicial set. Encyclopedia of Mathematics. URL: http:\/\/encyclopediaofmath.org\/index.php?title=Simplicial_set&oldid=51069\nThis article was adapted from an original article by S.N. MalyginM.M. Postnikov (originator), which appeared in Encyclopedia of Mathematics - ISBN 1402006098. See original article","date":"2022-06-26 16:51:08","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\": 0.9636187553405762, \"perplexity\": 162.137615906222}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.3, \"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-2022-27\/segments\/1656103271763.15\/warc\/CC-MAIN-20220626161834-20220626191834-00447.warc.gz\"}"} | null | null |
The National Collegiate Athletic Association (NCAA) is divided into three divisions: Division I, Division II and Division III. The main reason for Division II and Division III schools to compete in Division I is that certain sports have either only a single division or only Divisions I and III. As a result of this, there are some D-II and III conferences with a conference championship in a sport that has only one or two NCAA divisions (i.e., bowling, men's volleyball).
Some schools, however, have opted to compete in a sport at a higher level and are allowed to do so by the NCAA under certain circumstances. First, schools in Divisions II and III are allowed to classify one men's sport and one women's sport as Division I (except for football and basketball), provided that they were sponsoring said sports at Division I level prior to 2011. In addition to this, a lower-division school may compete as a Division I member in a given sport if the NCAA does not sponsor a championship in that sport for the school's own division. Division II schools may award scholarships and operate under Division I rules in their Division I sports. Division III schools cannot award scholarships in their Division I sports (except as noted below), but can operate under most Division I rules in those sports.
While many of the lower division schools playing with the "big schools" are frequently heavily outclassed, others not only compete successfully, but are among the elite programs in their sport (i.e., Alaska-Fairbanks in rifle, Johns Hopkins in men's lacrosse, Minnesota-Duluth in both men's and women's ice hockey).
Five Division III members are allowed to award athletic scholarships in their Division I sports—a practice otherwise not allowed for Division III schools. All of these schools sponsored a men's sport in the NCAA University Division, the predecessor to today's Division I, before the NCAA adopted its current three-division setup in 1974–75. At that time, the NCAA did not sponsor championships in women's sports. Today, these schools, sometimes called "grandfathered", are allowed to award scholarships in the one originally grandfathered sport, plus one women's sport.
Notes
Under current NCAA rules, beach volleyball and bowling are women's sports; wrestling is a men's sport; rifle is technically a men's sport, but schools can field men's, women's, and/or mixed teams; fencing and skiing are co-ed sports with teams having men's and women's squads.
Future conference affiliations indicated in this article will take effect on July 1 of the stated year. In the case of spring sports, the first year of competition will take place in the calendar year after the conference move becomes official.
Division II schools competing in Division I
The following table is a list of Division II schools competing in Division I.
Conference affiliations reflect those for the specific sports in which each school competes alongside D-I schools, and do not necessarily match their primary affiliations. Years for conference moves or the addition of sports reflect calendar years. For spring sports, this is the year before the start of competition.
Legend: Pink = Leaving division. Green = Future.
Division III schools competing in Division I
The following table is a list of Division III schools competing in Division I, including those which play in sports that have only one national championship event open to members of all NCAA divisions. Grandfathered schools, with their scholarship sports, are indicated in bold type.
Conference affiliations reflect those for the specific sports in which each school competes alongside D-I schools, and do not necessarily match their primary affiliations.
See also
List of NCAA Division I institutions
List of NCAA Division II institutions
List of NCAA Division III institutions
References
Non
Schools
Schools
^
^
^
^ | {
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Fox (Arctic)
The arctic fox is the main predator in the arctic feeding on birds, small mammals, including seal pups, and carcasses left behind by polar bears.
IUCN Red List Status: Least concern
Distribution: They live in Arctic regions of Europe, Asia, Iceland, Greenland and North America and used to be common in southern Europe including France, Britain, Germany, Poland, and Switzerland.
Description: Arctic foxes have short, compact bodies and thick fur which changes colour from greyish-brown in the summer to pure white in the winter.
Size: average length is 50-65cm (3 feet) from nose to tail and 25 to 30cm tall. They weigh between 4.5-8kg and the female is smaller than the male.
Life-Span: 5 to 7 years.
Food: The arctic fox is the main predator in the arctic feeding on birds, small mammals, including seal pups, and carcasses left behind by polar bears. An average family of 11 arctic foxes can eat 60 rodents per day during the summer. Coastal arctic foxes will also eat shellfish, sea urchins and other invertebrates.
In the summer, the arctic fox may hide food in a den or push it into rock crevices until the winter. They will mark their store with scent so that they can find it again under the snow.
Fox Habits
Territory: The arctic fox lives in one of the most inhospitable habitats on Earth.
In the winter they live in almost perpetual darkness and in the summer they live through almost 24 hours of sunlight a day.
The arctic fox lives in dens that are dug into the side of a hill, cliff or riverbank. In winter they dig a series of interconnecting tunnels in the deep snow where the family live.
The territory of the arctic fox depends largely on the availability of food. During the winter when food is scarce a whole family will share a larger territory and in the summer when food is more abundant the territory shrinks.
The arctic fox does not hibernate during the winter but may migrate south to the coast or overwinter along the treeline of northern Scandinavia.
Daily Life: Arctic foxes are usually solitary in the summer but in the winter they hunt and live together in small family groups.
Breeding: They reach maturity at one year and mate in early April before the summer arrives. They have four to eleven puppies in a litter with an average of six and can have two litters in a year.
Adaptations: The arctic fox is the only species in its genus although they are related to other foxes, wolves and dogs. They are particularly well adapted to the cold habitat that they live in with small, compact bodies that conserve body heat and thick, dense winter fur.
The winter coat is white-blue which camouflages the arctic fox against the snow and helps them to creep up on its prey. In the summer the coat is a light brown-grey and less thick.
The Arctic fox has small, rounded, furry ears which also helps them to conserve heat. They also have thick hair on their feet which insulates them against the cold Arctic snow.
Threats: The Arctic fox has suffered locally, particularly in the south of its range but overall it is quite a common mammal.
Snowy owls, golden eagles, polar bears, wolverines and red foxes all prey on arctic foxes as well as humans and their dogs. They have been hunted by humans for their thick white fur (extensively so in Iceland) and have been captured and bred on fur farms.
They have also suffered from diseases such as rabies and distemper.
Foxes and Humans
They are not afraid of humans and have been found stealing food from camps and sniffing around men skinning seals.
Foxes that have been trapped and electronically tagged have been monitored more than 930 miles (1500km) away from where they were caught and its thought that they may travel on ice floes in the spring.
Image: Fox (Arctic) by U.S. Fish and Wildlife Service Headquarters
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{"url":"http:\/\/science.wikia.com\/wiki\/Electromagnetic_Force","text":"# Electromagnetic Force\n\n181pages on\nthis wiki\n\nElectromagnetic force is one of the four fundamental forces in nature. The electromagnetic force manifests itself through the forces between charges (Coulomb's Law) and the magnetic force , both of which are summarized by the Lorentz Force Law.\n\nFundamentally, both magnetic and electric forces are manifestations of an exchange force involving the exchange of photons . The quantum approach to the electromagnetic force is called quantum electrodynamics or QED. The electromagnetic force is a force of infinite range which obeys the inverse square law, and is of the same form as the gravity force.[refer]\n\nThe electromagnetic force holds atoms and molecules together. In fact, the forces of electric attraction and repulsion of electric charges are so dominant over the other three fundamental forces that they can be considered to be negligible as determiners of atomic and molecular structure. Even magnetic effects are usually apparent only at high resolutions, and as small corrections.[refer]\n\n## Coulomb's Law\n\nIf two particles having charges q1 and q2 are at rest with respect to the observer, the force between them has a magnitude\n\n$F = \\frac{1}{ 4 \\pi \\varepsilon _ 0 } \\frac{ q_1 q_2}{r^2}$\n\nwhere \u03f5 = 8.85419 \u00d7 10-12 C2N-1m2 is a constant. The quantity $\\frac{1}{ 4 \\pi \\varepsilon_0}$ is 9.0 \u00d7 109 Nm2C-2. This is called Coulomb force and it acts along the line joining the particles.","date":"2017-01-16 17:17:51","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\": 0, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 2, \"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\": 0.8739604353904724, \"perplexity\": 299.53651648987017}, \"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-2017-04\/segments\/1484560279224.13\/warc\/CC-MAIN-20170116095119-00521-ip-10-171-10-70.ec2.internal.warc.gz\"}"} | null | null |
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Rachel Marsden: France needs no-nonsense approach to weeding out domestic terrorism
By American Voices
American Voices |
During a White House press conference last week in the wake of the Paris terror attacks, U.S President Barack Obama took the opportunity to school France on how to fight terrorism through social assimilation and approaches that don't involve the military or law enforcement. Ironically, he lectured the French while standing just a few miles away from Anacostia, the Washington, D.C., neighborhood for which the French government issued a travel warning in 2013 for its citizens to avoid, day or night.
The problem in both France and the U.S. is the nonstop lip service to nice-sounding but ineffective ideas that are favored over tougher policies enacted during windows of political opportunity.
"Our biggest advantage ... is that our Muslim populations feel themselves to be Americans and there is this incredible process of immigration and assimilation that is part of our tradition," Obama said.
What assimilation process is that, exactly? Is there some kind of Office of Immigration and Integration tasked with ensuring that adult immigrants take courses in civic responsibility and the English language from the moment they apply for a visa? France has had such a process in place since 2007. Immigrants who fail to comply risk the non-renewal of their visas. The only adults exempted from signing this integration pact with the state are professionals deemed to have extraordinary abilities; independent, non-salaried professionals; seasonal workers; and immigrants with years of education in French schools.
It's a start -- and it's much more than the U.S. has in place, despite Obama's condescending remarks about the smooth assimilation of immigrants in America -- but the standards could be even tighter. French Prime Minister Manuel Valls said in 2013, when he was interior minister, that "for 75 percent of signatories, [the integration pact] is limited to a few hours of training on 'Living in France' and a skills assessment. It's not up to par." He's right. The most obvious solution is to limit immigration to those who fall into the merit-based categories listed above.
Still, no amount of effort to integrate new immigrants can solve the problem of ethnic balkanization that has long existed within France. But addressing that underlying problem constitutes political kryptonite for any French politician.
In 2005, when former French President Nicolas Sarkozy was serving as interior minister and had a zero-tolerance policy toward violence in ethnic enclaves, French leftists and even members of Sarkozy's own party denounced his rhetoric without providing any viable alternatives. They offered no more practical help than Obama provided last week with his reaction to the despicable acts of young homegrown French hoodlums who turned to jihadism.
"It's important for Europe not to simply respond with a hammer and law enforcement and military approaches to these problems," Obama said.
Good luck resolving an ugly problem with little more than benign language.
Where to start? Prison time and hard manual labor akin to a military boot camp would be nice. France's hooligan jihadists all seem to want to go to jihadist military camps abroad. Perhaps they should instead get their fill during a stint in a French prison. Import some French drill sergeants to give them a taste of the military lifestyle. One of the Paris terrorists' friends told the media that he was obsessed with combat. Great -- get the combat enthusiasts into prison as soon as possible so they get a taste of it. Otherwise, they'll take off to Yemen for combat training.
Some might respond, "Yes, but what about the jihadist indoctrination they'll get while in prison?" We've been hearing this in France for years: politicians, sociologists and psychologists wringing their hands over how to deal with jihadism inside prisons. Why are we still talking about it? Prison jihadism should have been forcibly snuffed out from the start. What are the drawbacks to clamping down on it? That a jihadist might complain about the state infringing on his right to advocate for religious extremism?
If a state can't even control extremism inside prison, where the public is most likely to accept the state's discretion in such matters, how can it expect to begin eradicating it in the public domain?
There's no better time for France to take aim at the root problems of domestic terrorism with smart but tough pragmatism.
(Rachel Marsden is a columnist, political strategist and former Fox News host based in Paris. She is the host of the syndicated talk show "UNREDACTED with Rachel Marsden" Tuesdays at 7 p.m. Eastern: http://www.unredactedshow.com. Her website can be found at http://www.rachelmarsden.com.)
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<project xmlns="http://maven.apache.org/POM/4.0.0" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="http://maven.apache.org/POM/4.0.0 http://maven.apache.org/xsd/maven-4.0.0.xsd">
<modelVersion>4.0.0</modelVersion>
<groupId>com.camunda.bpm.example</groupId>
<artifactId>external-task-worker-process</artifactId>
<version>0.0.1-SNAPSHOT</version>
<packaging>war</packaging>
<name>External Task Worker Process</name>
<description>An example on using a BPMN process as an External Task Worker for [Camunda BPM](http://docs.camunda.org). [The project has been generated by the Maven archetype 'camunda-archetype-servlet-war-7.10.1-SNAPSHOT']</description>
<properties>
<camunda.version>7.11.0</camunda.version>
<!--
Adjust if you want to use Camunda Enterprise Edition (EE):
<camunda.version>7.11.0-ee</camunda.version>
Make sure you also switch to EE repository below
-->
<maven.compiler.source>1.8</maven.compiler.source>
<maven.compiler.target>1.8</maven.compiler.target>
<project.build.sourceEncoding>UTF-8</project.build.sourceEncoding>
<failOnMissingWebXml>false</failOnMissingWebXml>
</properties>
<dependencyManagement>
<dependencies>
<dependency>
<groupId>org.camunda.bpm</groupId>
<artifactId>camunda-bom</artifactId>
<version>${camunda.version}</version>
<scope>import</scope>
<type>pom</type>
</dependency>
</dependencies>
</dependencyManagement>
<dependencies>
<dependency>
<!-- process engine, needs to be 'provided' because it's already a shared library in the container -->
<groupId>org.camunda.bpm</groupId>
<artifactId>camunda-engine</artifactId>
<scope>provided</scope>
</dependency>
<dependency>
<!-- AssertJ Testing Library -->
<groupId>org.camunda.bpm.extension</groupId>
<artifactId>camunda-bpm-assert</artifactId>
<version>1.2</version>
<scope>test</scope>
</dependency>
<!-- Required to use Spin dataformat support in unit tests -->
<dependency>
<groupId>org.camunda.spin</groupId>
<artifactId>camunda-spin-dataformat-all</artifactId>
<scope>test</scope>
</dependency>
<dependency>
<groupId>org.camunda.bpm</groupId>
<artifactId>camunda-engine-plugin-spin</artifactId>
<scope>test</scope>
</dependency>
<!-- Required to use Templates in unit tests -->
<dependency>
<groupId>org.camunda.template-engines</groupId>
<artifactId>camunda-template-engines-freemarker</artifactId>
<scope>test</scope>
</dependency>
<dependency>
<groupId>org.camunda.template-engines</groupId>
<artifactId>camunda-template-engines-velocity</artifactId>
<scope>test</scope>
</dependency>
<dependency>
<groupId>javax.servlet</groupId>
<artifactId>javax.servlet-api</artifactId>
<version>3.1.0</version>
<scope>provided</scope>
</dependency>
<dependency>
<groupId>junit</groupId>
<artifactId>junit</artifactId>
<version>4.12</version>
<scope>test</scope>
</dependency>
<dependency>
<!-- Needed for InMemoryH2Test -->
<groupId>com.h2database</groupId>
<artifactId>h2</artifactId>
<version>1.4.197</version>
<scope>test</scope>
</dependency>
<dependency>
<!-- Used to generate test coverage reports, see https://github.com/camunda/camunda-consulting/tree/master/snippets/camunda-bpm-process-test-coverage -->
<groupId>org.camunda.bpm.extension</groupId>
<artifactId>camunda-bpm-process-test-coverage</artifactId>
<version>0.3.2</version>
<scope>test</scope>
</dependency>
<dependency>
<!-- use logback as logger -->
<groupId>ch.qos.logback</groupId>
<artifactId>logback-classic</artifactId>
<version>1.1.3</version>
<scope>test</scope>
</dependency>
<dependency>
<groupId>org.slf4j</groupId>
<!-- apache commons logging => slf4j -->
<artifactId>jcl-over-slf4j</artifactId>
<version>1.7.25</version>
<scope>test</scope>
</dependency>
<dependency>
<!-- java util logging => slf4j -->
<groupId>org.slf4j</groupId>
<artifactId>jul-to-slf4j</artifactId>
<version>1.7.25</version>
<scope>test</scope>
</dependency>
<!-- Add your own dependencies here, if in compile scope, they are added to the war -->
</dependencies>
<repositories>
<repository>
<id>camunda-bpm-nexus</id>
<name>Camunda Maven Repository</name>
<url>https://app.camunda.com/nexus/content/groups/public</url>
</repository>
<!-- enable this for EE dependencies (requires credentials in ~/.m2/settings.xml)
<repository>
<id>camunda-bpm-nexus-ee</id>
<name>Camunda Enterprise Maven Repository</name>
<url>https://app.camunda.com/nexus/content/repositories/camunda-bpm-ee</url>
</repository>
-->
</repositories>
<build>
<finalName>${project.artifactId}</finalName>
<plugins>
<plugin>
<!-- Deploy to Tomcat using: mvn clean package antrun:run
Follow the instructions in build.properties.example to make it work!-->
<groupId>org.apache.maven.plugins</groupId>
<artifactId>maven-antrun-plugin</artifactId>
<configuration>
<tasks>
<ant antfile="${basedir}/build.xml">
<target name="copy.war.into.tomcat" />
</ant>
</tasks>
</configuration>
</plugin>
<!-- Tomcat Maven Plugin
Deploy to Tomcat using:
mvn clean tomcat7:deploy
Redeploy:
mvn clean tomcat7:redeploy
Undeploy:
mvn tomcat7:undeploy
To use this plugin, add these lines to your tomcat-users.xml: (inside the <tomcat-users>-tag)
<role rolename="manager-script"/>
<user username="admin" password="admin" roles="manager-script"/>
-->
<plugin>
<groupId>org.apache.tomcat.maven</groupId>
<artifactId>tomcat7-maven-plugin</artifactId>
<version>2.2</version>
<configuration>
<url>http://localhost:8080/manager/text</url>
<username>admin</username>
<password>admin</password>
</configuration>
</plugin>
<plugin>
<!-- Deploy to JBoss AS7: mvn clean jboss-as:deploy See also: https://docs.jboss.org/jbossas/7/plugins/maven/latest/examples/deployment-example.html -->
<groupId>org.jboss.as.plugins</groupId>
<artifactId>jboss-as-maven-plugin</artifactId>
<version>7.9.Final</version>
</plugin>
<plugin>
<!-- Deploy to Wildfly: mvn clean wildfly:deploy See also: https://docs.jboss.org/wildfly/plugins/maven/latest/examples/deployment-example.html -->
<groupId>org.wildfly.plugins</groupId>
<artifactId>wildfly-maven-plugin</artifactId>
<version>2.0.1.Final</version>
</plugin>
</plugins>
</build>
</project>
| {
"redpajama_set_name": "RedPajamaGithub"
} | 8,199 |
{"url":"https:\/\/www.physicsforums.com\/threads\/t-duality-on-torus.828762\/","text":"T-Duality on Torus\n\n1. Aug 21, 2015\n\n\"pi\"mp\n\nI think I have a relatively decent grasp on T-duality where we've compactified $S^{1}$. However, when compactifying a 2-torus, is the T-duality transformation where you invert both radii of the two circles simultaneously, or is the claim that you can invert one of the two, leaving the other fixed, and yield the same physics?\n\nI suspect that it's the second choice. If indeed this is the case, is there anything at all special about the case where you invert both radii simultaneously? I believe this is equivalent to merely interchanging the A-cycle and B-cycle on the torus.\n\nOn a $d$ torus, the T-duality is actually enlarged a group $O(d,d;\\mathbb{Z})$ of transformations. Some of these are analogous to $R\\rightarrow 1\/R$, but others involve a change of basis of the lattice of the torus (which includes the coordinate redefinition that swaps the A and B-cycles.) So we can perform these transformations singly or compose them to form more complicated transformations.","date":"2018-07-21 02:53:22","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\": 2, \"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\": 0.8729832768440247, \"perplexity\": 552.9038965059925}, \"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-2018-30\/segments\/1531676592150.47\/warc\/CC-MAIN-20180721012433-20180721032433-00375.warc.gz\"}"} | null | null |
{"url":"https:\/\/matracas.org\/qmath\/symbols.html.en","text":"Espa\u00f1ol English\nE-mail: web@matracas.org\n\n## en\/Mathematics\/OpenMath\/calculus1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ndint APPLICATION calculus1 defint This symbol is used to represent definite integration of unary functions. It takes two arguments; the first being the range (e.g. a set) of integration, and the second the function.\n\u222b_^ APPLICATION\ndiff APPLICATION calculus1 diff This symbol is used to express ordinary differentiation of a unary function. The single argument is the unary function.\nint APPLICATION calculus1 int This symbol is used to represent indefinite integration of unary functions. The argument is the unary function.\nAPPLICATION\npdiff APPLICATION calculus1 partialdiff This symbol is used to express partial differentiation of a function of more than one variable. It has two arguments, the first is a list of integers which index the variables of the function, the second is the function.\nAPPLICATION\n\n## en\/Mathematics\/OpenMath\/limit1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nabove SYMBOL limit1 above This symbol is used within a limit construct to show the limit is being approached from above. It takes no arguments.\n->+ SYMBOL\n\u2192+ SYMBOL\nbelow SYMBOL limit1 below This symbol is used within a limit construct to show the limit is being approached from below. It takes no arguments.\n->- SYMBOL\n\u2192- SYMBOL\nboth_sides SYMBOL limit1 both_sides This symbol is used within a limit construct to show the limit is being approached from both sides. It takes no arguments.\n->+- SYMBOL\n\u2192\u00b1 SYMBOL\nlimit APPLICATION limit1 limit This symbol is used to denote the limit of a unary function. It takes 3 arguments: the limiting value of the argument, the method of approach (either null, above, below or both_sides) and the function.\nlim APPLICATION\n->? SYMBOL limit1 null This symbol is used within a limit construct to avoid specifying the method of approach to the limit. It takes no arguments.\n\u2192? SYMBOL\n\n## en\/Mathematics\/OpenMath\/veccalc1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncurl APPLICATION veccalc1 curl This symbol is used to represent the curl function. It takes one argument which should be a vector of scalar valued functions, intended to represent a vector valued function and returns a vector of functions. It should satisfy the defining relation: curl(F) = i X \\partial(F)\/\\partial(x) + j X \\partial(F)\/\\partial(y) + j X \\partial(F)\/\\partial(Z) where i,j,k are the unit vectors corresponding to the x,y,z axes respectively and the multiplication X is cross multiplication.\ndivergence APPLICATION veccalc1 divergence This symbol is used to represent the divergence function. It takes one argument which should be a vector of scalar valued functions, intended to represent a vector valued function and returns a scalar value. It should satisfy the defining relation: divergence(F) = \\partial(F_(x_1))\/\\partial(x_1) + ... + \\partial(F_(x_n))\/\\partial(x_n)\ndiv APPLICATION\ngrad APPLICATION veccalc1 grad This symbol is used to represent the grad function. It takes one argument which should be a scalar valued function and returns a vector of functions. It should satisfy the defining relation: grad(F) = (\\partial(F)\/\\partial(x_1), ... ,\\partial(F)\/partial(x_n))\nLaplacian APPLICATION veccalc1 Laplacian This symbol is used to represent the laplacian function. It takes one argument which should be a vector of scalar valued functions, intended to represent a vector valued function and returns a vector of functions. It should satisfy the defining relation: laplacian(F) = \\partial^2(F)\/\\partial(x_1)^2 + ... + \\partial^2(F)\/\\partial(x_n)^2\nAPPLICATION\n\u2207\u00b2 APPLICATION\n\n## en\/Mathematics\/OpenMath\/integer1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\n! OP_FACT integer1 factorial The symbol to represent a unary factorial function on non-negative integers.\nfactor_of APPLICATION integer1 factorof This is the binary OpenMath operator that is used to indicate the mathematical relationship a \"is a factor of\" b, where a is the first argument and b is the second. This relationship is true if and only if b mod a = 0.\nquot APPLICATION integer1 quotient The symbol to represent the integer (binary) division operator. That is, for integers a and b, quotient(a,b) denotes q such that a=b*q+r, with |r| less than |b| and a*r positive.\n\/ APPLICATION\nrem APPLICATION integer1 remainder The symbol to represent the integer remainder after (binary) division. For integers a and b, remainder(a,b) denotes r such that a=b*q+r, with |r| less than |b| and a*r positive.\n\\ APPLICATION\n\n## en\/Mathematics\/OpenMath\/fns2\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\napply_to_list APPLICATION fns2 apply_to_list This symbol is used to denote the repeated application of an n-ary function on the elements of a given list. For example when used with plus or times this can represent sums and products. The symbol takes two arguments; the first of which is the n-ary function, the second a list.\nker APPLICATION fns2 kernel This symbol denotes the kernel of a given function. This may be defined as the subset of the range of the given function which maps to the identity element of the image of the given function, however no semantics are assumed. The kernel of a function is also known as the null space of the function.\nrightComp APPLICATION fns2 right_compose This symbol represents a function forming the right-composition of its two functional arguments.\nright_compose APPLICATION\n\n## en\/Mathematics\/OpenMath\/nums1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nbased_integer APPLICATION nums1 based_integer This symbol represents the constructor function for integers, specifying the base. It takes two arguments, the first is a positive integer to denote the base to which the number is represented, the second argument is a string which contains an optional sign and the digits of the integer, using 0-9a-z (as a consequence of this no radix greater than 35 is supported). Base 16 and base 10 are already covered in the encodings of integers.\ne SYMBOL nums1 e This symbol represents the base of the natural logarithm, approximately 2.718. See Abramowitz and Stegun, Handbook of Mathematical Functions, section\u00a04.1.\ngamma SYMBOL nums1 gamma A symbol to convey the notion of the gamma constant as defined in Abramowitz and Stegun, Handbook of Mathematical Functions, section\u00a06.1.3. It is the limit of 1 + 1\/2 + 1\/3 + ... + 1\/m - ln m as m tends to infinity, this is approximately 0.5772 15664.\n\u03b3 SYMBOL\ni SYMBOL nums1 i This symbol represents the square root of -1.\ninf SYMBOL nums1 infinity A symbol to represent the notion of infinity.\nSYMBOL\nNaN SYMBOL nums1 NaN A symbol to convey the notion of not-a-number. The result of an ill-posed floating computation. See IEEE standard for floating point representations.\npi SYMBOL nums1 pi A symbol to convey the notion of pi, approximately 3.142. The ratio of the circumference of a circle to its diameter.\n\u03c0 SYMBOL\nrational APPLICATION nums1 rational This symbol represents the constructor function for rational numbers. It takes two arguments, the first is an integer p to denote the numerator and the second a nonzero integer q to denote the denominator of the rational p\/q.\nfrac APPLICATION\n\/ OP_PROD\n\n## en\/Mathematics\/OpenMath\/linalg2\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nmatrix APPLICATION linalg2 matrix This symbol is an n-ary matrix constructor which requires matrixrow's as arguments. It is used to represent matrices.\nM APPLICATION\nmatrix_row APPLICATION linalg2 matrixrow This symbol is an n-ary constructor used to represent rows of matrices. Its arguments should be members of a ring.\nvector APPLICATION linalg2 vector This symbol represents an n-ary function used to construct (or describe) vectors. Vectors in this CD are considered to be row vectors and must therefore be transposed to be considered as column vectors.\n\n## en\/Mathematics\/OpenMath\/rounding1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nceiling APPLICATION rounding1 ceiling The round up (to +infinity) operation.\nfloor APPLICATION rounding1 floor The round down (to -infinity) operation.\nround APPLICATION rounding1 round The round to nearest operation.\ntrunc APPLICATION rounding1 trunc The round to zero operation.\n\n## en\/Mathematics\/OpenMath\/minmax1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nmax APPLICATION minmax1 max This symbol denotes the unary maximum function which takes a set as its argument and returns the maximum element in that set.\nmin APPLICATION minmax1 min This symbol denotes the unary minimum function which takes a set as its argument and returns the minimum element in that set.\n\n## en\/Mathematics\/OpenMath\/s_dist1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ndist_mean APPLICATION s_dist1 mean This symbol represents a unary function denoting the mean of a distribution. The argument is a univariate function to describe the distribution. That is, if f is the function describing the distribution. The mean is the expression integrate(x*f(x)) w.r.t. x over the range (-infinity,infinity).\ndist_mode APPLICATION s_dist1 mode\ndist_moment APPLICATION s_dist1 moment This symbol represents a ternary function to denote the i'th moment of a distribution. The first argument should be the degree of the moment (that is, for the i'th moment the first argument should be i), the second argument is the value about which the moment is to be taken and the third argument is a univariate function to describe the distribution. That is, if f is the function which describe the distribution. The i'th moment of f about a is the integral of (x-a)^i*f(x) with respect to x, over the interval (-infinity,infinity).\ndist_sdev APPLICATION s_dist1 sdev This symbol represents a unary function denoting the standard deviation of a distribution. The argument is a univariate function to describe the distribution. The standard deviation of a distribution is the arithmetical mean of the squares of the deviation of the distribution from the mean.\ndist_variance APPLICATION s_dist1 variance This symbol represents a unary function denoting the variance of a distribution. The argument is a function to describe the distribution. That is if f is the function which describes the distribution. The variance of a distribution is the square of the standard deviation of the distribution.\n\n## en\/Mathematics\/OpenMath\/set1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncartesian_product APPLICATION set1 cartesian_product This symbol represents an n-ary construction function for constructing the Cartesian product of sets. It takes n set arguments in order to construct their Cartesian product.\n\u00d7 OP_PROD\nemptyset SYMBOL set1 emptyset This symbol is used to represent the empty set, that is the set which contains no members. It takes no parameters.\nSYMBOL\nin OP_PLUS set1 in This symbol has two arguments, an element and a set. It is used to denote that the element is in the given set.\nOP_PLUS\ninter OP_PROD set1 intersect This symbol is used to denote the n-ary intersection of sets. It takes sets as arguments, and denotes the set that contains all the elements that occur in all of them.\nOP_PROD\nmap APPLICATION set1 map This symbol represents a mapping function which may be used to construct sets, it takes as arguments a function from X to Y and a set over X in that order. The value that is returned is a set of values in Y. The argument list may be a set or an integer_interval.\n-> OP_AND\nOP_AND\nnot_in OP_PLUS set1 notin This symbol has two arguments, an element and a set. It is used to denote that the element is not in the given set.\n\u00ac\u2208 OP_PLUS\nOP_PLUS\nnot_prsubset OP_PLUS set1 notprsubset This symbol has two (set) arguments. It is used to denote that the first set is not a proper subset of the second. A proper subset of a set is a subset of the set but not actually equal to it.\n\u00ac\u228a OP_PLUS\nnot_subset OP_PLUS set1 notsubset This symbol has two (set) arguments. It is used to denote that the first set is not a subset of the second.\nOP_PLUS\nprsubset OP_PLUS set1 prsubset This symbol has two (set) arguments. It is used to denote that the first set is a proper subset of the second, that is a subset of the second set but not actually equal to it.\nOP_PLUS\nset APPLICATION set1 set This symbol represents the set construct. It is an n-ary function. The set entries are given explicitly. There is no implied ordering to the elements of a set.\n{} APPLICATION\nsetdiff APPLICATION set1 setdiff This symbol is used to denote the set difference of two sets. It takes two sets as arguments, and denotes the set that contains all the elements that occur in the first set, but not in the second.\nwithout OP_PLUS\n\\ OP_PLUS\nsize APPLICATION set1 size This symbol is used to denote the number of elements in a set. It is either a non-negative integer, or an infinite cardinal number. The symbol infinity may be used for an unspecified infinite cardinal.\n# APPLICATION\nsubset OP_PLUS set1 subset This symbol has two (set) arguments. It is used to denote that the first set is a subset of the second.\nOP_PLUS\nsuch_that BINDING set1 suchthat This symbol represents the suchthat function which may be used to construct sets, it takes two arguments. The first argument should be the set which contains the elements of the set we wish to represent, the second argument should be a predicate, that is a function from the set to the booleans which describes if an element is to be in the set returned.\n| OP_BIND\nunion OP_PROD set1 union This symbol is used to denote the n-ary union of sets. It takes sets as arguments, and denotes the set that contains all the elements that occur in any of them.\nOP_PROD\n\n## en\/Mathematics\/OpenMath\/logic1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\n\/\\ OP_AND logic1 and This symbol represents the logical and function which is an n-ary function taking boolean arguments and returning a boolean value. It is true if all arguments are true or false otherwise.\nOP_AND\n<--> OP_IMPL logic1 equivalent This symbol is used to show that two boolean expressions are logically equivalent, that is have the same boolean value for any inputs.\nOP_IMPL\nfalse SYMBOL logic1 false This symbol represents the boolean value false.\nSYMBOL\n--> OP_IMPL logic1 implies This symbol represents the logical implies function which takes two boolean expressions as arguments. It evaluates to false if the first argument is true and the second argument is false, otherwise it evaluates to true.\nOP_IMPL\nnot OP_EXP logic1 not This symbol represents the logical not function which takes one boolean argument, and returns the opposite boolean value.\n\u00ac OP_EXP\n\\\/ OP_OR logic1 or This symbol represents the logical or function which is an n-ary function taking boolean arguments and returning a boolean value. It is true if any of the arguments are true or false otherwise.\nOP_OR\ntrue SYMBOL logic1 true This symbol represents the boolean value true.\nSYMBOL\n\\% OP_OR logic1 xor This symbol represents the logical xor function which is an n-ary function taking boolean arguments and returning a boolean value. It is true if there are an odd number of true arguments or false otherwise.\nOP_OR\n\n## en\/Mathematics\/OpenMath\/interval1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\n._. OP_PLUS interval1 integer_interval A symbol to denote a discrete 1 dimensional interval from the first argument to the second (inclusive), where the discretisation occurs at unit intervals. The arguments are the start and the end points of the interval in that order.\n... OP_PLUS interval1 interval A symbol to denote a continuous 1-dimensional interval without any information about the character of the end points (used in definite integration). The arguments are the start and the end points of the interval in that order.\n.. OP_PLUS interval1 interval_cc A symbol to denote a continuous 1-dimensional interval with both end points included in the interval. The arguments are the start and the end points of the interval in that order.\n..< OP_PLUS interval1 interval_co A symbol to denote a continuous 1-dimensional interval with the first point included in the interval, but the last excluded. The arguments are the start and the end points of the interval in that order.\n<.. OP_PLUS interval1 interval_oc A symbol to denote a continuous 1-dimensional interval with the first point excluded from the interval, but the last included. The arguments are the start and the end points of the interval in that order.\n<..< OP_PLUS interval1 interval_oo A symbol to denote a continuous 1-dimensional interval with both end points excluded from the interval. The arguments are the start and the end points of the interval in that order.\n\n## en\/Mathematics\/OpenMath\/fns1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ndom APPLICATION fns1 domain This symbol denotes the domain of a given function, which is the set of values it is defined over.\nappdom APPLICATION fns1 domainofapplication The domainofapplication element denotes the domain over which a given function is being applied. It is intended in MathML to be a more general alternative to specification of this domain using such quantifier elements as bvar, lowlimit or condition.\nI APPLICATION fns1 identity The identity function, it takes one argument and returns the same value.\nimg APPLICATION fns1 image This symbol denotes the image of a given function, which is the set of values the domain of the given function maps to.\nim APPLICATION\ninv APPLICATION fns1 inverse This symbol is used to describe the inverse of its argument (a function). This inverse may only be partially defined because the function may not have been surjective. If the function is not surjective the inverse function is ill-defined without further stipulations. No assumptions are made on the semantics of this inverse.\nlambda BINDING fns1 lambda This symbol is used to represent anonymous functions as lambda expansions. It is used in a binder that takes two further arguments, the first of which is a list of variables, and the second of which is an expression, and it forms the function which is the lambda extraction of the expression\n\u03bb BINDING\ncompose OP_PROD fns1 left_compose This symbol represents the function which forms the left-composition of its two (function) arguments.\nOP_PROD\nlinv APPLICATION fns1 left_inverse This symbol is used to describe the left inverse of its argument (a function). This inverse may only be partially defined because the function may not have been surjective. If the function is not surjective the left inverse function is ill-defined without further stipulations. No other assumptions are made on the semantics of this left inverse.\nrange APPLICATION fns1 range This symbol denotes the range of a function, that is a set that the function will map to. The single argument should be the function whos range is being queried. It should be noted that this is not necessarily equal to the image, it is merely required to contain the image.\nrinv APPLICATION fns1 right_inverse This symbol is used to describe the right inverse of its argument (a function). This inverse may only be partially defined because the function may not have been surjective. If the function is not surjective the right inverse function is ill-defined without further stipulations. No other assumptions are made on the semantics of this right inverse.\n\n## en\/Mathematics\/OpenMath\/arith1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nabs APPLICATION arith1 abs A unary operator which represents the absolute value of its argument. The argument should be numerically valued. In the complex case this is often referred to as the modulus.\ndivide OP_PROD arith1 divide This symbol represents a (binary) division function denoting the first argument right-divided by the second, i.e. divide(a,b)=a*inverse(b). It is the inverse of the multiplication function defined by the symbol times in this CD.\n\/ OP_PROD\n\u00f7 OP_PROD\ngcd APPLICATION arith1 gcd The symbol to represent the n-ary function to return the gcd (greatest common divisor) of its arguments.\nlcm APPLICATION arith1 lcm The symbol to represent the n-ary function to return the least common multiple of its arguments.\nminus OP_PLUS arith1 minus The symbol representing a binary minus function. This is equivalent to adding the additive inverse.\n- OP_PLUS\nplus OP_PLUS arith1 plus The symbol representing an n-ary commutative function plus.\n+ OP_PLUS\npower OP_EXP arith1 power This symbol represents a power function. The first argument is raised to the power of the second argument. When the second argument is not an integer, powering is defined in terms of exponentials and logarithms for the complex and real numbers. This operator can represent general powering.\n^ OP_EXP\nproduct APPLICATION arith1 product An operator taking two arguments, the first being the range of multiplication e.g. an integral interval, the second being the function to be multiplied. Note that the product may be over an infinite interval.\nAPPLICATION\nroot APPLICATION arith1 root A binary operator which represents its first argument \"lowered\" to its n'th root where n is the second argument. This is the inverse of the operation represented by the power symbol defined in this CD. Care should be taken as to the precise meaning of this operator, in particular which root is represented, however it is here to represent the general notion of taking n'th roots. As inferred by the signature relevant to this symbol, the function represented by this symbol is the single valued function, the specific root returned is the one indicated by the first CMP. Note also that the converse of the second CMP is not valid in general.\nAPPLICATION\nsum APPLICATION arith1 sum An operator taking two arguments, the first being the range of summation, e.g. an integral interval, the second being the function to be summed. Note that the sum may be over an infinite interval.\nAPPLICATION\ntimes OP_PLUS arith1 times The symbol representing an n-ary multiplication function.\n\u00d7 OP_PROD\nOP_PROD\nunary_minus APPLICATION arith1 unary_minus This symbol denotes unary minus, i.e. the additive inverse.\n\n## en\/Mathematics\/OpenMath\/complex1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nargument APPLICATION complex1 argument This symbol represents the unary function which returns the argument of a complex number, viz. the angle which a straight line drawn from the number to zero makes with the Real line (measured anti-clockwise). The argument to the symbol is the complex number whos argument is being taken.\ncomplex_cartesian APPLICATION complex1 complex_cartesian This symbol represents a constructor function for complex numbers specified as the Cartesian coordinates of the relevant point on the complex plane. It takes two arguments, the first is a number x to denote the real part and the second a number y to denote the imaginary part of the complex number x + i y. (Where i is the square root of -1.)\ncomplex_polar APPLICATION complex1 complex_polar This symbol represents a constructor function for complex numbers specified as the polar coordinates of the relevant point on the complex plane. It takes two arguments, the first is a nonnegative number r to denote the magnitude and the second a number theta (given in radians) to denote the argument of the complex number r e^(i theta). (i and e are defined as in this CD).\nconj APPLICATION complex1 conjugate A unary operator representing the complex conjugate of its argument.\nimaginary APPLICATION complex1 imaginary This represents the imaginary part of a complex number\nreal APPLICATION complex1 real This represents the real part of a complex number\n\n## en\/Mathematics\/OpenMath\/relation1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\n~ OP_EQ relation1 approx This symbol is used to denote the approximate equality of its two arguments.\nOP_EQ\n= OP_EQ relation1 eq This symbol represents the binary equality function.\n>= OP_EQ relation1 geq This symbol represents the binary greater than or equal to function which returns true if the first argument is greater than or equal to the second, it returns false otherwise.\nOP_EQ\n> OP_EQ relation1 gt This symbol represents the binary greater than function which returns true if the first argument is greater than the second, it returns false otherwise.\n<= OP_EQ relation1 leq This symbol represents the binary less than or equal to function which returns true if the first argument is less than or equal to the second, it returns false otherwise.\nOP_EQ\n< OP_EQ relation1 lt This symbol represents the binary less than function which returns true if the first argument is less than the second, it returns false otherwise.\nneq OP_EQ relation1 neq This symbol represents the binary inequality function.\n\u00ac= OP_EQ\nOP_EQ\n\n## en\/Mathematics\/OpenMath\/transc1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\narccos APPLICATION transc1 arccos This symbol represents the arccos function. This is the inverse of the cos function as described in Abramowitz and Stegun, section\u00a04.4. It takes one argument.\narccosh APPLICATION transc1 arccosh This symbol represents the arccosh function as described in Abramowitz and Stegun, section\u00a04.6.\narccot APPLICATION transc1 arccot This symbol represents the arccot function as described in Abramowitz and Stegun, section\u00a04.4.\narccoth APPLICATION transc1 arccoth This symbol represents the arccoth function as described in Abramowitz and Stegun, section\u00a04.6.\narccsc APPLICATION transc1 arccsc This symbol represents the arccsc function as described in Abramowitz and Stegun, section\u00a04.4.\narccsch APPLICATION transc1 arccsch This symbol represents the arccsch function as described in Abramowitz and Stegun, section\u00a04.6.\narcsec APPLICATION transc1 arcsec This symbol represents the arcsec function as described in Abramowitz and Stegun, section\u00a04.4.\narcsech APPLICATION transc1 arcsech This symbol represents the arcsech function as described in Abramowitz and Stegun, section\u00a04.6.\narcsin APPLICATION transc1 arcsin This symbol represents the arcsin function. This is the inverse of the sin function as described in Abramowitz and Stegun, section\u00a04.4. It takes one argument.\narcsinh APPLICATION transc1 arcsinh This symbol represents the arcsinh function as described in Abramowitz and Stegun, section\u00a04.6.\narctan APPLICATION transc1 arctan This symbol represents the arctan function. This is the inverse of the tan function as described in Abramowitz and Stegun, section\u00a04.4. It takes one argument.\narctanh APPLICATION transc1 arctanh This symbol represents the arctanh function as described in Abramowitz and Stegun, section\u00a04.6.\ncos APPLICATION transc1 cos This symbol represents the cos function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\ncosh APPLICATION transc1 cosh This symbol represents the cosh function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\ncot APPLICATION transc1 cot This symbol represents the cot function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\ncoth APPLICATION transc1 coth This symbol represents the coth function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\ncsc APPLICATION transc1 csc This symbol represents the csc function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\ncsch APPLICATION transc1 csch This symbol represents the csch function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\nexp APPLICATION transc1 exp This symbol represents the exponentiation function as described in Abramowitz and Stegun, section\u00a04.2. It takes one argument.\nln APPLICATION transc1 ln This symbol represents the ln function (natural logarithm) as described in Abramowitz and Stegun, section\u00a04.1. It takes one argument. Note the description in the CMP\/FMP of the branch cut. If signed zeros are in use, the inequality needs to be non-strict.\nlog APPLICATION transc1 log This symbol represents a binary log function; the first argument is the base, to which the second argument is log'ed. It is defined in Abramowitz and Stegun, Handbook of Mathematical Functions, section\u00a04.1\nsec APPLICATION transc1 sec This symbol represents the sec function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\nsech APPLICATION transc1 sech This symbol represents the sech function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\nsin APPLICATION transc1 sin This symbol represents the sin function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\nsinh APPLICATION transc1 sinh This symbol represents the sinh function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\ntan APPLICATION transc1 tan This symbol represents the tan function as described in Abramowitz and Stegun, section\u00a04.3. It takes one argument.\ntanh APPLICATION transc1 tanh This symbol represents the tanh function as described in Abramowitz and Stegun, section\u00a04.5. It takes one argument.\n\n## en\/Mathematics\/OpenMath\/bigfloat1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nbigfloat APPLICATION bigfloat1 bigfloat The bigfloat constructor takes three arguments, a mantissa, a base and the exponent.\nbigfloatprec APPLICATION bigfloat1 bigfloatprec The bigfloat \"with precision specified in (another) radix\" constructor. Takes 3 arguments, the first argument is a floating point number constructed with the bigfloat constructor, the second is the new radix, whilst the third specifies how many digits are significant.\n\n## en\/Mathematics\/OpenMath\/experimental\/setname2\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nA SYMBOL setname2 A This symbol represents the set of algebraic numbers.\nBoolean SYMBOL setname2 Boolean This symbol represents the set of Booleans. That is the truth values, true and false.\nGFp APPLICATION setname2 GFp This symbol represents the finite field of integers modulo p, where p is a prime.\nGFpn APPLICATION setname2 GFpn This symbol represents the finite field with p^n elements, where p is a prime.\nH SYMBOL setname2 H This symbol represents the set of quaternions.\nQuotientField APPLICATION setname2 QuotientField This symbol represents the quotient field of any integral domain.\nZm APPLICATION setname2 Zm This symbol represents the set of integers modulo m, where m is not necessarily a prime. It takes one argument, the integer m.\n\n## en\/Mathematics\/OpenMath\/experimental\/setoid\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nmake_Setoid APPLICATION setoid make_Setoid The contructor for the tuples consisting of a set, an equivalence relation on the set, and a proof that the relation is actually an equivalence relation.\nSetoid APPLICATION setoid Setoid The contructor for the type of set with an equivalence relation on it.\n\n## en\/Mathematics\/OpenMath\/experimental\/permut1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\npermutation APPLICATION permutation1 permutation This symbols is an n-ary function whose arguments are cycles of length at least 2 with the property that all entries of all cycles are mutually distinct. The permutation symbol constructs a bijective map from the set X of entries of the cycles to X. The map is defined as follows: if E occurs as an entry of a cycle, then the permutation maps E to the entry following E in the same cycle if it exists and to the first entry in the same cycle otherwise.\n\n## en\/Mathematics\/OpenMath\/experimental\/polysts\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\npolynomial_ring SYMBOL polysts polynomial_ring The type of all polynomial rings, e.g. from polyr or polyd OCDs\n\n## en\/Mathematics\/OpenMath\/experimental\/polyslp\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nconst_node APPLICATION polyslp const_node This constructor takes one argument, which is a value from the coefficient ring. It is intended to represent a constant node.\ndepth APPLICATION polyslp depth A unary function taking an slp as argument and returning the greatest depth of any leaf node, that is the length of the longest contiguous path to any leaf node.\ninp_node APPLICATION polyslp inp_node This constructor takes one argument, which is a variable. The return value is intended to represent an input node.\nleft_ref APPLICATION polyslp left_ref Takes as argument a node of an slp. Returns the value of the left hand pointer of the node.\nlength APPLICATION polyslp length A unary function taking an slp as argument and returning the length of this slp.\nmonte_carlo_eq APPLICATION polyslp monte_carlo_eq This is a Monte-Carlo equality test, it takes three arguments, the first two are slps representing polynomials, the third argument is the maximum probability of incorrectness that is required of the equality test. (Monte-Carlo equality tests are very important for slps as they offer the only tractable method of solving the equality problem in many cases)\nnode_selector APPLICATION polyslp node_selector Takes an slp as the first argument, the second argument is the position of the required node. Returns the node of the slp at this position.\nop_node APPLICATION polyslp op_node This constructor takes three arguments. The first argument is a symbol from opnode, meant to specify whether the node is a plus, minus times or divide node, the second and third arguments are integers, which are the numbers of the lines which are the arguments of the operation\npoly_ring_SLP APPLICATION polyslp poly_ring_SLP The constructor of the polynomial ring. The first argument is a ring, (the ring of the coefficients), the rest are the variables, in any order.\npolynomial_SLP APPLICATION polyslp polynomial_SLP The constructor of Polynomials built with Straight Line Program representation. The first argument is the polynomial ring containing the polynomial built with poly_ring_SLP, The second argument is the program body built with prog_body.\nprog_body APPLICATION polyslp prog_body The constructor of the body of the straight line program the arguments represent straight line instructions, as constructed by the following three constructors, op_node, inp_node and const_node, possibly wrapped in the return symbol (from the opnode CD). The order is taken to be the order in which they appear.\nquotient APPLICATION polyslp quotient A quotient function for polynomials represented by slps. It is a requirement that this is an exact division.\nreturn_code APPLICATION polyslp return_code\nright_ref APPLICATION polyslp right_ref Takes as argument a node of an slp. Returns the value of the right hand pointer of the node.\nslp_degree APPLICATION polyslp slp_degree A unary function taking an slp as argument and returning the apparent multiplicative degree of the slp, without performing any cancellation.\n\n## en\/Mathematics\/OpenMath\/experimental\/linalg3\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncol_matrix APPLICATION linalg3 matrix This symbol is an n-ary matrix constructor which requires matrixcolumn's as arguments. It is used to represent matrices.\nmatrix_column APPLICATION linalg3 matrixcolumn This symbol is an n-ary constructor used to represent columns of matrices. Its arguments should be members of a ring.\ncol_vector APPLICATION linalg3 vector This symbol represents an n-ary function used to construct (or describe) vectors. Vectors in this CD are considered to be column vectors, and must therefore be transposed to be considered as row vectors.\n\n## en\/Mathematics\/OpenMath\/experimental\/list2\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncons APPLICATION list2 cons This symbol represents the cons list function. It takes 2 arguments: the second must be a list, where the elements have the same type as the type of the first. The function denotes a new list which has the first argument as its first element followed by the elements of the second argument.\n. OP_PLUS\nfirst APPLICATION list2 first This symbol represents a function which returns the first elements of its argument, which should be a list.\nCAR APPLICATION\nrest APPLICATION list2 rest This symbol represents a function which returns a list made up of all the elements except the first of its argument, which should be a list.\nCDR APPLICATION\n\n## en\/Mathematics\/OpenMath\/experimental\/polyd\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nDMP APPLICATION polyd DMP The constructor of DMPs. The first argument is the polynomial ring containing the polynomial and the second is a \"SDMP\". Should be of the form DMP(PolyRingD(...), SDMP(...))\nDMPL APPLICATION polyd DMPL The constructor for lists of multivariate polynomial members of the same polynomial ring. The first argument is a polynomial ring and the rest are \"SDMP\"s. DMPL can be attributed with the \"ordering\" symbol to indicate a particular ordering for monomials of all its polynomials. Should be of the form DMPL(PolyRingD(...), SDMP(...)+)\nelimination APPLICATION polyd elimination This is an ordering, which is partially in terms of one ordering, and partially in terms of another. First argument is a number of variables. Second is ordering to apply on the first so many variables. Third is an ordering on the rest, to be used to break ties.\ngraded_lexicographic APPLICATION polyd graded_lexicographic Total degree order, graded with the lexicographic ordering. Note that, if a poly_ring_d_named is used, lexigographic refers to the order of the variables in the poly_ring_d_named, not to their order as strings.\ngraded_reverse_lexicographic APPLICATION polyd graded_reverse_lexicographic Total degree order, graded with the reverse lexicographic ordering. Note that, if a poly_ring_d_named is used, lexigographic refers to the order of the variables in the poly_ring_d_named, not to their order as strings.\ngroebner APPLICATION polyd groebner The groebner basis (lt-reduced, minimal) of a set of polynomials, with respect to a given ordering. First argument is an ordering, the second is a list of polynomials. A program that can compute the basis is required to return a \"groebnered\" object.\ngroebner_basis APPLICATION polyd groebner_basis\nlexicographic APPLICATION polyd lexicographic The lexicographic ordering of terms. Note that, if a poly_ring_d_named is used, lexigographic refers to the order of the variables in the poly_ring_d_named, not to their order as strings.\nordering APPLICATION polyd ordering Used as an attribute to indicate an ordering of the terms in a polynomial or list of polynomials. The value of this attribute should be one of the constructors specifying ordering.\nplus APPLICATION polyd plus The sum. The argument is a DMPL. The sum lies within the same \"PolyRingD\" i.e. a program implementing this operation should return a DMP with the same \"poly_ring_d\" (or \"poly_ring_d_named\").\npoly_ring_d APPLICATION polyd poly_ring_d The constructor of polynomial ring. The first argument is a ring (the ring of the coefficients), the second is the number of variables as an integer.\npower APPLICATION polyd power The power. First argument is a DMP, second argument is the integer power. The power lies within the same \"PolyRingD\" i.e. a program implementing this operation should return a DMP with the same \"poly_ring_d\" (or \"poly_ring_d_named\").\nreduce APPLICATION polyd reduce The reduction of a polynomial with respect to a Groebner basis. First argument is a DMP, the second argument is a \"groebnered\" object. i.e. a program implementing this operation should return a DMP which represents the polynomial reduced with respect to the Groebner basis.\nreverse_lexicographic APPLICATION polyd reverse_lexicographic The reverse lexicographic ordering of terms. Note that, if a poly_ring_d_named is used, lexigographic refers to the order of the variables in the poly_ring_d_named, not to their order as strings.\nSDMP APPLICATION polyd SDMP The constructor for multivariate polynomials without any indication of variables or domain for the coefficients. Its arguments are just \"term\"s. No terms should differ only by the coefficient (i.e it is not permitted to have both \"2*x*y\" and \"x*y\" as terms in a SDMP). SDMP can be attributed with the \"ordering\" symbol to indicate a particular ordering of its terms. This attribute shall not be set if the SDMP is part of DMPL that has this attribute set. If the SDMP is ordered, explicitly or implicitly via an outer ordering, the terms must be in decreasing order with respect to this order. The zero polynomial is represented by an SDMP with no terms.\nterm APPLICATION polyd term The constructor of terms. Valid applications are of the form Term(coeff, exp1, exp2, ... expn) which represents the term coeff * var1^exp1*...varn^expn where n is the number of variables, expi are non-negative integers. coeff should be non-zero.\ntimes APPLICATION polyd times The product. The argument is a DMPL. The product lies within the same \"PolyRingD\" i.e. a program implementing this operation should return a DMP with the same \"poly_ring_d\" (or \"poly_ring_d_named\").\n\n## en\/Mathematics\/OpenMath\/experimental\/linalg5\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nanti_Hermitian APPLICATION linalg5 anti-Hermitian This symbol represents an anti-Hermitian matrix, it takes one argument. The argument should be a vector of vectors of values which determine the upper triangle of the matrix. The lower triangle of the matrix is specified by the following relation: - M^* = transpose(M), were M^* denotes the matrix consisting of all the complex conjugates of M. This rules implies that the main diagonal is zero, therefore the argument should not include it.\nbanded_matrix APPLICATION linalg5 banded This symbol represents a (p,q) banded matrix, it takes one argument. A (p,q) banded matrix should always be square. The lower non-zero subdiagonal is the first element of the argument, whilst the highest non-zero super-diagonal is given by the last element of the argument. The argument determines the band of possibly non-zero entries which are positioned around the diagonal. It should be a vector of vectors, we note that they will not all be the same length, however the length of the vectors determine p and q. The longest element specifies the diagonal of the matrix and hence the size of the matrix. Every element not in the band is zero.\nconstant_matrix APPLICATION linalg5 constant This symbol represents a matrix which has all entries of the same value. It takes two arguments, the first is the size of the matrix, the second is the constant which determines every element.\ndiagonal_matrix APPLICATION linalg5 diagonal_matrix This symbol denotes an n_ary function which is used to construct an (nxn) diagonal matrix, that is a matrix where every non-diagonal element is zero, the diagonal elements are equal to the n arguments.\nHermitian APPLICATION linalg5 Hermitian This symbol represents a Hermitian matrix, it takes one argument. The argument should be a vector of vectors of values which determine the upper triangle of the matrix. The lower triangle of the matrix is specified by the following relation: M^* = transpose(M), were M^* denotes the matrix consisting of all the complex conjugates of M.\nidentity_matrix APPLICATION linalg5 identity This symbol denotes a unary function which is used to construct an (nxn) identity matrix where n is the single positive integral argument.\nI APPLICATION\nlower_Hessenberg APPLICATION linalg5 lower-Hessenberg This symbol represents a lower-Hessenberg matrix, it takes one argument, the argument is a vector of vectors representing the non-zero elements. The first element of the argument specifies the value of the first super-diagonal, the subsequent elements specify the value of the diagonal and subsequent subdiagonals, all other elements are zero.\nlower_triangular APPLICATION linalg5 lower-Triangular\nscalar_matrix APPLICATION linalg5 scalar This symbol represents a matrix which is a scalar constant times the identity matrix. It should take three arguments, the first and second specify the number of rows and columns int he matrix respectively and the third specifies the scalar multiplier.\nskew_symmetric_matrix APPLICATION linalg5 skew-symmetric This symbol represents a skew-symmetric matrix, it takes one argument. The argument should be a vector of vectors of elements of the matrix. For j>i the ij'th element of the matrix is the (j-i+1)'th element of the i'th element of the argument. This determines the elements above the diagonal of the matrix, the elements below the diagonal of the matrix must conform to the rule M = - transpose M. This rule implies that the elements on the diagonal must be equal to 0, therefore we do not include these in the argument.\nsymmetric_matrix APPLICATION linalg5 symmetric This symbol represents a symmetric matrix, it takes one argument. The argument should be a vector of vectors of elements of the matrix. For j>=i the ij'th element of the matrix is the (j-i+1)'th element of the i'th element of the argument. This determines the upper triangle of the matrix, the lower triangle is specified by the rule M = transpose M.\ntridiagonal_matrix APPLICATION linalg5 tridiagonal This symbol represents a tridiagonal matrix, it takes one argument which should be a vector of vectors which should have three elements. These should be vectors representing the sub-diagonal, the diagonal and the super-diagonal in that order.\nupper_Hessenberg APPLICATION linalg5 upper-Hessenberg This symbol represents an upper-Hessenberg matrix, it takes one argument, the argument is a vector of vectors representing the non-zero elements. The first element of the argument specifies the value of the first subdiagonal, the subsequent elements specify the value of the diagonal and subsequent super-diagonals, all other elements are zero.\nupper_triangular APPLICATION linalg5 upper-triangular This symbol represents an upper-triangular matrix, it takes one argument. The argument should be a vector of vectors of elements of the matrix.\nzero_matrix APPLICATION linalg5 zero This symbol denotes a function with two integral arguments m,n which is used to construct an (mxn) zero matrix.\n\n## en\/Mathematics\/OpenMath\/experimental\/relation0\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nantisymmetric APPLICATION relation0 antisymmetric Proposition; the type of antisymmetric binary relations.\nequivalence APPLICATION relation0 equivalence Proposition; the type of equivalence relations, namely relations that are reflexive, symmetric and transitive.\nirreflexive APPLICATION relation0 irreflexive Proposition; the type of irreflexive binary relations.\norder APPLICATION relation0 order Proposition; the type of order relations, namely relations that are reflexive, antisymmetric and transitive.\npartial_equivalence APPLICATION relation0 partial_equivalence Proposition; the type of partial_equivalence relations, namely relations that are symmetric, and transitive.\npre_order APPLICATION relation0 pre_order Proposition; the type of preorder relations, namely relations that are reflexive and transitive.\nreflexive APPLICATION relation0 reflexive Proposition; the type of reflexive binary relations.\nrelation APPLICATION relation0 relation Type constructor; returns the type of binary relations on a set.\nstrict_order APPLICATION relation0 strict_order Proposition; the type of strict order relations, namely relations that are irreflexive, antisymmetric and transitive.\nsymmetric APPLICATION relation0 symmetric Proposition; the type of symmetric binary relations.\ntransitive APPLICATION relation0 transitive Proposition; the type of transitive binary relations.\n\n## en\/Mathematics\/OpenMath\/experimental\/linalg4\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncharacteristic_eqn APPLICATION linalg4 characteristic_eqn This symbol represents the polynomial which appears in the left hand side of the characteristic equation of a matrix. It takes one argument which should be the matrix. A definition of the characteristic equation is given in Elementary Linear Algebra, Stanley I. Grossman in Definition 2 of chapter 6, page 535.\ncolumncount APPLICATION linalg4 columncount This symbol represents the function which takes one matrix argument and returns the number of columns in that matrix.\neigenvalue APPLICATION linalg4 eigenvalue This symbol represents the eigenvalue of a matrix. It takes two arguments the first should be the matrix, the second should be an index to specify the eigenvalue. The ordering imposed on the eigenvalues is first on the modulus of the value, and second on the argument of the value. A definition of eigenvalue is given in Elementary Linear Algebra, Stanley I. Grossman in Definition 1 of chapter 6, page 533.\neigenvector APPLICATION linalg4 eigenvector This symbol represents the eigenvector of a matrix. It takes two arguments the first should be the matrix, the second should be an index to specify which eigenvalue this eigenvector should be paired with. The ordering is as given in the eigenvalue symbol. A definition of eigenvector is given in Elementary Linear Algebra, Stanley I. Grossman in Definition 1 of chapter 6, page 533.\nrank APPLICATION linalg4 rank This symbol represents the function which takes one matrix argument and returns the number of linearly independent rows (or columns) of that matrix.\nrowcount APPLICATION linalg4 rowcount This symbol represents the function which takes one matrix argument and returns the number of rows in that matrix.\nvector_size APPLICATION linalg4 size This symbol represents the function which takes one vector argument and returns the length of that vector.\n\n## en\/Mathematics\/OpenMath\/experimental\/arith2\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ninverse_element APPLICATION arith2 inverse A unary operator which represents the inverse of an element of a set. This symbol could be used to represent additive or multiplicative inverses.\ncommutative_times APPLICATION arith2 times The symbol representing an n-ary multiplication function inheriting from the times in arith1, but with the extra property that here it must be commutative.\n\n## en\/Mathematics\/OpenMath\/experimental\/poly\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nconvert APPLICATION poly convert Conversion between polynomial rings. The first argument is a polynomial and the second is a polynomial ring. This represents the conversion of the given polynomial as an element of the given ring. A program that can compute the conversion is required to return a polynomial in the given ring.\ndegree APPLICATION poly degree The total degree of its argument. The value returned is a non-negative integer. We note that the degree of 0 is undefined. Note that this operation takes no account of any weights that have been defined: see weighted_degree in polyd.\ndegree_wrt APPLICATION poly degree_wrt The degree with respect to a variable (the second argument). We note that the degree of 0 is undefined.\nexpand APPLICATION poly expand Converts a factored or squarefreed form into the expanded polynomial over the same ring, so that factored(recursive) -> recursive, etc.\nfactor APPLICATION poly factor The decomposition of its argument into irreducible factors. A program that can compute the factorization is required to return a \"factored\" object - see above. It is currently an open question whether powers of 1 can be omitted.\nfactored APPLICATION poly factored The constructor for a factorization. Its arguments are formal powers (see previous operator), where the polynomials are supposed to be irreducible (except possibly for a content from the ground ring). Note that \"factored\" is not a call to factorise something, rather a statement that we know a factorisation.\ngcd APPLICATION poly gcd The n-ary greatest common divisor of its polynomial arguments. This is unique up to units.\nlcm APPLICATION poly lcm The least common multiple of its polynomial arguments. This is unique up to units, but the choice must be compatible with that made for gcd: see the CMP\/FMP.\npower APPLICATION poly power Takes a polynomial and a (non-negative) integer and produces a formal power. Although OpenMath does not specify operational semantics, the idea here is that these powers are not evaluated. We note that the power from arith1 would suggest the expanded form.\nresultant APPLICATION poly resultant Function taking three arguments, it represents the resultant of two polynomials, which are the first two arguments, with respect to the given variable which is the third argument.\nsquarefree APPLICATION poly squarefree The square-free decomposition of its argument. A program that can compute the factorization is required to return a \"squarefreed\" object.\nsquarefreed APPLICATION poly squarefreed The constructor for a square-free factorization. Its arguments should have the structure of the above \"factored\", where the polynomials should be square-free. Note that this is not necessarily a minimal square-free decomposition: some exponents can occur more than once. Again, this is a statement that we have a square-free factorisation, rather than a request to compute one.\n\n## en\/Mathematics\/OpenMath\/experimental\/semigroup\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nassociative SYMBOL semigroup associative The type of associative binary operation.\nmake_Semigroup APPLICATION semigroup make_Semigroup The contructor for the tuples consisting of a setoid, and an associative binary operation.\nSemigroup APPLICATION semigroup Semigroup The contructor for the type of semigroups as a Setoid with a binary operation.\n\n## en\/Mathematics\/OpenMath\/experimental\/opnode\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ndivide SYMBOL opnode divide A constant value, constructs the divide for division nodes.\nminus SYMBOL opnode minus A constant value, constructs the minus for subtraction nodes.\nplus SYMBOL opnode plus A constant value, constructs the plus for addition nodes.\nreturn APPLICATION opnode return A unary function, takes a node of an slp, returns the value of the polynomial which corresponds to this node of the slp.\ntimes SYMBOL opnode times A constant value, constructs the times for multiplication nodes.\n\n## en\/Mathematics\/OpenMath\/experimental\/combinat1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nBell APPLICATION combinat1 Bell The Bell numbers: Bell(n) is the total number of possible partitions of a set of n elements.\nbinomial APPLICATION combinat1 binomial The binomial coefficients. binomial(n, m) is the number of ways of choosing m objects from a collection of n distinct objects without regard to the order.\nFibonacci APPLICATION combinat1 Fibonacci The Fibonacci numbers, defined by the linear recurrence: Fibonacci(0) = 0, Fibonacci(1) = 1, and Fibonacci(n + 1) = Fibonacci(n) + Fibonacci(n - 1). Note that some authors define Fibonacci(0) = 1.\nmultinomial APPLICATION combinat1 multinomial The multinomial coefficient, multinomial(n, n1, ... nk) is the number of ways of choosing ni objects of type i (i from 1 to k) without regard to order, in such a way that the total number of objects chosen is n. multinomial(n, n1, ... nk) is equal to n!\/(n1!*n2! ...*nk!).\nStirling1 APPLICATION combinat1 Stirling1 The Stirling numbers of the first kind. (-1)^(n-m)*Stirling1(n,m) is the number of permutations of n symbols which have exactly m cycles. Note that there are a few slightly different definitions of these numbers.\nStirling2 APPLICATION combinat1 Stirling2 The Stirling numbers of the second kind. Stirling2(n, m) is the number of partitions of a set with n elements into m non empty subsets. Note that there are a few slightly different definitions of these numbers.\n\n## en\/Mathematics\/OpenMath\/experimental\/group1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ncharacter_table APPLICATION group1 character_table This is the constructor for a character table. Usage: CharacterTable(centralizer_primes, centralizer_indices, classnames, power_map, irreducibles_matrix) If G has n conjugacy classes then: * centralizer_primes is of the form [p1, .., pk] i < j implies that pi < pj and the pi are precisely the primes which divide the order of some centralizer of a conjugacy class * centralizer_indices is of the form [[i11, ...,i1k] ... [in1,...ink]] so the centralizer of class 1 has order p1^i11 ... pk^i1k etc * classnames is a list of n strings which name the conjugacy classes in line with the convention used in the Atlas of Finite Groups * power_map is of the form [list1, ..., listk] where listi[j] is the name of the class where elements of class j go when raised to the power pi. * irreducibles_matrix: rows correspond to irreducible characters, columns are conjugacy classes. Entries are the value of an element of the column's conjugacy class under the character of the row.\ncharacter_table_of_group APPLICATION group1 character_table_of_group Refers to the character table of its argument which must be a group.\nconjugacy_class APPLICATION group1 conjugacy_class The binary function whose value is the set of elements which are conjugate to the second argument in the first.\ndeclare_group APPLICATION group1 declare_group This symbol is a constructor for groups. It takes four arguments in the following order; a set to specify the elements in the group, a binary operation to specify the group operation, a unary operation to specify inverses of group elements and an element to specify the identity. Both the binary and unary operations should act on elements of the set and return an element of the set.\nderived_subgroup APPLICATION group1 derived_subgroup The unary function whose value is the subgroup of argument generated by all products of the form xyx^-1y^-1.\nelement_set APPLICATION group1 element_set The unary function which returns the set of elements of a group.\ngroup APPLICATION group1 group The n-ary function Group. The group generated by its arguments. The arguments must have a natural group operation associated with them.\nis_abelian APPLICATION group1 is_abelian The unary boolean function whose value is true iff the argument is an abelian group\nis_normal APPLICATION group1 is_normal If G, H are the group arguments, then IsNormal(G,H) returns true precisely when G is normal in H. That is, g^-1*h*g is defined and contained in H for all h in H and g in G.\nis_subgroup APPLICATION group1 is_subgroup The binary function whose value is true if the second argument is a subgroup of the first.\nnormal_closure APPLICATION group1 normal_closure The binary function whose value is the set of conjugates of the elements of the second group by elements of the first, where multiplication between them is defined.\nquotient_group APPLICATION group1 quotient_group The binary function whose value is the factor group of the first argument by the second, assuming the second is normal in the first.\nright_traversal APPLICATION group1 right_traversal\nsylow_subgroup APPLICATION group1 sylow_subgroup The largest p-subgroup of the argument (up to conjugacy).\n\n## en\/Mathematics\/OpenMath\/experimental\/permgrp\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nis_primitive APPLICATION permgrp is_primitive The unary function whose value is true iff its permutation group argument acts primitively.\nis_transitive APPLICATION permgrp is_transitive The unary function whose value is true iff the permutation group argument acts transitively.\norbit APPLICATION permgrp orbit The binary function whose value is the set of integers which are in the orbit of the second argument under the action of the first argument which is a permutation group.\nstabilizer APPLICATION permgrp stabilizer The first argument is a permutation group, the second is some object (point or set) upon which the first argument acts. The value is the subgroup of the first argument which stabilize the second argument.\n\n## en\/Mathematics\/OpenMath\/experimental\/polyr\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\npoly_r_rep APPLICATION polyr poly_r_rep A constructor for the representation of polynomials. The first argument is the polynomial variable, the rest are monomials (in decreasing order of exponent).\npolynomial_r APPLICATION polyr polynomial_r The constructor of Recursive Polynomials. The first argument is the polynomial ring containing the polynomial and the second is a \"poly_r_rep\".\npolynomial_ring_r APPLICATION polyr polynomial_ring_r The constructor of a recursive polynomial ring. The first argument is a ring (the ring of the coefficients), the rest are the variables (in order).\nterm APPLICATION polyr term A constructor for monomials, that is products of powers and elements of the base ring. First argument is from N (the exponent of the variable implied by an outer poly_r_rep) second argument is a coefficient (from the ground field, or a polynomial in lesser variables).\n\n## en\/Mathematics\/OpenMath\/quant1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nexists BINDING quant1 exists This symbol represents the existential (\"there exists\") quantifier which takes two arguments. It must be placed within an OMBIND element. The first argument is the bound variables (placed within an OMBVAR element), and the second is an expression.\nBINDING\nfor_all BINDING quant1 forall This symbol represents the universal (\"for all\") quantifier which takes two arguments. It must be placed within an OMBIND element. The first argument is the bound variables (placed within an OMBVAR element), and the second is an expression.\nBINDING\n\n## en\/Mathematics\/OpenMath\/setname1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nC SYMBOL setname1 C This symbol represents the set of complex numbers.\nSYMBOL\nN SYMBOL setname1 N This symbol represents the set of natural numbers (including zero).\nSYMBOL\nP SYMBOL setname1 P This symbol represents the set of positive prime numbers.\nSYMBOL\nQ SYMBOL setname1 Q This symbol represents the set of rational numbers.\nSYMBOL\nR SYMBOL setname1 R This symbol represents the set of real numbers.\nSYMBOL\nZ SYMBOL setname1 Z This symbol represents the set of integers, positive, negative and zero.\nSYMBOL\n\n## en\/Mathematics\/OpenMath\/piece1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\notherwise APPLICATION piece1 otherwise This symbol introduces the 'default' value of a piecewise construct. If none of the previous piece constructs can provide the value, this will. It has a single child, the value.\npiece APPLICATION piece1 piece This introduces an individual component of a piecewise definition. It has precisely two arguments: the first is the value, and the second is a Boolean (meant to be a predicate) which is true if and only if this piece is to provide the value of the piecewise construct.\npiecewise APPLICATION piece1 piecewise This operator heads an expression that is being defined piecewise. Its arguments are n objects built with the piece constructor, optionally followed by one built with otherwise constructor.\n\n## en\/Mathematics\/OpenMath\/s_data1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nmean APPLICATION s_data1 mean This symbol represents an n-ary function denoting the mean of its arguments. That is, their sum divided by their number.\nmedian APPLICATION s_data1 median This symbol represents an n-ary function denoting the median of its arguments. That is, if the data were placed in ascending order then it denotes the middle one (in the case of an odd amount of data) or the average of the middle two (in the case of an even amount of data).\nmode APPLICATION s_data1 mode This symbol represents an n-ary function denoting the mode of its arguments. That is the value which occurs with the greatest frequency.\nmoment APPLICATION s_data1 moment This symbol is used to denote the i'th moment of a set of data. The first argument should be the degree of the moment (that is, for the i'th moment the first argument should be i), the second argument should be the point about which the moment is being taken and the rest of the arguments are treated as the data. For n data values x_1, x_2, ..., x_n the i'th moment about c is (1\/n) ((x_1-c)^i + (x_2-c)^i + ... + (x_n-c)^i). See CRC Standard Mathematical Tables and Formulae, editor: Dan Zwillinger, CRC Press Inc., 1996, section 7.7.1.\nsdev APPLICATION s_data1 sdev This symbol represents a function requiring two or more arguments, denoting the sample standard deviation of its arguments. That is, the square root of (the sum of the squares of the deviations from the mean of the arguments, divided by the number of arguments). See CRC Standard Mathematical Tables and Formulae, editor: Dan Zwillinger, CRC Press Inc., 1996, (7.7.11) section 7.7.1.\nvariance APPLICATION s_data1 variance This symbol represents a function requiring two or more arguments, denoting the variance of its arguments. That is, the square of the standard deviation.\n\n## en\/Mathematics\/OpenMath\/alg1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\none SYMBOL alg1 one This symbol represents the multiplicative identity element.\nzero SYMBOL alg1 zero This symbol represents the additive identity element.\n\n## en\/Mathematics\/OpenMath\/linalg1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\ndeterminant APPLICATION linalg1 determinant This symbol denotes the unary function which returns the determinant of its argument, the argument should be a square matrix.\ndet APPLICATION\nmatrix_selector APPLICATION linalg1 matrix_selector This symbol represents the function which allows individual entries to be selected from a matrix. It takes three arguments, the first is the index of the row and the second is the index of the column of the required element, the third argument is the matrix in question. The indexing is one based, i.e. the element in the top left hand corner is indexed by (1,1).\nouterproduct APPLICATION linalg1 outerproduct This symbol represents the outer product function. It takes two vector arguments and returns a matrix. It is defined as follows: if we write the {i,j}'th element of the matrix to be returned as m_{i,j}, then: m_{i,j}=a_i * b_j where a_i,b_j are the i'th and j'th elements of a, b respectively.\nscalarproduct APPLICATION linalg1 scalarproduct This symbol represents the scalar product function. It takes two vector arguments and returns a scalar value. The scalar product of two vectors a, b is defined as |a| * |b| * cos(\\theta), where \\theta is the angle between the two vectors and |.| is a euclidean size function. Note that the scalar product is often referred to as the dot product.\n\u00b7 OP_PROD\ntranspose APPLICATION linalg1 transpose This symbol represents a unary function that denotes the transpose of the given matrix or vector\nvector_selector APPLICATION linalg1 vector_selector This symbol represents the function which allows individual entries to be selected from a vector, or a matrixrow. It takes two arguments. The first argument is the position in the vector (or matrixrow) of the required entry, the second argument is the vector (or matrixrow) in question. The indexing is one based, i.e. the first element is indexed by one.\nvectorproduct APPLICATION linalg1 vectorproduct This symbol represents the vector product function. It takes two three dimensional vector arguments and returns a three dimensional vector. It is defined as follows: if we write a as [a_1,a_2,a_3] and b as [b_1,b_2,b_3] then the vector product denoted a x b = [a_2b_3 - a_3b_2 , a_3b_1 - a_1b_3 , a_1b_2 - a_2b_1]. Note that the vector product is often referred to as the cross product.\n\/\\ OP_PROD\nOP_PROD\n\n## en\/Mathematics\/OpenMath\/list1\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nlist APPLICATION list1 list This symbol denotes the list construct which is an n-ary function. The list entries must be given explicitly.\nmap APPLICATION list1 map This symbol represents a mapping function which may be used to construct lists, it takes as arguments a function from X to Y and a list over X in that order. The value that is returned is a list of values in Y. The argument list may be a set or an integer_interval.\nOP_PLUS\nsuchthat APPLICATION list1 suchthat This symbol represents the suchthat function which may be used to construct lists, it takes two arguments. The first argument should be the set which contains the elements of the list, the second argument should be a predicate, that is a function from the set to the booleans which describes if an element is to be in the list returned.\n| APPLICATION\nAPPLICATION\n\n## en\/Mathematics\/OMDoc\n\nQMath syntax Symbol type OpenMath CD OpenMath name Description\nAlt_Definition PARAGRAPH_TYPE alternative-def QMath text structure.\nAlt_simple_definition PARAGRAPH_TYPE alternative-def@type=simple QMath text structure.\nAlt_inductive_definition PARAGRAPH_TYPE alternative-def@type=inductive QMath text structure.\nAlt_implicit_definition PARAGRAPH_TYPE alternative-def@type=implicit QMath text structure.\nAlt_definition_obj PARAGRAPH_TYPE alternative-def@type=obj QMath text structure.\nAssertion PARAGRAPH_TYPE assertion QMath text structure.\nTheorem PARAGRAPH_TYPE assertion@type=theorem QMath text structure.\nLemma PARAGRAPH_TYPE assertion@type=lemma QMath text structure.\nCorollary PARAGRAPH_TYPE assertion@type=corollary QMath text structure.\nConjecture PARAGRAPH_TYPE assertion@type=conjecture QMath text structure.\nAssumption PARAGRAPH_TYPE assumption QMath text structure.\nAxiom PARAGRAPH_TYPE axiom QMath text structure.\nAxiom_inclusion PARAGRAPH_TYPE axiom-inclusion QMath text structure.\nCode PARAGRAPH_TYPE code QMath text structure.\nConclude PARAGRAPH_TYPE conclude QMath text structure.\nDefinition PARAGRAPH_TYPE definition QMath text structure.\nSimple_definition PARAGRAPH_TYPE definition@type=simple QMath text structure.\nInductive_definition PARAGRAPH_TYPE definition@type=inductive QMath text structure.\nImplicit_definition PARAGRAPH_TYPE definition@type=implicit QMath text structure.\nDefinition_obj PARAGRAPH_TYPE definition@type=obj QMath text structure.\nDerive PARAGRAPH_TYPE derive QMath text structure.\nExample PARAGRAPH_TYPE example QMath text structure.\nExample_for PARAGRAPH_TYPE example@type=for QMath text structure.\nExample_against PARAGRAPH_TYPE example@type=against QMath text structure.\nExercise PARAGRAPH_TYPE exercise QMath text structure.\nHint PARAGRAPH_TYPE hint QMath text structure.\nHypothesis PARAGRAPH_TYPE hypothesis QMath text structure.\nOmlet PARAGRAPH_TYPE omlet QMath text structure.\nAbstract PARAGRAPH_TYPE omtext@type=abstract QMath text structure.\nIntroduction PARAGRAPH_TYPE omtext@type=introduction QMath text structure.\nConclusion PARAGRAPH_TYPE omtext@type=conclusion QMath text structure.\nThesis PARAGRAPH_TYPE omtext@type=thesis QMath text structure.\nAntithesis PARAGRAPH_TYPE omtext@type=antithesis QMath text structure.\nElaboration PARAGRAPH_TYPE omtext@type=elaboration QMath text structure.\nMotivation PARAGRAPH_TYPE omtext@type=motivation QMath text structure.\nEvidence PARAGRAPH_TYPE omtext@type=evidence QMath text structure.\nLinkage PARAGRAPH_TYPE omtext@type=linkage QMath text structure.\nNarrative PARAGRAPH_TYPE omtext@type=narrative QMath text structure.\nSequence PARAGRAPH_TYPE 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Eduard Čech (Stračov, 29 juni 1893 – Praag, 15 maart 1960) was een Tsjechisch wiskundige.
Čech geboren in Stračov in Bohemen (toen in Oostenrijk-Hongarije nu in de Tsjechische Republiek) studeerde vanaf 1812 aan de Karelsuniversiteit Praag.
Hij werkte op het gebied van de projectieve differentiaalmeetkunde en de topologie.
In 1921–1922 werkte hij in Turijn samen met Guido Fubini.
Zie ook
Stone-Čech-compactificatie
Externe link
Eduard Čech op MacTutor
Tsjechisch wiskundige
20e-eeuws wiskundige | {
"redpajama_set_name": "RedPajamaWikipedia"
} | 483 |
\section{Analysis}
\label{sec:analysis}
\begin{figure}
\includegraphics[width=\columnwidth]{plots/sigma_sed.pdf}
\caption{
Standard deviation of the flux density over all 50 orientations, for each galaxy, as a function of (observer-frame) wavelength (the equivalent rest-frame wavelength is shown for reference).
The wavelength ranges covered by the Herschel PACS and SPIRE instruments are shown for reference \citep{poglitsch_photodetector_2010,griffin_herschel-spire_2010}, as well as the anticipated wavelength range of the AtLAST instrument \citep{kawabe_new_2016,groppi_first_2019,klaassen_atacama_2020}. The atmospheric transmission in the AtLAST wavelength regime is shown in blue (taken from \href{https://almascience.eso.org/about-alma/atmosphere-model}{almascience.eso.org/about-alma/atmosphere-model})
}
\label{fig:sigma_sed}
\end{figure}
For each galaxy we generate the galaxy-integrated SEDs as observed by 50 coeval observers distributed randomly throughout the $z=0$ Universe.
Figures \ref{fig:dust_maps} \& \ref{fig:dust_maps_B} show the variety of \textit{observed} 100--1000 \SI{}{\micro\meter}\ SEDs for each galaxy in the sample.
This illustrates substantial variance in the observed SED close to the peak of the thermal dust emission simply due to projected orientation.
This variation at the peak is considerable, greater than 50 mJy for Smiley, or 170\% of the minimum value for Lacon, and on average 34 mJy (94\% of the minimum value) for all our simulated galaxies.
\fig{sigma_sed} shows the standard deviation, as a function of wavelength, for the flux density across all 50 orientations.
Each galaxy shows a similar increase in the variability towards the peak of the dust emission, though with different levels of absolute variation ($>$10\,mJy for Smiley at $\lambda_{\rm obs}\sim$180 \SI{}{\micro\meter}).
The SEDs converge towards millimetre wavelengths as expected for optically thin radiation in the Rayleigh-Jeans regime.
There are four (linked) implications of this result:
\begin{enumerate}
\item A single random observer will never directly measure the representative SED of a given SMG.
\item As a result of (i), at a fixed redshift, derived properties such as dust temperature, luminosity and SFR are subject to an additional source of uncertainty which we will refer to as the `orientation uncertainty'.
\item For a flux-limited survey conducted at $\lambda\lesssim200$ \SI{}{\micro\meter}\ (rest-frame), the selection of SMGs at a fixed redshift will be biased in favour of certain projected orientations, which we will refer to as the `orientation bias'.
\item Such a flux-limited survey will also be subject to an additional redshift bias, as the \textit{intrinsic} wavelength window in which orientation effects are most prominent moves through the \textit{observed} wavelength range.
\end{enumerate}
Below, we explore these four points in more detail.
However, we first investigate the origin of the orientation dependence.
\section{Measuring and sampling from the dimming distribution}
\label{sec:sampling}
\begin{figure}
\includegraphics[width=\columnwidth]{plots/dimming_distribution}
\caption{Binned distribution of dimming fraction for all galaxies and orientations combined (solid) at four different wavelengths, with fits (dashed).
}
\label{fig:dimming_distribution}
\end{figure}
For each orientation $i \in [n]$ of each simulated galaxy $g$, where $n = \{1, \cdots, 50\}$, we calculated the normalised emission at wavelength $\lambda$,
\begin{equation}
D^{i}_{g} = 1 - \frac{S^{i}_{g}(\lambda)}{\max\limits_{i \in n} \, S^{i}_{g}(\lambda)} \;\;,
\end{equation}
where $D$ can be considered the relative dimming.
\fig{dimming_distribution} shows the distribution of $D$ for all galaxies and orientations combined, at four different wavelengths.
This distribution can be approximated by
\begin{equation}
1 - D = \frac{e^{ax - 1}}{b} \;\;,
\end{equation}
where $a$ is analogous to the rate parameter in the exponential distribution, and $b$ sets the normalisation.
Fits to the stacked distribution from our simulated galaxy sample give $a = 9.58$ (at 250 \SI{}{\micro\meter}, observer-frame).
To sample from this distribution we used inverse transform sampling; we first transformed $D$ to a probability density function, integrated to obtain the cumulative distribution function (CDF), and then found the inverse to give $D_{g}$, the estimated dimming for each randomly sampled galaxy $g$,
\begin{equation}
D_{g} = 1 - \frac{\mathrm{log} \left( x (e^{a - 1} - e^{-1}) \right)}{a} \;\;,
\end{equation}
where $x$ is a random variable sampled from the uniform distribution $U(0,1)$.
\subsection{Orientation dependent survey bias}
\label{sec:bias}
We have shown how orientation can lead to a large dispersion in the emergent submillimetre flux density, and its effect on measured intrinsic properties.
We now explore how this can lead to a bias in the selection of sub-mm galaxies in flux-limited surveys, by preferentially selecting galaxies with certain orientations, and the knock--on effect on measured distributions of intrinsic quantities.
To demonstrate the magnitude of such a bias we build a Monte Carlo model for a sub-mm survey at a given observed wavelength $\lambda_{\mathrm{obs}}$.
There are three main components to the model: the dimming distribution as a function of rest--frame wavelength ($\lambda_{\mathrm{rest}}$), a number density distribution of sources selected at $\lambda_{\mathrm{obs}}$, and a redshift distribution of those sources selected at $\lambda_{\mathrm{obs}}$.
The latter component takes account of the fact that galaxies observed at a single observer--frame wavelength cover a range of rest--frame wavelengths depending on their distance.
Whilst the negative $K$--correction leads to consistent flux densities over a large range of redshift, the variability due to orientation at a given redshift, at a fixed observer--frame wavelength, will change, and lead to selection biases as a function of redshift.
The model is publicly available at \href{https://github.com/christopherlovell/orientation_bias}{github.com/christopherlovell/orientation\_bias}, and can be used to assess the impact of orientation completeness for an arbitrary survey.
\begin{figure}
\includegraphics[width=\columnwidth]{plots/dimming_distribution.pdf}
\caption{
Binned distribution of dimming fraction for all galaxies and orientations combined (solid) at four different wavelengths, with fits (dashed).
\textit{Inset:} rate parameter $a$ against rest-frame wavelength (blue), with cubic fit (orange), and the fit for the individual wavelengths plotted in the main panel (coloured crosses).
}
\label{fig:dimming_distribution}
\end{figure}
We first use our sample of simulated galaxies to obtain an estimate of the dimming distribution as a function of rest--frame wavelength.
By sampling from the dimming distribution for all galaxies and orientations combined, we fold in the effect of both orientation and morphology simultaneously.
For each orientation $i \in [n]$ of each simulated galaxy $g$, where $n = \{1, \cdots, 50\}$, we calculated the normalised emission at wavelength $\lambda$,
\begin{equation}
D^{i}_{g} = 1 - \frac{S^{i}_{g}(\lambda)}{\max\limits_{i \in n} \, S^{i}_{g}(\lambda)} \;\;,
\end{equation}
where $D$ can be considered the relative dimming.
\fig{dimming_distribution} shows the distribution of $D$ for all galaxies and orientations combined, at seven different wavelengths.
This distribution can be approximated by
\begin{equation}
D = \frac{a\,e^{-ax}}{b} \;\;,
\end{equation}
where $a$ is analogous to the rate parameter in the exponential distribution, and $b$ sets the normalisation.
We fit to the distribution for a large range of rest--frame wavelengths (20--1000 \SI{}{\micro\meter}) and then fit the evolution of $a$ with $\lambda_{\mathrm{rest}}$ with a third--order polynomial, shown inset on \fig{dimming_distribution}.\footnote{coefficients: $c_1 = 2.4 \times 10^{-10}$, $c_2 = -5.6 \times 10^{-6}$, $c_3 = 6.8 \times 10^{-3}$, $c_4 = 5.3 \times 10^{-1}$}
We can now, for an \textit{arbitrary} rest--frame wavelength, sample from the dimming distribution by sampling from an exponential with corresponding rate parameter $a$.
The final two components of the model, the number density and redshift distributions, can be adjusted to accommodate any survey at a chosen wavelength.
Below we demonstrate an application of the model to a survey at $\lambda_{\mathrm{obs}} = 250$ \SI{}{\micro\meter}.
We begin by sampling from a \cite{schechter_analytic_1976} function for the flux density distribution,
\begin{equation}
\frac{\mathrm{d}N}{\mathrm{d \,log}S} = \mathrm{log(10)} \; \frac{1}{S_{0}} \left( \frac{S}{S_{0}} \right)^{1-\gamma} \mathrm{exp} \left( - \frac{S}{S_{0}} \right) \;\;,
\end{equation}
where $S_{0} = 31.6 \; \mathrm{mJy}$ and $\gamma = 1.91$ \citep[fit to the counts from][]{wang_multi-wavelength_2019}.
Assuming a survey area of $10 \, \mathrm{deg^{2}}$, we sample galaxies above $S \geqslant 1$\,mJy; producing approximately $3\,900\,000$ galaxies, where the brightest has a flux density of $S\sim 260 \; \mathrm{mJy}$.
The redshift distribution is modelled using a simple truncated gaussian \citep[$\mu = 2$; $\sigma = 1$;][]{dunlop_blast_2010,mitchell-wynne_hermes_2012}, clipped between $z = [0,5]$, shown in the top panel of \fig{redshift_completeness}.
The flux density for each randomly sampled galaxy $g$ at redshift $z$ is then
\begin{equation}
S^{\,\mathrm{dim}}_{g} (\lambda_{\mathrm{obs}}) = S_{g} (\lambda_{\mathrm{obs}}) \, D_{g} (\lambda_{\mathrm{obs}}, z) \;\;.
\end{equation}
where the dimming is sampled from the dimming distribution at $\lambda_{\mathrm{rest}} = \lambda_{\mathrm{obs}} / (1+z)$, taking the corresponding value of $a$.
\fig{completeness} shows the number counts of $S_{250 \mathrm{\mu m}}$ sources both before and after dimming, which reduces the normalisation of the abundance by $\sim$0.08\,dex.
\begin{figure}
\includegraphics[width=\columnwidth]{plots/lf_completeness.pdf}
\caption{
The observed $S_{250 \mathrm{\mu m}}$ number count distribution from our model.
The red dashed line shows the number counts before dimming is applied, the black dashed line shows the counts after dimming.
The dimmed counts are coloured by the orientation completeness, for a flux-density limit $S_{\mathrm{lim}} = 14.21 \, \mathrm{mJy}$ (dashed-dotted line).
The flux density at which the completeness is 95\% ($S_{\mathrm{lim}} = 23.46 \, \mathrm{mJy}$) is shown by the dotted line.
The completeness at a given flux density is dependent on both $S_{\mathrm{lim}}$ and wavelength.
}
\label{fig:completeness}
\end{figure}
\begin{figure}
\includegraphics[width=\columnwidth]{plots/dimming_fraction.pdf}
\caption{
Fraction of galaxies recovered, binned by dimming $D$, at $\lambda_{\mathrm{obs}} = 250$ \SI{}{\micro\meter}.
Each coloured line shows a different flux density limit ($S_{\mathrm{lim}}$).
As expected, the most heavily dimmed galaxies (due to a combination of morphology and orientation) are less likely to be detected, and this effect is strongest for higher $S_{\mathrm{lim}}$.
}
\label{fig:dimming_fraction}
\end{figure}
We can now ask, given some flux-limited survey at a wavelength $\lambda$, how many galaxies of a particular orientation (encoded by $D$) are missed?
We can do this by comparing the number of galaxies in our dimmed survey, $N_{\mathrm{dim}}$, with those in the un-dimmed survey, $N$.
\fig{dimming_fraction} shows the ratio $N_{\mathrm{dim}} \,/\, N$, which we refer to as the \textit{orientation completeness}, binned by the relative dimming $D$, for different survey limits at $\lambda = 250$\SI{}{\micro\meter}.
Where there is very little dimming, $D < 0.1$, at least 78\% of galaxies are recovered, but this falls dramatically for galaxies with increased dimming, down to $\sim$10\% for the most heavily obscured galaxies ($D > 0.4$) and a high flux density limit ($S_{\mathrm{lim}} = 64 \, \mathrm{mJy}$).
The number of galaxies missed with high dimming can be significant.
However, we expect the missed galaxies to be dominated by those close to the lower flux density limit, since (1) the dimming fraction is applied equally to all galaxies, and (2) the abundance of galaxies is higher at lower flux densities.
We again use the concept of \textit{orientation completeness}, this time defined as the percentage of the original orientation distribution recovered, for a given lower flux density limit $S_{\mathrm{lim}}$, at a given flux density.
The top panel of \fig{completeness} shows the 250 \SI{}{\micro\meter}\ number counts, coloured by the completeness.
It is clear that at the bright end the completeness is close to 100\%, but this reduces at lower flux densities closer to $S_{\mathrm{lim}}$.
In this realisation, the flux density at which the completeness reaches 95\% is $S_{95} = 23.46 \, \mathrm{mJy}$, $9.25 \, \mathrm{mJy}$ greater than $S_{\mathrm{lim}}$.
Finally, since we model the redshift distribution of sources we can assess the completeness as a function of redshift.
The top panel of \fig{redshift_completeness} shows the normalised redshift distribution of all our modelled sources, as well as those above some flux density limit $S_{\mathrm{lim}} = 30 \, \mathrm{mJy}$.
The distribution of galaxies above this limit after dimming is slightly shifted to lower redshifts ($\Delta \, z_{\mathrm{median}} = -0.11$).
This can be explained by the dimming distribution as a function of redshift, shown in the second panel of \fig{redshift_completeness}; at higher redshifts galaxies tend to have higher dimming, with a median at $z = 4.7$ of 11\%, compared to 2\% at $z = 0.3$.
This is a result of the peak of the orientation variability, shown in \fig{sigma_sed}, moving through the observed wavelength range.
Finally, the bottom panel of \fig{redshift_completeness} shows the completeness (defined as the fraction recovered: $N_{\mathrm{dim}} \,/\, N$) as a function of redshift for different $S_{\mathrm{lim}}$ cuts.
For $S_{\mathrm{lim}} = 64 \, \mathrm{mJy}$, the completeness is below 60\% at $z > 3$, which highlights the increasing impact of orientation incompleteness at high-$z$.
\begin{figure}
\includegraphics[width=\columnwidth]{plots/redshift_completeness.pdf}
\caption{
Redshift distribution of sources in a mock 250 \SI{}{\micro\meter}\ survey.
\textit{Top:} The normalised redshift distribution of all sources (blue), those whose un-dimmed flux density is above $S_{\mathrm{lim}} = 30$ (orange), and those whose \textit{dimmed} flux density is above $S_{\mathrm{lim}}$. There is a slight bias towards lower redshifts as a result of the orientation-dependent dimming.
\textit{Middle:} the distribution of dimming values for the mock galaxies.
Grey points show the median distribution binned in redshift, with errors showing the 16$^{\mathrm{th}}$--84$^{\mathrm{th}}$ percentile range.
The 2D histogram (blue) shows the distribution of all sources.
Galaxies at higher redshift are more likely to experience high orientation-dependent dimming.
\textit{Bottom:} completeness as a function of redshift $z$ at a given $S_{\mathrm{lim}}$.
The redshift-dependent dimming leads to a redshift-dependent incompleteness.
}
\label{fig:redshift_completeness}
\end{figure}
We have taken account of the effect of both orientation and morphology by folding them into a single `dimming' parameter.
In reality, these are two separate effects, and a more sophisticated model would independently treat the morphology of each object and its relative orientation.
However, this would require a much larger sample of simulated galaxies to fully sample the distribution of morphologies, and the subsequent RT to assess the effect on the dimming, which is computationally expensive.
It is nevertheless worth keeping in mind that the morphology has a known dependence on other physical properties, such as the stellar mass, and so the inferred distribution from our very small sample may not extrapolate to, for example, lower mass, sub-mm --faint galaxies.
The morphology distribution is also redshift dependent, which our fixed redshift sample does not take into account.
The analysis presented above at 250 \SI{}{\micro\meter}\ can be repeated for any survey at arbitrary wavelength, using our publicly available tool (\href{https://github.com/christopherlovell/orientation_bias}{github.com/christopherlovell/orientation\_bias}), and used to assess the impact of orientation bias for current or future surveys and instruments.
\section{Conclusions}
\label{sec:conc}
We have presented a prediction, based on dust radiative transfer modelling in hydrodynamic simulations, that submillimetre galaxy emission is dependent on orientation, and that this will lead to an \textit{orientation bias} in both the selection of sub-mm galaxies, as well as measurements of their properties.
Our findings in detail are as follows:
\begin{itemize}
\item Sub-mm emission emission is orientation dependent, peaking at $\lambda_{\mathrm{rest}} \sim 55$ \SI{}{\micro\meter}, with variation of up to 51 mJy at the peak of the emission between the different orientations.
\item In ordered disc galaxies, the flux dependence can be parametrised by the relative orientation to the disc, with face-on galaxies showing higher emission than edge-on.
However, we find no simple parameterisation for the orientation effect for arbitrary morphologies.
\item This orientation dependence leads to a dispersion in properties measured from the sub-mm emission, such as the dust temperature and FIR luminosity (inter-percentile ranges of $5.0$ K and 0.110 dex, respectively), which translates into an uncertainty in the star formation rate of 30\% (when estimated using simple calibrations).
\item The orientation dependence will also lead to an \textit{orientation bias} in the selection of galaxies in flux-limited samples.
We model this bias, and find that the fraction of edge-on galaxies can be reduced by up to 80\% for a 250 \SI{}{\micro\meter}\ survey with a lower flux density limit of $S_{\mathrm{lim}} = 64 \, \mathrm{mJy}$.
\item The orientation bias is also redshift dependent, leading to completeness in selected edge--on galaxies lower than 60\% at $z > 3$ for a lower flux density limit $S_{\mathrm{lim}} = 64 \, \mathrm{mJy}$ in a 250 \SI{}{\micro\meter}\ survey.
\end{itemize}
Together, these results suggest that the orientation bias will affect a number of surveys, as well as the statistical interpretation of targeted follow up studies.
We see the greatest variation in flux-density due to orientation close to the peak of the dust emission at $z = 2$ in the observer--frame.
At these wavelengths it is primarily \textit{Herschel}, with its PACS/SPIRE instruments, that has performed the deepest and widest surveys so far.
Unfortunately these instruments suffer from a high confusion noise level.
It is therefore unlikely that the orientation-bias we have seen in \textsc{Simba}\ will be detectable in such surveys, since they are limited to the most IR-luminous galaxies, or those sources suffering from significant multiplicity, even in those that are reasonably well cross-matched with optical surveys.
From the other perspective, ALMA's small field of view limits what can be achieved with blind surveys; those surveys that have been carried out \citep[\textit{e.g.}][]{franco_goods-alma_2018} are typically at longer wavelengths, where the orientation bias effect is lower.
However, ALMA is uniquely capable of resolved follow up of interesting sources, allowing us to understand the physics behind the orientation dependence in greater detail.
Follow up studies with ALMA will also be subject to the orientation bias effect, depending on the wavelength and instrument used to perform the initial selection.
Future planned, large single dish submillimetre observatories with much lower confusion limits will be more sensitive to fainter high-{\it z} SMGs selected at $\lambda_{\rm obs}>350$ \SI{}{\micro\meter}. For example,
the Atacama Large Aperture Submillimeter Telescope (AtLAST), currently in the design study phase, will allow high-resolution large-scale surveys at 350 \SI{}{\micro\meter}\ -- 4 $\mathrm{mm}$ thanks to its 50\,m single dish \citep{kawabe_new_2016,groppi_first_2019,klaassen_atacama_2020}.
These surveys will provide a direct means of testing whether the orientation bias we see in \textsc{Simba} is present, at least for $z > 2$.
If confirmed, we argue that this bias should be taken into account in future surveys with such instruments, particularly those used as source catalogues for detailed follow up with interferometric observatories such as ALMA -- these catalogues may be biased to galaxies with face-on orientations.
This uncertainty should also be taken into account when measuring and comparing the temperature and FIR luminosity distribution of sub-mm samples.
The code for generating models for user-specified surveys is publicly available at \href{https://github.com/christopherlovell/orientation_bias}{github.com/christopherlovell/orientation\_bias}.
It allows observers to assess the impact of orientation bias on a given survey, providing insight into the completeness in terms of flux density, redshift and orientation / morphology, for a given observed wavelength and combined (arbitrary) number count and redshift distribution.
We hope that this will be useful for understanding and assessing the impact of the orientation bias for past, present and future surveys.
\section{Introduction}
Submillimetre astronomers must navigate a morass of telluric absorption to get a clear view of the cosmos. Nature allows terrestrial observers but a few glimpses through the submillimetre windows, primarily at approximately 350, 450 and 850\SI{}{\micro\meter}. Even so, like children stretching up to peer over the sill, Earth-bound observers must strain as close as possible to the stars, seeking high and dry sites to minimise the deleterious column of water vapour, the bane of submillimetre observers.
Above the atmosphere the submillimetre perspective is in principle clear, but at the cost of resolution: space telescopes such as {\it Herschel} \citep{pilbratt_herschel_2010} cannot yet rival the scale of their ground-based counterparts, so while clear, the view is confused.
In deep extragalactic ground-based surveys conducted through one of the submillimetre windows, or at any given wavelength for that matter, we refer to, for example, `350\SI{}{\micro\meter}-selected' or `850\SI{}{\micro\meter}-selected' submillimetre galaxies (SMGs).
Regardless of their selection, SMGs broadly represent a class of rapidly star-forming galaxies at high redshift \citep[$z>1$;][see \cite{casey_dusty_2014} for a review]{smail_deep_1997,barger_submillimetre-wavelength_1998,hughes_high-redshift_1998,lilly_canada-united_1999,chapman_redshift_2005}.
Their spectral energy distribution (SED) is dominated by thermal emission from carbonaceous and silicate particles -- dust -- heated by the interstellar radiation field \citep{hildebrand_determination_1983}.
Thus, SMGs' far-infrared SEDs approximately follow blackbody emission, peaking at a rest-frame wavelength of 70--125\SI{}{\micro\meter}{} \citep{casey_dusty_2014}.
For typical dust temperatures of a few tens of Kelvin, the bulk of the far-infrared SED is redshifted to submillimetre/millimetre wavelengths for sources at cosmological distances, and with a negative {\it K}-correction in the Rayleigh-Jeans regime, galaxies have roughly constant (or even increasing) brightness at submillimetre wavelengths over $z \approx 1\text{--}10$ for a given luminosity \citep{blain_submillimeter_2002}.
Although submillimetre surveys provide, arguably, an `ideal' census of infrared-luminous (and therefore dust-obscured) activity over cosmic time, it is critical to assess the selection biases inherent in single band cosmological surveys.
For instance, there is a well-known flux density dependence on the intrinsic dust temperature of galaxies stemming from Wien's law which should be included in any assessment of survey depth or completeness, and which is most prominent for wavelengths beyond 500 \SI{}{\micro\meter}\ \citep[e.g.~][]{blain_galaxygalaxy_1996,eales_canada-uk_2000,blain_accurate_2004,chapman_population_2004,casey_confirming_2009}.
As an example, consider an SMG at $z=2$; a change in peak dust temperature of $\Delta T = 20$\,K corresponds to a 850\SI{}{\micro\meter}--1.2mm flux density variation of up to 1\,dex \citep{casey_dusty_2014}.
Thus, a flux-limited survey will tend to result in a temperature bias in the selection of galaxies at a given redshift.
The fact that the redshift causes the thermal peak to move through the submillimetre windows could also result in a bias in the redshift distribution of SMGs selected at a fixed wavelength, such that the brightest galaxies selected at long wavelengths are typically at higher redshift \citep{smolcic_millimeter_2012,simpson_scuba-2_2017,brisbin_alma_2017,miettinen_alma_2017,dudzeviciute_alma_2020}.
There have long been hints, from the few bright \citep{hodge_evidence_2012} or highly lensed sources \citep{swinbank_intense_2010} available, that the detailed distribution of submillimetre emission in individual SMGs is likely to be complex, but for many years actually measuring the submillimetre morphology was out of reach due to the coarse resolution of single dish facilities and the relatively low sensitivity of interferometric arrays.
Substantial progress has been made in the past decade, starting with the Plateau de Bure Interferometer \citep[now the NOrthern Extended Millimeter Array; e.g.,][]{smolcic_millimeter_2012} and the Submillimetre Array \citep[e.g.,][]{barger_precise_2012},
and a step change with the Atacama Large Millimetre/submillimetre Array (ALMA) which has revolutionized our view of the submillimetre Universe \citep{hodge_high-redshift_2020}.
The sensitivity and resolution of ALMA is revealing the morphology of SMGs with increasing clarity \citep[e.g.,][]{carilli_anatomy_2013, hodge_kiloparsec-scale_2016, hodge_alma_2019, oteo_witnessing_2016, oteo_almacal_2017, gullberg_dust_2018, diaz-santos_multiple_2018, gullberg_alma_2019, rujopakarn_alma_2019, litke_spatially_2019}.
Here we consider the impact of the projected orientation of SMGs on their observed submillimetre emission, and investigate potential selection and analysis biases that might arise as a result.
For example, for submillimetre morphologies with axisymmetric components, the projected orientation may affect selection if the emission is optically thick, and the exact distribution of the structures responsible for the emission will determine the severity of the effect.
Moreover, such an \textit{orientation bias} will be wavelength dependent, compounding or competing with the known selection effects described above.
We take a theoretical approach, making use of the \textsc{Simba} cosmological hydrodynamic simulation \citep{dave_simba:_2019} and a sophisticated treatment for dust radiative transfer \citep{narayanan_powderday_2021} to produce multiple views of a given SMG for coeval observers at different locations.
One may question the fidelity of the simulation in producing realistic SMGs -- a concern we address -- however we make predictions that could be tested observationally, particularly with future single-dish observatories \citep{kawabe_new_2016,klaassen_atacama_2020}, which would confirm or refute an orientation bias in the selection of SMGs. Our investigation is structured as follows.
In \sec{sims} we describe the \textsc{Simba}\ simulations, our radiative transfer modelling, and the sample selection.
\sec{analysis} contains our analysis, including an exploration of the physical cause of the orientation dependence (\sec{explain}), the uncertainty incurred in measurements of physical parameters (\sec{uncertain}), and the bias introduced in flux-limited SMG surveys (\sec{bias}).
We discuss our results and reiterate our conclusions in \sec{conc}.
Throughout we assume a \cite{planck_collaboration_planck_2016} cosmology, and a \cite{chabrier_galactic_2003} initial mass function.
\section*{Acknowledgements}
We wish to thank Jo Ramasawmy for help understanding the anticipated capabilities of AtLAST, and Aswin Vijayan for helpful discussions.
We acknowledge the following open source software packages used in the analysis (and not already referenced in the text): \textsf{scipy} \citep{2020SciPy-NMeth}, \textsf{Astropy} \citep{robitaille_astropy:_2013} \& \textsf{matplotlib} \citep{Hunter:2007}.
CCL acknowledges support from the Royal Society under grant RGF/EA/181016.
JEG is supported by a Royal Society University Research Fellowship.
MF acknowledges the support from STFC (grant number ST/R000905/1).
\textsc{Simba}\ was run on the DiRAC@Durham facility managed by the Institute for Computational Cosmology on behalf of the STFC DiRAC HPC Facility. The equipment was funded by BEIS capital funding via STFC capital grants ST/P002293/1, ST/R002371/1 and ST/S002502/1, Durham University and STFC operations grant ST/R000832/1. DiRAC is part of the National e-Infrastructure.
\section*{Data Availability}
The data underlying this article will be shared on reasonable request to the corresponding author.
The code to build and analyse the Monte Carlo model in \sec{bias} is available at \href{https://github.com/christopherlovell/orientation_bias}{\tt github.com/christopherlovell/orientation\_bias}.
The \textsc{Simba}\ simulation data and galaxy catalogs are publicly available at \href{https://simba.roe.ac.uk}{\tt
https://simba.roe.ac.uk}.
\bibliographystyle{mnras}
\subsection{Explaining the orientation dependence}
\label{sec:explain}
The only property that changes in our SMGs when observed from different orientations is the projected geometry of both the stellar sources and dust distribution.
The RT pipeline self consistently takes this complex geometry into account.
We now explore whether this orientation-dependent variation can be simply parameterised by the physical properties of the galaxies.
It is clear from Figures \ref{fig:dust_maps} \& \ref{fig:dust_maps_B} that a considerable fraction of our SMGs have disc like morphologies.
To explore whether this may lead to the orientation-dependent variation, we first calculate the angular momentum vector of each of our galaxies gas distributions,
\begin{align}
\boldsymbol{L} = \sum_i \left( \boldsymbol{R}_i \times m_i \boldsymbol{V}_i \right) \;\;,
\end{align}
where $\boldsymbol{R}_i$ is the position of gas particle $i$, $m$ is its mass, and $\boldsymbol{V}_i$ its velocity.
We restrict this calculation to particles within 100\,kpc (physical) of the centre of mass.
The angular momentum vector points outwards from the position of the centre of mass, perpendicular to the plane of the disc (if present).
To find the orientation of the galaxy with respect to our chosen line of sight, we then calculate the cosine similarity, $C$, between the line of sight vector, $\boldsymbol{u}$, and $L$,
\begin{align}
C = \frac{\boldsymbol{L} \cdot \boldsymbol{u}}{\lVert L \rVert \, \lVert u \rVert}
\end{align}
where $C \in [-1,1]$. $|C| = 1$ suggests alignment of the two vectors, i.e., a face-on view of a galaxy, and $|C| = 0$ suggests an edge-on view.
\fig{cosine_similarity_g3} shows the sub-mm emission in Smiley for all 50 orientations, coloured by the cosine similarity.
There is a clear dependence of the normalisation in the optically-thin regime on $C$: where the disc is viewed edge-on, the emission is lowest, and where the disc is viewed face-on the the emission is highest.
In order to compare all galaxies in our sample we plot $C$ against the normalised flux density in \fig{cosine_similarity}.
For galaxies with clear disc-like morphologies (Smiley, Guillem, Esterhase, Lacon) there is a clear correlation between $C$ and the normalised flux density.
However, not all sub-mm galaxies in our sample have disc morphologies (Haydon, Alleline, Prideaux, Bland); in these cases the angular momentum vector is meaningless, and there is no correlation.
\begin{figure}
\includegraphics[width=\columnwidth]{plots/cosine_similarity_g3.pdf}
\caption{\textit{Top:} observer-frame spectral energy distribution for Smiley, coloured by the absolute value of the cosine similarity ($|C|$) between the angular momentum vector of the gas and the orientation vector.
\textit{Bottom:} ratio of the flux density for each orientation to the mean over all orientations.
}
\label{fig:cosine_similarity_g3}
\end{figure}
\begin{figure}
\includegraphics[width=\columnwidth]{plots/cosine_similarity.pdf}
\caption{Cosine similarity $C$ against $S_{250}$ flux density (observer-frame), normalised to the maximum of the 50 orientations.
Galaxies with clear disc morphologies (Smiley, Guillam, Esterhase, Lacon; circular markers) show a clear positive correlation, further emphasised by the lines which show the binned medians, whereas galaxies without a disc (Haydon, Alleline, Prideaux, Bland; star markers) show no such relationship.
}
\label{fig:cosine_similarity}
\end{figure}
We wish to find a morphology-agnostic measure of the normalised flux-density, and investigate the line-of-sight (LOS) attenuation as a possible candidate.
LOS attenuation is typically calculated towards individual stellar particles in a galaxy in order to approximate the effect of dust \citep[e.g.,][]{vijayan_first_2021}.
It calculates the sum of the metal column density along a line between the observer and the chosen particle, by summing the contributions from each gas particle whose SPH kernel overlaps this line.
For sub-mm emission in the optically thick regime, the emission is from the surface of the dust.
The variation seen in the sub-mm SED can therefore be attributed to emitting dust obscured by foreground dust.
We calculate the LOS attenuation for each of our galaxies and explored the correlations between the cumulative attenuation and the normalised flux density.
We find that, as for the cosine similarity, only disc galaxies showed a strong correlation between the cumulative attenuation and the flux density, for a given orientation.
This highlights the impact of the geometry of the gas and stars on the emergent emission, and suggests that secondary emission is an important factor, emphasising the need for full RT to explore this effect in simulations.
\subsection{Orientation uncertainty}
\label{sec:uncertain}
We have demonstrated the complex impact of orientation on the observed FIR emission of a galaxy.
We now explore how this affects measured derived properties.
For galaxies detected in the sub-mm, the most important derived properties are the temperature and integrated infrared luminosity, typically estimated through modified blackbody (MBB), or `greybody', fits to photometric sampling of the sub-mm SED. Temperature is a parameter of the model, and the luminosity is simply measured through the integral of the MBB.
Further derived properties such as dust/ISM mass and SFR can follow \citep[e.g.,][]{privon_interpretation_2018,kaasinen_molecular_2019}.
Here we illustrate the impact of orientation uncertainty on estimates of dust temperature and luminosity from MBB fits, noting that this uncertainty will propagate further into the other derived measurements such as dust/ISM mass and SFR. The use of a modified blackbody in fitting far-infrared SEDs is {\it de rigueur}, and considerations of the impact of optical depth effects in the analysis of SMGs is certainly not new.
For example, \cite{simpson_scuba-2_2017} used ALMA to measure the sizes of SMGs selected from the SCUBA-2 Cosmology Legacy Survey \citep{geach_scuba-2_2017}, arguing that their far-infrared emission arises from regions that are optically thick at $\lambda_0\gtrsim 75$\,$\mu$m, and discuss the impact this has on the measured dust temperature \citep[see also][]{dudzeviciute_alma_2020}.
\begin{figure}
\includegraphics[width=\columnwidth]{plots/temp_lum_scatter}
\caption{
Distribution of estimates of temperature and FIR luminosity for all 50 orientations of our eight sub-mm galaxies.
\textit{Top:} Temperature ($T_{\mathrm{MBB}}$) and $L_{\mathrm{IR}}$ estimated through MBB fits to the sub-mm emission.
\textit{Bottom:} The temperature estimate from the peak of the SED in the FIR regime ($T_{\mathrm{peak}}$).
}
\label{fig:temp_lum_scatter}
\end{figure}
We generally do not fully sample the SED in practice.
With photometry in the sub-mm we may gather a handful of measurements of the total flux density, ideally spanning the peak of the thermal dust emission and into the Rayleigh-Jeans tail.
The sub-sampled SED can then be modelled with a MBB \citep{casey_far-infrared_2012}, $B_\nu(T)$, of the form
\begin{align}
B_\nu = \frac{\left(1 - e^{\tau(\nu)}\right)\, \nu^{3}}{e^{h \nu / k T_{\mathrm{MBB}}} - 1} \,\,,
\end{align}
where $h$ is the Planck constant, $k$ the Boltzmann constant, $\tau$ is the optical depth given by $\tau = (\nu / \nu_{0})^{\beta}$, and $\beta$ is the dust emissivity.
The transition between the optically thick and thin regimes occurs at $\tau(\nu_0)\approx1$.
Given the emission at $[250,350,500,850]$\SI{}{\micro\meter}\ (which a sub-mm observer would consider a well-sampled SED) we then fit for the temperature $T_{\mathrm{MBB}}$, with some arbitrary normalisation factor.
As discussed in \cite{liang_dust_2019}, this should not be considered a physical dust temperature.
Note that we assume the redshift of the galaxy is known, allowing us to investigate the impact of orientation uncertainty independent of redshift uncertainty.
In practice, the redshifts of SMGs can be routinely measured with high precision through sub-mm/mm emission line spectroscopy \citep[{e.g.,}][]{strandet_redshift_2016}.
We also fit $\nu_0$ and $\beta$ simultaneously with $T_{\mathrm{MBB}}$, and find $\lambda_{0} = c / \nu_0 = 80 \, \mu \mathrm{m}$, low compared to the standard assumption \citep[\textit{e.g.}][]{blain_submillimetre_2003} but consistent with recent ALMA measurements at high-$z$ \citep{faisst_alma_2020}, and $\beta = 2$, consistent with the theory of dust scattering \citep{weingartner_dust_2001} and some observational constraints \citep[\textit{e.g.}][]{dunne_scuba_2000,draine_dust_2007,magnelli_herschel_2012}.
The top panel of \fig{temp_lum_scatter} shows the combined distribution of $T_{\mathrm{MBB}}$ and $\log_{10}(L_{\rm FIR}/L_\odot)$ (the latter obtained from integrating the total MBB SED over 1--1000\SI{}{\micro\meter}) for each galaxy over the 50 orientations.
\tab{sample} shows the median and $5^{\mathrm{th}} - 95^{\mathrm{th}}$ percentile range of the distributions for each galaxy.
The measured temperatures are somewhat high compared to observed galaxies at $z = 2$ \citep{schreiber_dust_2018}, though within the considerable scatter at fixed $L_{\mathrm{IR}}$, particularly for the most IR luminous sources sampled here, and are consistent with those obtained from the previous MUFASA model \citep{narayanan_irx-_2018}.
The average inter-percentile range is 5.0 K and $0.110 \; \mathrm{dex}$, for the temperature and FIR luminosity, respectively.
For a simple SFR calibration \citep[\textit{e.g.}][]{kennicutt_star_2012,wilkins_recalibrating_2019} based on $L_{\rm FIR}$, this corresponds to a 30\% variance in SFR, comparable to the systematic uncertainty due to choice of initial mass function.
Our results quantify the added uncertainty optical depth effects have due to the relative orientation of the source.
As fixed observers we only have a single view of any given external galaxy; the orientation-dependent variance on $T$ and $L_{\rm FIR}$ represent fundamental uncertainties to be considered when interpreting observations of SMGs, even those with exquisite data.
To avoid the added uncertainties introduced by the MBB modelling, we also show the temperature measured from the peak of the far-infrared emission \citep[\textit{e.g.}][]{casey_dusty_2014,liang_dust_2019},
\begin{equation}
T_{\mathrm{peak}} = \frac{2.90 \times 10^3 \, \mathrm{\mu m \cdot K} }{ \lambda_{\mathrm{peak}}}
\end{equation}
where we infer $\lambda_{\mathrm{peak}}$ directly from the fully sampled output SED, and use quadratic interpolation to find the exact position of the peak.
We also measure $L_{\rm FIR}$ directly from the output SED.
The bottom panel of \fig{temp_lum_scatter} shows the scatter in these derived parameters over the 50 orientations.
$T_{\mathrm{peak}}$ and $T_{\mathrm{MBB}}$ are broadly similar, though there is a weaker correlation between $T_{\mathrm{peak}}$ and $L_{\rm FIR}$ than for the MBB inferred temperatures, though the quantitative scatter in each parameter is similar.
\tab{sample} shows the median and $5^{\mathrm{th}} - 95^{\mathrm{th}}$ percentile range of the distribution of $T_{\mathrm{peak}}$ for each galaxy.
\subsection{Sample}
In order to focus on the effect of orientation we select a single snapshot, at redshift $z = 2.025$, similar to the median redshift of 850 \SI{}{\micro\meter}-selected SMGs \citep{chapman_redshift_2005,simpson_alma_2014,dudzeviciute_alma_2020}.
We select all galaxies with more than 1000 star particles and a total star formation rate within the halo of $\mathrm{SFR} > 500 \, \mathrm{M_{\odot} \, yr^{-1}}$
This results in eight galaxies\footnote{Named in homage to John Le Carr\'e, who sadly passed away during the preparation of this paper.}, listed in \tab{sample}.\footnote{SFRs are quoted within a 30 kpc aperture centred on the galaxies centre of mass, hence why some of these galaxies have SFRs lower than our halo-defined selection criteria.}
These galaxies are sub-mm luminous ($S_{850}\approx2\text{--}6$\,mJy), occupying the bright end of the $S_{850}$ number count distribution \citep{lovell_reproducing_2021}.
Figures \ref{fig:dust_maps} and \ref{fig:dust_maps_B} show the dust column density distribution in the selected galaxies along three orthogonal sightlines.
\begin{table*}
\centering
\begin{tabular}{lcccccccc}
\hline
Label & $\mathrm{log_{10}}(M_{\star,30 \; \mathrm{kpc}} \,/\, \mathrm{M_{\odot}})$ & $\mathrm{log_{10}}(M_{\mathrm{dust}} \,/\, \mathrm{M_{\odot}})$ & $\mathrm{SFR \,/\, M_{\odot} \, yr^{-1}}$ & $\left< S_{850} \right> \,/\, \mathrm{mJy}$ & $T_{\mathrm{MBB}} \,/\, \mathrm{K}$ & $T_{\mathrm{peak}} \,/\, \mathrm{K}$ & $\mathrm{log_{10}}(L_{\mathrm{IR}} \,/\, \mathrm{L_{\odot}})$ & Disc? \\
\hline
Smiley & 12.03 & 9.29 & 1238 & 5.60 & $49.25_{-3.39}^{+1.40}$ & $53.69_{-2.52}^{+1.22}$ & $13.03_{-0.10}^{+0.04}$ & Yes \\[2pt]
Haydon & 11.83 & 8.90 & 618 & 1.94 & $57.97_{-3.08}^{+2.13}$ & $60.11_{-3.98}^{+1.74}$ & $12.76_{-0.05}^{+0.04}$ & No \\[2pt]
Guillam & 11.46 & 8.98 & 432 & 3.52 & $50.92_{-3.49}^{+1.96}$ & $48.91_{-1.07}^{+1.38}$ & $12.89_{-0.10}^{+0.04}$ & Yes \\[2pt]
Alleline & 11.45 & 9.08 & 962 & 4.61 & $51.30_{-1.78}^{+2.33}$ & $48.83_{-0.96}^{+1.57}$ & $13.02_{-0.05}^{+0.04}$ & No \\[2pt]
Esterhase & 11.34 & 8.95 & 719 & 3.41 & $53.02_{-4.66}^{+0.84}$ & $52.01_{-3.77}^{+0.74}$ & $12.90_{-0.10}^{+0.02}$ & Yes \\[2pt]
Prideaux & 11.33 & 8.85 & 736 & 3.30 & $49.94_{-2.56}^{+1.56}$ & $48.42_{-2.05}^{+1.67}$ & $12.86_{-0.06}^{+0.04}$ & No \\[2pt]
Bland & 11.26 & 8.87 & 641 & 3.27 & $49.14_{-1.37}^{+0.79}$ & $47.14_{-1.18}^{+0.83}$ & $12.82_{-0.03}^{+0.02}$ & No \\[2pt]
Lacon & 11.26 & 8.75 & 467 & 2.08 & $57.63_{-4.00}^{+3.06}$ & $54.69_{-2.44}^{+2.77}$ & $12.78_{-0.08}^{+0.05}$ & Yes \\[2pt]
\hline
\end{tabular}
\caption{The properties of the galaxy sample. The columns, from left to right, show (1) stellar mass, (2) total dust mass, (3) instantaneous star formation rate, (4) median 850 \SI{}{\micro\meter}\ (observer-frame) flux density (over all orientations), (5,7) median and $5^{\mathrm{th}} - 95^{\mathrm{th}}$ percentile of the temperature and FIR luminosity from a modified blackbody fit to the sub-mm emission over the 50 orientations (see \sec{uncertain}), (6) median and $5^{\mathrm{th}} - 95^{\mathrm{th}}$ percentile of the temperature distribution measured from the peak of the FIR emission, (7) whether the galaxy exhibits a disc-like morphology, from visual inspection of the 3D dust and SFR distribution.
(1,2,3) are all measured within a 30 kpc spherical aperture centred on the halo centre of mass.}
\label{tab:sample}
\end{table*}
\section{Simulated submillimetre galaxies}
\label{sec:sims}
\subsection{Simba}
\textsc{Simba}\ \citep{dave_simba:_2019} is the successor to the \textsc{Mufasa} simulations \citep{dave_mufasa:_2016,dave_mufasa:_2017}.
Both simulations use the Meshless Finite Mass (MFM) method from \textsc{Gizmo} \citep{hopkins_new_2015}, but \textsc{Simba}\ implemented a number of significant improvements to the sub-grid prescriptions for both star formation and AGN feedback. \textsc{Simba}\ was tuned primarily to match the evolution of the overall stellar mass function and the stellar mass--black hole mass relation \citep{dave_simba:_2019}, but reproduces a number of key observables at both low and high redshift that do not rely on this tuning, and are bona fide predictions of the model.
These include SFR functions, the cosmic SFR density, passive galaxy number densities \citep{rodriguez_montero_mergers_2019}, galaxy sizes and star formation rate profiles \citep{appleby_impact_2020}, central supermassive black hole properties \citep{thomas_black_2019}, damped Ly$\alpha$ abundances \citep{hassan_testing_2020}, star formation histories \citep{mamon_frequency_2020}, the reionisation-epoch UV luminosity function \citep{wu_photometric_2020}, and the low-redshift Ly$\alpha$ absorption \citep{christiansen_jet_2019}. We refer the reader to \citet{dave_simba:_2019} for a full description of the simulation, and to the works referenced above for details of the specific predictions and comparison to observational constraints. Of importance to this work is the treatment of dust in \textsc{Simba}, which we briefly summarise here.
\textsc{Simba}\ implements a self-consistent on-the-fly dust framework, modelling the production, growth and destruction of dust grains, passively advected along gas elements \citep{dave_simba:_2019,li_dust--gas_2019}.
Metals ejected from SNe and AGB stars condense into grains following the \cite{dwek_evolution_1998} prescription, and these grains are assumed to have a single size, 0.1\SI{}{\micro\meter}. Condensation efficiencies for each process are updated based on the theoretical models of \cite{ferrarotti_composition_2006} and \cite{bianchi_dust_2007}. Two-body processes can increase the amount of dust by accreting gas-phase metals \citep{dwek_evolution_1998,hirashita_dust_2000,asano_dust_2013}, and `thermal sputtering' and SNe shocks \citep{mckinnon_dust_2016} can destroy grains.
A number of processes can completely destroy the dust reservoir in a gas element; these include hot-phase winds, star formation and any gas subject to X-ray or jet feedback from AGN. This prescription results in dust-to-metal ratios in good agreement with observations, and dust mass functions broadly in agreement with data, albeit somewhat low at $z\sim 2$~\citep{li_dust--gas_2019}; \textsc{Simba}\ may mildly underestimate the dust content of dusty SFGs during Cosmic Noon, an epoch of interest in this work. Nevertheless, \cite{lovell_reproducing_2021} show that \textsc{Simba} can broadly reproduce the demographics of the SMG population, again with no tuning, with the best match to observational number counts compared to any other fully hydrodynamic cosmological simulation to date.
In this work we primarily use a large volume $(147 \,\mathrm{cMpc})^{3}$ \textsc{Simba} run with the fiducial physics in order to study rare, massive SMGs. This volume contains 1024$^3$ dark matter particles and 1024$^3$ gas elements, with element (particle) masses of $6.3\times 10^7 M_\odot$ and $1.2\times 10^7 M_\odot$, respectively, and an adaptive gravitational softening length covering 64 neighbours with a minimum value of $0.5 \,h^{-1}\,\mathrm{kpc}$.
Galaxies are identified using an on-the-fly friends-of-friends structure finder, described in \cite{dave_mufasa:_2016}.
This means that individual SMGs are resolved with thousands of gas elements at minimum.
\subsection{Dust continuum radiative transfer}
\begin{figure*}
\includegraphics[width=\textwidth]{plots/dust_maps.pdf}
\caption{\textit{Top three rows:} dust column density maps for each galaxy.
Each column shows an individual galaxy (Smiley, Haydon, Guillam, Alleline, labelled top right), and each row shows one of three orthogonal orientations, colour coded by a circle with radius 20 kpc.
\textit{Bottom row:} observer-frame ($z = 2.025$) SED in the sub-mm regime for all 50 random orientations in black.
The SEDs for the 3 orientations mapped above are also shown; the line colour corresponds to the colour of the circles.
The median flux density at 850 \SI{}{\micro\meter} (observer-frame) is given at the top right.
The vertical shaded region shows the range in wavelength of the location of the peak of the sub-mm emission.
}
\label{fig:dust_maps}
\end{figure*}
\begin{figure*}
\includegraphics[width=\textwidth]{plots/dust_maps_B}
\caption{As for \fig{dust_maps}, but showing Esterhase, Prideaux, Bland and Lacon.}
\label{fig:dust_maps_B}
\end{figure*}
We use the {\it Powderday} dust radiative transfer (RT) code \citep{narayanan_powderday_2021}. We refer the reader to \cite{narayanan_powderday_2021} and \cite{lovell_reproducing_2021} for a comprehensive description of the RT methodology.
In summary, we generate full SEDs for galaxies as follows.
Star particles are treated as a Simple Stellar Population (SSP) with fixed age and metallicity.
The Flexible Stellar Population Synthesis model \citep[FSPS;][]{conroy_propagation_2009,conroy_propagation_2010} is used to generate an SED, assuming an initial mass function and theoretical isochrone library.
We adopt the MILES spectral library \citep{sanchez-blazquez_medium-resolution_2006} combined with BPASS \citep{eldridge_binary_2017,stanway_re-evaluating_2018} to take into account binary evolution.
Radiation from each source propagates through the ISM where photons are scattered, absorbed and re-emitted.
We assume the wavelength-dependence of dust RT is described by the \cite{draine_interstellar_2003} model, with $R_V=3.1$.
Subgrid RT processes are not modelled. {\it Hyperion} \citep{robitaille_hyperion_2011} is used to perform dust RT using a Monte Carlo approach.
Emission from each source is modelled with photon packets, which are emitted with random direction and frequency.
Photons propagate through the volume until they reach the edge of the grid, or some limiting optical depth $\tau_{\rm lim}$.
Finally, emergent SEDs are generated through ray tracing.
We restrict our analysis to a cube with diameter 30 kpc (physical) centred on each galaxy.
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 7,750 |
Some weeks I may decide to write a little mini-review for pieces of equipment I have tried. Some of these products may become a standard for me and some may not. These reviews are only one person's option, but it may help you as you begin choosing your own gear. I will also include information on things I find for painting in the studio. | {
"redpajama_set_name": "RedPajamaC4"
} | 2,232 |
CHAPEL HILL -- NC TEACH (North Carolina Teachers of Excellence for All CHildren), an alternative teacher preparation program administered by the 16-campus University of North Carolina, has received a $2.7-million Transition to Teaching grant from the U.S. Department of Education. The Transition to Teaching program supports projects that recruit and retain highly qualified mid-career professionals and recent college graduates as teachers for high-need schools in high-need local school districts.
NC TEACH will use the five-year federal grant to expand and strengthen its current services for lateral-entry teachers and provide a new focus on identified high-need school districts in North Carolina. First offered in 1999 in collaboration with the NC Department of Public Instruction (DPI), NC TEACH has since prepared about 1,500 new classroom teachers across the state. An on-line component was added in 2003 through the joint involvement of UNC, DPI, and LEARN NC. As a result, NC TEACH programs and services are now available through East Carolina University, Fayetteville State University, Lenoir Rhyne College, NC Central University, NC State University, UNC-Chapel Hill, UNC Greensboro, UNC Wilmington, Western Carolina University, and Winston-Salem State University. In addition, UNC Charlotte offers a variety of NC TEACH affiliate programs, and NC A&T State University plans to begin offering the program in the near future.
The expanded program, to be called NC TEACH II, will work directly with school districts to develop additional satellite host site locations, offer increased access to the NC TEACH OnLine model, and in collaboration with LEARN NC, develop online content courses for middle grades and secondary science and math lateral-entry teachers. Initially, four UNC campuses—ECU, UNC-Chapel Hill, UNC Pembroke, and WCU—will participate in NC TEACH II, and additional sites may be added.
NC TEACH II will recruit and prepare 100 to 125 additional lateral-entry teachers per year with a focus on math, science, special populations, and other licensure areas needed by participating school districts. Upon making a commitment to remain employed in a high-need school district for at least three years, qualified program participants will receive laptop computers and stipends.
For more information about NC TEACH, visit www.ncteach.net. | {
"redpajama_set_name": "RedPajamaC4"
} | 4,568 |
This presentation template 41680 is complete compatible with Google Slides. Just download PPTX and open the theme in Google Slides. Nice and romantic PowerPoint template with maritime map and compass on the background is an ideal choice for presentations on business planning and strategic navigation in sea of business. | {
"redpajama_set_name": "RedPajamaC4"
} | 5,304 |
Spring is in full swing at YVR, and we're looking for motivated new team members to join us ahead of our busy summer season. This month, we're highlighting five of the more than 20 positions currently open at the best airport in North America.
Our Information Technology (IT) Department is looking for a new team member to join its ranks. The successful applicant will be tasked with technical design and scheduled maintenance related tasks during their term. Working full time, the new team member will support infrastructure, functionality and applications for mission-critical airport systems. Applicants are expected to have at least five years of recent and related experience with Microsoft and Linux IT system environments and be certified in Microsoft MCSE, MCITP or MCTS. For more information on this position, visit this link.
YVR is looking for a new face to join our dynamic Engineering Services Department. The successful candidate will direct and control the Facility Permit Program for future facility alterations and construction in accordance with all applicable Airport Authority regulations. Applicants are expected to have five years of recent, related experience and hold a two-or-three-year technical or community college certificate or diploma relevant to construction. Thorough knowledge of NAV CANADA and Transport Canada regulations pertaining to airport construction practices is an asset. This role is both fulfilling and dynamic and, like all Airport Authority positions, comes with opportunities to partake in health and fitness programs like yoga and boot camps. For more information on this position, click here.
As a full-time member of our Operations team, the successful applicant for this position will support operational decision making and program development and among other things play a lead role in Emergency Exercises. Experience in aviation and airport operations is an asset for those applying, as is experience with analysis of large data sets. To find out more about this role, visit this page.
Innovative Travel Solutions (ITS), a business unit within YVR, is looking for an enthusiastic and capable new team member. The new team member will support both the Operations and Development teams in the deployment and operation of program systems. ITS was recently named as a finalist in the PwC Vision to Reality Awards for their BorderXpress kiosk solution. Qualified applicants will have experience with relational databases and two-way SSL certificate configuration and have the flexibility to work on-call if needed. To learn more about this position, click here.
Are you a Millwright who's looking for an innovative and fun workplace? Our Maintenance Department is looking for full-time millwrights to join their team. Successful candidates will perform preventative and corrective maintenance on various systems including passenger loading bridges, hydraulic systems and generator sets. Shift work is required for this position. This role includes benefits which come with every Airport Authority position including summer wellness programs, transit subsidies and volunteer work grants. For more info on this position, visit this link.
YVR is one of B.C.'s Top Employers, one of Canada's Top Diversity Employers and was recently named the Best Airport in North America for a record tenth year in a row. Take some time this upcoming long weekend to find your next dream job by visiting yvr.ca/careers. | {
"redpajama_set_name": "RedPajamaC4"
} | 5,419 |
Q: List all methods in COMobject Is it possible?
Something in the lines of :
import win32com.client
ProgID = "someProgramID"
com_object = win32com.client.Dispatch(ProgID)
for methods in com_object:
print methods
I got the com_object.__dict__, which lists:
[_oleobj_, _lazydata_, _olerepr_, _unicode_to_string_, _enum_, _username_, _mapCachedItems_, _builtMethods_]
Most are empty, except:
*
*_oleobj_ (PyIDispatch)
*_lazydata_ (PyITypeInfo)
*_olerepr_ (LazyDispatchItem instance)
*_username_ (<unknown>)
But I don't know how to access anything on those types.
A: Just found how to get most of the methods:
Here's how:
import win32com.client
import pythoncom
ProgID = "someProgramID"
com_object = win32com.client.Dispatch(ProgID)
for key in dir(com_object):
method = getattr(com_object,key)
if str(type(method)) == "<type 'instance'>":
print key
for sub_method in dir(method):
if not sub_method.startswith("_") and not "clsid" in sub_method.lower():
print "\t"+sub_method
else:
print "\t",method
Here's a exemple output with ProgID = "Foobar2000.Application.0.7"
Output:
Playlists
Add
GetSortedTracks
GetTracks
Item
Load
Move
Remove
Save
Name
foobar2000 v1.1.13
ApplicationPath
C:\Program Files (x86)\foobar2000\foobar2000.exe
MediaLibrary
GetSortedTracks
GetTracks
Rescan
Minimized
True
Playback
FormatTitle
FormatTitleEx
Next
Pause
Previous
Random
Seek
SeekRelative
Start
Stop
ProfilePath
file://C:\Users\user\AppData\Roaming\foobar2000
A: For those who find the accepted answer not working (look here for the reasons) - there's still a way to get objects having a _prop_map_get_ attribute (a dict that holds object's fields as keys). You just have to create the main app object with win32com.client.gencache.EnsureDispatch().
Here's a convenience function I wrote that lists fields and methods of a passed COM object created that way:
from inspect import getmembers
def print_members(obj, obj_name="placeholder_name"):
"""Print members of given COM object"""
try:
fields = list(obj._prop_map_get_.keys())
except AttributeError:
print("Object has no attribute '_prop_map_get_'")
print("Check if the initial COM object was created with"
"'win32com.client.gencache.EnsureDispatch()'")
raise
methods = [m[0] for m in getmembers(obj) if (not m[0].startswith("_")
and "clsid" not in m[0].lower())]
if len(fields) + len(methods) > 0:
print("Members of '{}' ({}):".format(obj_name, obj))
else:
raise ValueError("Object has no members to print")
print("\tFields:")
if fields:
for field in fields:
print(f"\t\t{field}")
else:
print("\t\tObject has no fields to print")
print("\tMethods:")
if methods:
for method in methods:
print(f"\t\t{method}")
else:
print("\t\tObject has no methods to print")
For an Excel object created with win32com.client.gencache.EnsureDispatch("Excel.Application") its output would be:
Members of 'Excel.Application' (Microsoft Excel):
Fields:
ActiveCell
ActiveChart
ActiveDialog
ActiveEncryptionSession
...
Workbooks
WorksheetFunction
Worksheets
_Default
Methods:
ActivateMicrosoftApp
AddChartAutoFormat
AddCustomList
Calculate
...
Union
Volatile
Wait
A: To list the attributes of an object you can use the dir() function. This is a built in function of python and does not need to be imported.Try something like:
print dir(object)
To see the attributes of the object.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 7,262 |
Q: App freezes if secure text entry is enables on text field Swift Im running into a strange issue. I have a few text fields in a view and if secure text entry is enabled for an of them my app freezes when I run it.
Has anybody encountered this issue/know the fix for it? I have done a but of research and one possibility could be a memory leak. Other than that I can't seem to find any information on this. Any help is much appreciated!
All code that acts on my text fields:
Sets up UI:
self.passwordTextField.delegate = self
passwordTextField.layer.borderWidth = 1
passwordTextField.layer.cornerRadius = 5
passwordTextField.layer.borderColor = UIColor.lightGray.cgColor
passwordTextField.returnKeyType = .done
Adds observer:
usernameTextField.addTarget(self, action: #selector(self.textFieldDidChange), for: .editingChanged)
passwordTextField.addTarget(self, action: #selector(self.textFieldDidChange), for: .editingChanged)
Observer function:
func textFieldDidChange() {
if usernameTextField.text == "" || passwordTextField.text == "" {
loginButtonInactive()
} else {
loginButtonActive()
}
}
Change login button appearance:
func loginButtonActive() {
logInButton.isEnabled = true
logInButton.layer.borderWidth = 0
logInButton.backgroundColor = UIColor.blue.cgColor
logInButton.setTitleColor(UIColor.white, for: .normal)
}
func loginButtonInactive() {
logInButton.isEnabled = false
logInButton.layer.borderColor = UIColor.lightGray.cgColor
logInButton.layer.borderWidth = 1
logInButton.backgroundColor = UIColor.white
logInButton.setTitleColor(UIColor.lightGray, for: .normal)
}
A: I figured this out. It had to do with this this function:
func textFieldDidChange() {
if usernameTextField.text == "" || passwordTextField.text == "" {
loginButtonInactive()
} else {
loginButtonActive()
}
}
I changed it to this:
func textFieldDidChange() {
if (usernameTextField.text?.characters.count == 0) || (passwordTextField.text?.characters.count == 0) {
loginButtonInactive()
} else {
loginButtonActive()
}
}
I am not sure why the first function caused the issue as it worked fine in previous projects but the new function works well and fixed the issue!
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 4,884 |
Height of pyramid
The pyramid ABCDV has edge lengths: AB = 4, AV = 7. What is its height?
h = 6.4031
a=4 s=7 u=2⋅ a=2⋅ 4=4 2≐5.6569 h2=s2−(u/2)2 h=s2−(u/2)2=72−(5.6569/2)2=41=6.4031 a=4 s=7 u=2⋅ a=2⋅ 4=4 2≐5.6569 h2=s2−(u/2)2 h=s2−(u/2)2=72−(5.6569/2)2=41=6.4031
Pythagorean theorem is the base for the right triangle calculator.
right triangle
The pyramid with a square base is 50 m high and the height of the sidewall is 80 m. Find the endge of the base of the pyramid.
The tent
Calculate how much cover (without a floor) is used to make a tent that has the shape of a regular square pyramid. The edge of the base is 3 m long and the height of the tent is 2 m.
Quadrilateral pyramid
Calculate the surface of a quadrilateral pyramid, which has a rectangular base with dimensions a = 8 cm, b = 6 cm and height H = 10 cm.
The top of the tower has the shape of a regular hexagonal pyramid. The base edge has a length of 1.2 m, the pyramid height is 1.6 m. How many square meters of sheet metal is needed to cover the top of the tower if 15% extra sheet metal is needed for joint
The bus stop waiting room has the shape of a regular quadrilateral pyramid 4 m high with a 5 m base edge. Calculate how many m2 roofing is required to cover the three walls of the sheathing, taking into account 40% of the additional coverage.
Rectangular base pyramid
Calculate an area of the shell of the pyramid with a rectangular base of 2.8 m and 1.4 m and height 2.5 meters.
Wall height
Calculate the height of a regular hexagonal pyramid with a base edge of 5 cm and a wall height w = 20 cm.
Secret treasure
Scouts have a tent in the shape of a regular quadrilateral pyramid with a side of the base 4 m and a height of 3 m. Determine the radius r (and height h) of the container so that they can hide the largest possible treasure.
The plaster cast
The plaster cast has the shape of a regular quadrilateral pyramid. The cover consists of four equilateral triangles with a 5 m side. Calculate its volume and surface area.
A regular tetrahedral pyramid is given. Base edge length a = 6.5 cm, side edge s = 7.5 cm. Calculate the volume and the area of its face (side area).
Pyramid height
Find the volume of a regular triangular pyramid with edge length a = 12cm and pyramid height h = 20cm.
Triangular pyramid
What is the volume of a regular triangular pyramid with a side 3 cm long?
Calculate the surface S and the volume V of a regular tetrahedral pyramid with the base side a = 5 m and a body height of 14 m.
Quadrangular pyramid
The regular quadrangular pyramid has a base length of 6 cm and a side edge length of 9 centimeters. Calculate its volume and surface area.
Given is a regular quadrangular pyramid with a square base. The body height is 30 cm and volume V = 1000 cm³. Calculate its side a and its surface area. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 5,990 |
"Zebra" – another building of the hotel Carrubba. It is located in the oldest house of the city of Tivat: the summer residence of the famous ancient Montenegrin family Zmajević. During the restoration, we fully preserved the historical appearance of the building, with full comfort for our guests to rest.
Good location, very close to Tivat Town and Kotor Old Town.
For the guests of Zebra Hotel are at the disposal of all the amenities offered by the Carrubba Hotel, the distance to which is only 146 steps: free breakfast, the hotel beach, the Carrubba restaurant, concierge service and much more. | {
"redpajama_set_name": "RedPajamaC4"
} | 6,309 |
Our new HARPER TANK is perfect for taking you from the gym, to a cafe, and on all of your active adventures.
Made from the softest lightweight fabric it features a high neckline, loose fitting around your waist so as not to cling but designed to sit on your hips to show off your shape perfectly.
Creating a flattering racerback tank was our goal and we believe we have achieved just that.
Available in 3 stunning spring colours including Purple and Teal. | {
"redpajama_set_name": "RedPajamaC4"
} | 4,420 |
Q: ¿Por qué no funciona este bucle while? Estoy empezando a programar desde hace pocos días en C++, la transición desde Python me está costando un poco. Intento crear un programa que calcule todos los números perfectos entre 1 y 1000 considerando que el 1 no es un número perfecto, y he creado este código, no sé muy bien dónde está el error, pego el código que he escrito (no se imprime nada por pantalla).
#include <iostream>
using namespace std;
int main()
{
int i,j,sum;
i = 2;
while (i<=1000)
{
j = 1;
sum = 0;
while (j<i)
{
if (i%j == 0)
{
sum = sum + j;
j+=1;
}
i+=1;
}
if (sum == i)
cout << i << "es un número perfecto";
}
return 0;
}
Gracias de antemano, le he dado muchas vueltas y no sé muy bien donde falla.
A: El problema esta dentro del segundo ciclo while:
int main()
{
...
while (i<=1000)
{
...
while (j<i)
{
if (i%j == 0)
{
sum = sum + j;
j+=1;
}
i+=1;
}
...
}
...
}
tiene un ciclo if con la comparaction de i % j == 0, donde si es verdad se hace la operacion de suma e incrementa el valor de j. despues de ese ciclo if incrementa el valor de i. El error esta en que esa comparacion del ciclo if rara vez es verdadera por lo que no se incrementa el valor de j a la par con i o mas, mientras que en cada iteracion del segundo cliclo while se sigue incrementando el valor de i, y como no se cumple el condicion de ese ciclo while ya que siempre j es menor que i, no puede salir, por lo que basicamente es un loop infinito.
La solucion que yo recomiendo es mover el incremento de i al primer ciclo while, debajo del segundo, y mover el incremento de j fuera del ciclo if y pasarlo al final del while, por ejemplo:
while (i<=1000)
{
j = 1;
sum = 0;
while (j<i)
{
if (i%j == 0)
{
sum = sum + j;
}
j+=1;
}
i+=1;
...
}
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 2,310 |
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"redpajama_set_name": "RedPajamaC4"
} | 9,381 |
\section{introduction}
Superior precision in measurements is of great value in ample situations, across many scientific disciplines.
For the case of optical phase measurements, conventional methods involve the use of classical light (laser), passing through a material (sample) after which the signal undergoes interference with a reference, resulting in an output containing phase information from the sample.
However, this method can be detrimental, especially for sensitive samples with a large number of penetrating photons, which can alter their phase.
Furthermore, for samples with fluctuating phases, a method capable of performing rapid phase estimation is desired.
In this case, the laser power limits the number of photons emitted per unit time.
Consequently the race is towards performing phase estimation with limited number of photons and obtaining high precision output, the regime of which quantum systems offer supremacy over classical counterparts.
In this direction, the classical limitation for the precision of phase $\phi$ is given by the so-called standard quantum limit (SQL), which lower bounds the error $\Delta \phi$ as in the central limit theorem, i.e., $\Delta \phi \propto 1/\sqrt{N}$, where $N$ is the number of particles used in the measurement.
To overcome this, quantum states possessing quantum properties such as entanglement have been proposed as a resource to obtain precision below the SQL and reach a scaling $\Delta \phi \propto 1/N$, i.e., the so-called Heisenberg limit (HL)~\cite{giovannetti2004quantum}.
Going beyond the SQL has been demonstrated in a number of experiments, for example: optical phase measurements~\cite{nagata2007beating,higgins2007entanglement,slussarenko2017unconditional,daryanoosh2018experimental}; matter phase~\cite{gross2010nonlinear,lucke2011twin}; sensing of a single ion mechanical oscillator~\cite{mccormick2019quantum}; and for magnetic field~\cite{jones2009magnetic,napolitano2011interaction,kong2020measurement} as well as electric field sensing~\cite{facon2016sensitive}.
It is also expected to enhance the detection of gravitational waves at the LIGO~\cite{yu2020quantum}.
A phase estimation setup overcoming the SQL, conventionally involves a Mach-Zehnder interferometer or an improved version~\cite{giovannetti2004quantum,nagata2007beating,higgins2007entanglement,gross2010nonlinear,lucke2011twin,slussarenko2017unconditional,daryanoosh2018experimental}, from which the output retrieves the phase information.
One of the forms of resource state known as a NOON state was proven useful, i.e., $(|N0\rangle +|0N\rangle)/\sqrt{2}$, where $N$ denotes the number of excitations.
Earlier work utilised these states to demonstrate phase super resolution, corresponding to interference oscillation $N$ times that of single photon resource states~\cite{walther2004broglie,mitchell2004super,resch2007time}.
Super sensitivity, which is associated with phase precision beating the SQL, was reported for $N=2$~\cite{slussarenko2017unconditional}, $N=4$~\cite{nagata2007beating}, and approaching the HL for $N=3$~\cite{daryanoosh2018experimental}.
However, following this method, going towards the HL for higher $N$-NOON states comes with an increasing complexity, requiring conditional measurements.
Recently, neural networks have been fruitful for solving complex problems in a number of fields~\cite{webb2018deep,jones2019setting,topol2019high,hannun2019cardiologist,nagy2019variational,hartmann2019neural,vicentini2019variational,mehta2019high,montavon2012neural,wetzstein2020inference}.
In general, one has an input, a trained network composed of connected nodes that acts as a processing device, and an output.
Among the different forms of neural network architectures, reservoir computing transpires as one of the competitive candidates~\cite{vandoorne2014experimental,nguimdo2015simultaneous,van2017advances,brunner2019photonic,tanaka2019recent,ballarini2020polaritonic,rafayelyan2020large,dash2020explicit,shi2020approach,przyczyna2020reservoir}, particularly for direct hardware implementation.
Reservoir computing does not require training over the internal connections between network nodes, rather, it is performed only on a single output layer, in which the signals from the network are processed to produce a desired output.
The vast progress of this field has also reached the quantum regime -- termed quantum reservoir computing or processing.
In this case, a quantum network is utilised to execute classical tasks outperforming classical networks~\cite{fujii2017harnessing,govia2021quantum,kalfus2021neuromorphic,xu2021superpolynomial} and also quantum information tasks, such as: state characterisation~\cite{ghosh2019quantum,ghosh2020reconstructing}; preparation of quantum resource states~\cite{ghosh2019quantum2,creating}; and a platform for quantum computing~\cite{ghosh2020universal}.
See also Refs.~\cite{markovic2020quantum,ghoshquantum} for comparison of different implementations.
Motivated by the direction towards high precision measurements and the vastly growing field of neural networks, here we demonstrate theoretically the use of a quantum network as a processing device for high precision phase measurement.
In particular, a resource state carrying phase information after passing through a sample acts as an input, which then interacts with a quantum network (QN) composed of randomly coupled two-level quantum systems, which we refer to as network nodes.
The emission from the network (or the measured occupations of the network nodes) is then linearly combined through an output layer, which is trained using ridge regression, in order to generate a desired output signal.
We show that our method can perform phase estimation with precision adhering to the SQL, HL, and beyond.
We also show that higher QN size offers improved precision and that one can utilise time-integrated measurements for the emission from the QN before combination through an output layer, which is experimentally friendly.
We also discuss different types of noise that may affect the QN nodes.
Our method is applicable for different types of coupling involved between the input and the network, thus making it desirable for a wide range of physical implementations.
Last, we compare our results to the quantum Cram\'{e}r-Rao bound and show that for some QN parameters, one may obtain near-saturation phase estimation errors.
\section{The setup}
Here we consider a generic simple model and note that our treatment can potentially be applied to physical systems for experimental realisations, such as: randomly coupled quantum dots~\cite{alivisatos1996semiconductor,bimberg1999quantum}; arrays of atomic systems~\cite{esslinger2010fermi,hofstetter2018quantum,tarruell2018quantum,chang2014quantum,poshakinskiy2020quantum,browaeys2020many}; photonic modes in connected optical resonators~\cite{carusotto2009fermionized,bardyn2012majorana,vaneph2018observation} or coupled waveguides~\cite{moughames2020three};
interacting exciton-polariton systems~\cite{angelakis2017quantum,delteil2019towards,emmanuele2020highly,kyriienko2020nonlinear}; superconducting qubits~\cite{haroche2020cavity,blais2020quantum,clerk2020hybrid,carusotto2020photonic}; and programmable QN with a multimode fibre~\cite{leedumrongwatthanakun2020programmable}.
We define a quantum network as a collection of two-level quantum systems with random energies and all-to-all couplings as illustrated in Fig.~\ref{FIG_setup}.
In this paper, we utilise a bipartite (two-mode) state $|\psi_N\rangle$, which, after obtaining a phase information $\phi$ through the sample, interacts with the network.
We take all couplings to be energy-preserving, i.e., Josephson or Jaynes-Cummings type, such that the Hamiltonian is written as
\begin{eqnarray}\label{EQ_hamiltonian}
\hat H&=&\sum_j^{\mathcal{Q}} E_j \hat b_j^{\dagger} \hat b_j + \sum_{jj^{\prime}}^{\mathcal{Q}} C_{jj^{\prime}} \left( \hat b_j^{\dagger} \hat b_{j^{\prime}} + \hat b_{j^{\prime}}^{\dagger}\hat b_j \right) \nonumber \\
&&+\sum_{j}^{\mathcal{Q}} \sum_{k=1,2} W_{jk} \left( \hat a_k^{\dagger} \hat b_j + \hat b_j^{\dagger} \hat a_k \right),
\end{eqnarray}
where $E_j$ is the energy of the $j$th node, whose annihilation (creation) operator is denoted by $\hat b_j$ ($\hat b_j^{\dagger}$), $C_{jj^{\prime}}$ the coupling strengths between the QN nodes, and $W_{jk}$ stands for the coupling strength between the network node $j$ and an input mode $k$.
We have used $\mathcal{Q}$ to indicate the number of nodes used in the QN.
We also consider other types of coupling, i.e., ultra strong non-energy preserving and cascading type -- see Appendix~\ref{App_othercouping} for detailed expressions.
\begin{figure}[h]
\centering
\includegraphics[width=0.48\textwidth]{1setup}
\caption{Setup for high precision phase measurement. A quantum resource state $|\psi_N \rangle$ picks up a phase, after which it interacts with a quantum network consisting of randomly coupled two-level nodes. The phase information is embedded in the QN and retrieved through its emission (estimated mean values after a finite number of repetitions), which is processed via a trained output layer. With this method, we show the phase precision limit following the standard quantum limit, the Heisenberg limit, and beyond.}
\label{FIG_setup}
\end{figure}
As the input for the QN, we first consider NOON states, which we write as
\begin{equation}\label{EQ_noon}
|\psi_N\rangle \equiv \frac{1}{\sqrt{2}}\left(|N0\rangle - |0N\rangle\right),
\end{equation}
where $N$ denotes the number of excitations.
The preparation of NOON states has been demonstrated experimentally, e.g., in Refs.~\cite{walther2004broglie,mitchell2004super,afek2010high}.
See also Ref.~\cite{creating} for their preparation, specifically in the form of Eq.~(\ref{EQ_noon}).
Note that a relative phase in the input state, such as the minus sign in Eq.~(\ref{EQ_noon}) is irrelevant for the present task.
One can utilise other forms of resource state, e.g., we will also use maximally entangled states and classically correlated states later.
After passing one mode of the state through the sample, the state carrying the phase information reads $\left(|N0\rangle - \exp{(iN\phi)}|0N\rangle\right)/\sqrt{2}$.
For the dynamics of our setup, in addition to the coherent evolution corresponding to the Hamiltonian of Eq.~(\ref{EQ_hamiltonian}), we also consider the quantum network being subjected to noises.
In particular, we write the evolution of the density matrix $\rho$ of the whole system as follows:
\begin{equation}\label{EQ_evolution}
\rho(t+\Delta t)=\hat D(\Delta t)\: \hat U(\Delta t) \:[\rho(t)],
\end{equation}
where $\hat D$ and $\hat U$ denote the application of possible noise channels and unitary $\exp{(-i\hat H\Delta t/\hbar})$, respectively.
We take into account the energy decay $\hat D_{\text{dcy}}$, dephasing $\hat D_{\text{dph}}$, and depolarising $\hat D_{\text{dpl}}$ processes affecting the QN nodes.
See Appendix~\ref{APP_noises} for explicit expressions, where the strength of the noises is characterised by $\gamma_{\text{dcy}},\gamma_{\text{dph}},\gamma_{\text{dpl}}$, in units of energy.
We assume that it is possible to estimate the mean excitation numbers of the QN nodes and that they can be linearly combined with a set of tuneable weights. This corresponds to the action of an output layer of our network, producing an output signal:
\begin{equation}\label{EQ_fout}
f_{\text{out}}=\alpha_0+\alpha_1 \langle n_1\rangle+\alpha_2 \langle n_2\rangle + \cdots + \alpha_{\mathcal{Q}} \langle n_{\mathcal{Q}}\rangle,
\end{equation}
where $\langle n_j \rangle=\text{tr}(\hat b_j^{\dagger}\hat b_j \rho(\tau))$ denotes the ideal mean excitation of the $j$th QN node at time $\tau$.
The coefficients, written in a vector form, ${\bm{\alpha}}\equiv(\alpha_0,\alpha_1,\alpha_2,\cdots,\alpha_{\mathcal{Q}})^T$ are trained such that the error of the output signal is minimised.
The training is performed with ridge regression (see Appendix~\ref{APP_training} for details).
Later, we show that our method also allows for time-integrated measurements (instead of time-resolved at time $\tau$), i.e., $f_{\text{out}}=\alpha_0+\alpha_1 \int \langle n_1\rangle dt / T+\alpha_2 \int \langle n_2\rangle dt / T+\cdots$, where $T$ is the measurement duration.
In experimental situations, mean excitation numbers are determined from a finite number of measurements and their optimal use is the subject of metrology.
To account for the deviation from the ideal values, which require an infinite number of measurements, we introduce a random error as follows
\begin{equation}\label{EQ_deviation}
\langle n_j \rangle = \langle n_j \rangle_{\text{ideal}} +\epsilon_j,
\end{equation}
where $\langle n_j \rangle_{\text{ideal}}=\text{tr}(\hat b_j^{\dagger}\hat b_j \rho(\tau))$ and $\epsilon_j$ is a random number normally distributed with zero mean and standard deviation of the mean (SDM) $\xi/2$.
By the central limit theorem it follows that $\xi \propto 1/\sqrt{M}$ (the SQL), where $M$ is the number of measurements.
We note that for $\xi \rightarrow0$, the simulations show that our method reproduces $\Delta \phi \rightarrow 0$ for phase estimation as it should be since this corresponds to $M \to \infty$.
Importantly, the addition of systematic errors in Eq.~(\ref{EQ_deviation}) has no effect on $\Delta \phi$, because the training procedure learns to overcome them.
\section{Results}
In what follows, we shall set the network parameters $(E_j,C_{jj^{\prime}},W_{jk})=(e_j,c_{jj^{\prime}},w_{jk})\hbar \Omega$, where the lowercase parameters are dimensionless and $\hbar \Omega$ has units of energy.
To simulate the imperfections in fabrication of the QN, we generate random parameters $(e_j,c_{jj^{\prime}},w_{jk})\in[0,1]$ that are uniformly distributed.
As the initial condition for the QN, we assume the experimentally sensible ground state for all the nodes, i.e., $|0\rangle^{\otimes \mathcal{Q}}$.
\subsection{Output signal}
Following the discussion from Refs.~\cite{giovannetti2004quantum,nagata2007beating}, we take the following function as the target output signal:
\begin{equation}\label{EQ_idealsignal}
I_{\text{ideal}}=\frac{1}{2}\left(1-\cos(N\phi)\right),
\end{equation}
where $N$ corresponds to the degree of NOON states used in the input.
The function $I_{\text{ideal}}$ can show both super resolution due to its $N\phi$ dependence and super sensitivity, which we will demonstrate later.
For one realisation of the set of random network parameters $(e_j,c_{jj^{\prime}},w_{jk})$, the assessment of our method is conducted as follows.
For the training procedure, we generate $N_{\text{train}}$ random phases $\phi$, which lead to $N_{\text{train}}$ sets of $( \langle n_1\rangle, \langle n_2\rangle,\cdots,\langle n_{\mathcal{Q}}\rangle)$ from the realised QN, and in each set the mean values are estimated after $M$ measurements according to Eq.~(\ref{EQ_deviation}).
The coefficients $\bm{\alpha}$ (output layer) are trained using the $N_{\text{train}}$ training sets with ridge regression (see Appendix~\ref{APP_training}) such that the estimated output signal,
\begin{equation}\label{EQ_Iestimate}
I_{\text{est}}=\alpha_0+\alpha_1 \langle n_1\rangle+\alpha_2 \langle n_2\rangle+\cdots+\alpha_{\mathcal{Q}} \langle n_{\mathcal{Q}}\rangle,
\end{equation}
is close to the ideal form in Eq.~(\ref{EQ_idealsignal}).
To test the trained output layer, we generate $N_{\text{test}}$ random phases, labelled $\phi_l$, which consequently give an estimated output signal $I_{\text{est},l}$.
We note that the training is performed only once, after which we obtain the coefficients ${\bm{\alpha}}$ that one can use to retrieve the estimated output of any phase $\phi_l$.
\begin{figure}[h]
\centering
\includegraphics[width=0.48\textwidth]{2output_signal}
\caption{Exemplary output signals showing super resolution. Different NOON states $|\psi_N\rangle$ were used as input for a quantum network of size 4.
The corresponding solid curves indicate the ideal signals $I_{\text{ideal}}$. In all cases, the training and testing size is 10 and 50, respectively, with $\xi=0.01$.}
\label{FIG_Iout}
\end{figure}
We present in Fig.~\ref{FIG_Iout}, an exemplary demonstration of our method using one realisation of the network parameters, showing estimated output signals (filled circles) and the corresponding ideal ones (solid curves).
We utilised NOON states $N=1$, $2$, $3$, and $4$.
In all cases, we used $N_{\text{train}}=10$ and $N_{\text{test}}=50$, the measurement error $\xi=0.01$, and a quantum network of size 4 with evolution time $\tau=8/\Omega$.
Fig.~\ref{FIG_Iout} shows super resolution for higher $N$-NOON states, as seen from the $2\pi/N$ period of oscillations in the range $\phi \in [0,2\pi)$.
It is also intuitive that the retrieval of the phase $\phi_{\text{est}}$ from $I_{\text{est}}$ has different accuracy for different $\phi$.
In particular, the accuracy is best in the region of highest slope, e.g., $\phi=\pi/2N$ for the case of $N$-NOON state.
This will be quantified and demonstrated in more detail in the next section.
\subsection{Phase estimation}
We evaluate the phase from the output signal (for $N$-NOON state) as
\begin{equation}\label{EQ_phest}
\phi_{\text{est}}=\frac{1}{N} \arccos(1-2I_{\text{est}}).
\end{equation}
The measurement error $\epsilon_j$ in Eq.~(\ref{EQ_deviation}) can result in an output signal $I_{\text{est}}\notin [0,1]$ at extreme regions, e.g., $\phi\approx 0$ and $\pi/N$ in Fig.~\ref{FIG_Iout}, which further gives a complex $\phi_{\text{est}}$.
To avoid these instances, we assign $\phi_{\text{est}}=0$ and $\phi_{\text{est}}=\pi/N$, for $I_{\text{est}} < 0$ and $I_{\text{est}} > 1$, respectively.
The error for the phase estimation task is quantified as follows:
\begin{equation}\label{EQ_def_error}
\Delta \bar \phi_N=\sqrt{\sum_l^{N_{\text{test}}} \frac{(\phi_{\text{est},l}-\phi_{l})^2}{N_{\text{test}}(N_{\text{test}}-1)}}.
\end{equation}
Note that the bar notation indicates the testing is performed, where the phases $\phi_l$ are randomly generated over a range of values, e.g., $[0,\pi/N]$.
For a particular value of the testing phase, i.e., $\phi_l=$ constant, the above expression reduces to the SDM of that phase, which we shall write simply as $\Delta \phi_N$ hereafter.
We demonstrate the estimated phase vs ideal phase in Fig.~\ref{FIG_phase} for different strengths of the measurement error: $\xi=10^{-2}$ (a), $5\times 10^{-3}$ (b), and $10^{-3}$ (c).
We have used a quantum network with 4 nodes that is evolved for $\tau=8/\Omega$, NOON state $|\psi_1\rangle$ as the input resource state, 10 training sets, and 100 testing sets.
It can be seen that $\phi_{\text{est}}$ deviates more from the ideal phase near $\phi=0$ and $\pi$ (low output slope, see Fig.~\ref{FIG_Iout}), while showing best accuracy at $\phi=\pi/2$.
It is also clear that smaller measurement error $\xi$ produces less error in the estimated phase.
\begin{figure}[h]
\centering
\includegraphics[width=0.45\textwidth]{3phase_estimation}
\caption{Performance of phase estimation task.
(a)-(c) Estimated phase vs ideal phase for different measurement error $\xi$, indicated on the bottom right of each panel.
A QN with 4 nodes was used in these simulations. (d) SDM at different $\phi$ for different network sizes: (2, 3, 4) indicated by (squares, triangles, circles), respectively, and $\xi = 10^{-3}$.
(e) $\Delta \phi_1$ at $\pi/2$ indicating the scaling with QN size.
Each SDM is averaged over 50 sets of realisations of the random network parameters.
In all considered cases, for each realisation of the network parameters, $|\psi_1\rangle$ was used with 10 training and 100 testing sets.}
\label{FIG_phase}
\end{figure}
Fig.~\ref{FIG_phase}(d) compares the performance of different QN sizes, i.e., $\mathcal{Q}=2$ (squares), $3$ (triangles), and $4$ (circles) with $\tau=8/\Omega$.
NOON state $|\psi_1\rangle$ and a measurement error $\xi=10^{-3}$ were used in all three cases.
We realised 50 sets of the random network parameters, in each of which we used $N_{\text{train}}=10$ and $N_{\text{test}}=100$.
We computed the SDM $\Delta \phi_1$ (averaged over 50 sets of QN realisation) at different $\phi$.
This way, our method is not highly dependent on a particular realisation of the network parameters.
It is clear that more network nodes produce less error.
Moreover, Fig.~\ref{FIG_phase}(d) not only indicates that the least error is found around $\phi=\pi/2$, but also how the error behaves as a function of $\phi$.
Additionally, Fig.~\ref{FIG_phase}(e) shows how the phase estimation error $\Delta \phi_1$ changes with respect to the QN size $\mathcal{Q}$.
The scaling exceeds $\propto \mathcal{Q}^{-1/2}$, which is the SQL with respect to the number of QN nodes.
\begin{figure*}[t]
\centering
\includegraphics[width=0.9\textwidth]{4precision_scaling}
\caption{Phase precision showing the standard quantum limit and Heisenberg limit.
(a) Phase estimation errors $\Delta \bar \phi_N$ and the SDM at highest output slope $\Delta \phi_N$, plotted against the measurement error $\xi$ ($\propto 1/\sqrt{M}$).
We have used $N$ to denote the use of $N$-NOON state.
(b) The ratio of phase estimation errors, see Eq.~(\ref{EQ_ratio}). Empty triangles are for $\bar \eta_{12}$, empty squares for $\bar \eta_{13}$, and empty diamonds for $\bar \eta_{14}$.
Also the corresponding filled ones: $\eta_{12}$ (triangles), $\eta_{13}$ (squares), and $\eta_{14}$ (diamonds).
We report that $\Delta \bar \phi_N,\Delta \phi_N \propto 1/\sqrt{M}$ -- demonstrating the SQL limit, and $\Delta \bar \phi_N,\Delta \phi_N \propto 1/N$ -- demonstrating the HL limit.
Panels (c) and (d) are the phase estimation errors and their ratios, respectively, using the classically correlated state $\rho_N$ in Eq.~(\ref{EQ_classcorstate}).
(e) Estimation errors using $\rho_N$ dephased in the Fock basis, modelled by multiplying the off-diagonal elements of $\rho_N$ with a positive coefficient $p\le1$.
The inset shows the amount of coherence in the state $\rho_N$ with respect to $p$.
In all cases, each data point represents an error evaluation of a trained output layer with 10 training and 100 testing sets, which is averaged over 50 different realisations of network parameters.}
\label{FIG_qadv}
\end{figure*}
For any to-be-measured phase $\phi$, one can train the QN with a ``shift", i.e., $I_{\text{ideal}}=\left(1-\cos(N(\phi+\theta))\right)/2$.
The shift $\theta$ is chosen such that the highest output slope is located around $\phi$, resulting in the minimum SDM of the phase.
See a demonstration in Appendix~\ref{APP_highestoutputslope}.
Hereafter, the SDM $\Delta \phi_N$ for any random $\phi$ will be assumed at the highest output slope.
Note that this procedure is all done in the data processing step (post measurements).
The next section quantifies and expands on the observations made about Fig.~\ref{FIG_phase}.
\subsection{Phase precision scaling}
Here we demonstrate phase precision scaling, which follows the SQL, and HL by utilising higher degree $N$-NOON states.
For this purpose, we used a QN composed of 4 nodes, evolved for $\tau=12/\Omega$.
Fig.~\ref{FIG_qadv}(a) presents the phase estimation errors, both $\Delta \bar \phi_N$ and the SDM $\Delta \phi_N$ at the highest output slope, where $N$ indicates the use of $N$-NOON state.
These errors were plotted against the measurement error $\xi$, defined in Eq.~(\ref{EQ_deviation}).
We generated 50 different sets of realisations of the network parameters.
In each of these sets, we performed the training of the output layer with $N_{\text{train}}=10$ and the phase estimation error was tested with $N_{\text{test}}=100$.
Each data point in Fig.~\ref{FIG_qadv}(a) is the average phase estimation error of the 50 different realisations.
One can see that $\Delta \bar \phi_N,\Delta \phi_N \propto \xi$.
As $\xi \propto 1/\sqrt{M}$, where $M$ denotes the number of measurements, it follows that $\Delta \bar \phi_N,\Delta \phi_N \propto 1/\sqrt{M}$, which is the SQL statement.
We now evaluate closer the use of higher $N$-NOON states for a better scaling option.
The argument goes as follows: for example, instead of having double the number of measurements with $|\psi_1\rangle$ one can utilise $|\psi_2\rangle$, and harness the quantum advantage for precision beyond the SQL.
Note that the comparison is made, where in both cases, one has the same number of photons passing through the sample.
For a more general scenario, in order to beat the SQL, one has to show that the phase error for $N$-NOON state ($N>1$) gives a ratio
\begin{eqnarray}\label{EQ_ratio}
\bar \eta_{1N}&\equiv& \Delta \bar \phi_1/\Delta \bar \phi_N>\sqrt{N},
\end{eqnarray}
or for the case of SDM, $\eta_{1N}\equiv \Delta \phi_1/\Delta \phi_N>\sqrt{N}$.
Fig.~\ref{FIG_qadv}(b) shows the ratio $\bar \eta_{1N}$: empty triangles ($N=2$), squares ($3$), and diamonds ($4$), and the corresponding filled ones for $\eta_{1N}$.
Indeed, not only the ratios exceed the SQL scaling indicated by the dash-dotted lines, they also approach $\bar \eta_{1N}, \eta_{1N}\to N$ -- the HL scaling.
The quantum network platform allows for precision beyond the SQL even if the input resource states do not posses quantum correlations.
In this case, we consider states of the form
\begin{eqnarray}
\rho_N &= & \frac{1}{2}|\psi_N \rangle \langle \psi_N|+\frac{1}{2}|\tilde \psi_N \rangle \langle \tilde \psi_N| \label{EQ_classcorstate} \\
& = & \frac{1}{2} |+- \rangle \langle +- | + \frac{1}{2} |-+ \rangle \langle -+ |, \label{EQ_CL_CORR}
\end{eqnarray}
where we introduced two-mode state $|\tilde \psi_N\rangle \equiv (|00\rangle-|NN\rangle)/\sqrt{2}$
and single-mode states $| \pm \rangle = (|0\rangle \pm |N\rangle)/\sqrt{2}$.
In order to understand the resources present in $\rho_N$, let us recall that quantum entanglement is a special type of quantum correlation present between quantum systems~\cite{RevModPhys.81.865}, and can be quantified, e.g., with negativity~\cite{negativity}.
A broader class of quantum correlations is known as quantum discord~\cite{discord1,discord2}.
It draws the border between quantum and classical correlations, and has been shown as a necessary ingredient for entanglement gain between mediated systems~\cite{streltsov2012quantum, chuan2012quantum,krisnanda2017revealing,krisnanda2020distribution}.
One can infer that not only the state $\rho_N$ is separable (not entangled) $E_{1:2}=0$, it also has zero quantum discord $D_{1|2}=D_{2|1}=0$, and hence, contains only classical correlations.
This is apparent (without calculations) since $\rho_N$ can be written in a form that only requires orthogonal states for the subsystems, i.e., the $|\pm\rangle$ in Eq.~(\ref{EQ_CL_CORR}).
However, it has coherence (off-diagonal elements) when represented in the Fock basis.
Also, note that the state $\rho_N$ can be thought of as embedded in a two qubit space, with the levels given by $|0\rangle$ and $|N\rangle$.
This way, $\rho_N$ is simply an equal mixture of two Bell-like states.
With the state $\rho_N$, we performed phase estimation tasks, similar to those in Fig.~\ref{FIG_qadv}(a).
The results are plotted in Fig.~\ref{FIG_qadv}(c), where the parameters and notation are the same as in Fig.~\ref{FIG_qadv}(a).
Although the phase estimation errors are slightly higher than those in Fig.~\ref{FIG_qadv}(a), the scaling for higher $N$ still beats the SQL and approaches the HL, see Fig.~\ref{FIG_qadv}(d).
This finding opens up a new path of performing super sensitive phase measurements using resource states that do not have quantum correlations and are relatively easier to prepare.
We note that previous work conjectured the role of quantum discord in mixed state quantum metrology~\cite{modi2011quantum}.
Our work extends this direction and presents metrology without quantum discord.
In this case, the coherence of the state $\rho_N$ plays an important role.
In order to demonstrate this more closely, suppose the off-diagonal elements of the state $\rho_N$ are multiplied by a positive number $p\le 1$, which simulates dephasing in the Fock basis.
Complete dephasing is given when $p=0$, in which case the state, now completely diagonal, cannot carry the phase information $\phi$.
Phase estimation errors for different values of $p$ are plotted in Fig.~\ref{FIG_qadv}(e).
The inset shows how the coherence, quantified as $Sn(\rho_N(p=0))-Sn(\rho_N(p))$~\cite{baumgratz2014quantifying}, where $Sn(\rho)\equiv -\text{tr}(\rho \ln{\rho})$ denotes the von Neumann entropy, changes with respect to the variable $p$.
It is clear that states with larger coherence result in less phase estimation errors.
\subsection{Time-resolved and time-integrated processing}
Thus far, we have considered processing mean values $\{\langle n_j\rangle\}$ at a particular time $\tau$.
One might ask how the quantum advantage (beating the SQL) changes with respect to time.
To answer this question, we present the SDM ratio $\eta_{1N}$ at different times in Fig.~\ref{FIG_time}, both using $\mathcal{Q}=2$ (a) and $4$ (b) network nodes.
In both panels, the ratios are denoted as: $\eta_{12}$ (triangles), $\eta_{13}$ (squares), and $\eta_{14}$ (diamonds).
The corresponding SQL scaling thresholds are indicated by the dash-dotted lines: blue ($\sqrt{2}$), red ($\sqrt{3}$), and green ($\sqrt{4}$).
All the values $\eta_{1N}$ are obtained in the same way as in Fig.~\ref{FIG_qadv} for $\xi=10^{-3}$, i.e., with training size 10, testing size 100, and averaged over 50 realisations of the network parameters.
It can be seen that it takes time for the quantum advantage to surface, especially for the case of QN-$4$, which involves more network nodes.
This is intuitive since it requires time for the information to be embedded in the quantum network, even so in one with a bigger size.
From Fig.~\ref{FIG_time}, the quantum advantage can reach higher values for QN-$2$ in the considered time span.
However, this does not mean that QN-$2$ performs better than QN-$4$, as the bigger size QN offers lower phase estimation errors $\Delta \phi_N$ (not shown).
We note that at some times, the quantum advantage exceeds even the HL scaling, e.g., at $\Omega t=8$ in Fig.~\ref{FIG_time}(a).
This is inline with the prediction that interacting systems with multipartite couplings, as it is the case for the QN here, can indeed go beyond the HL~\cite{boixo2007generalized,choi2008bose,roy2008exponentially}.
We also performed similar analysis using different coupling types and other entangled states as input, see Section~\ref{APP_othercouplingresults}.
A more experimentally friendly option considers processing time-integrated mean values from the QN nodes to form the estimated output signal, i.e., $I_{\text{est}}=\alpha_0+\alpha_1 \int \langle n_1\rangle dt / T+\alpha_2 \int \langle n_2\rangle dt / T+\cdots$, from which the estimated phase $\phi_{\text{est}}$ is calculated.
To exemplify this point, we utilised the time-integrated mean values for the scenario in Fig.~\ref{FIG_time}, where the measurement was conducted from $\Omega t=10.75$ to $11.25$.
For the case of QN-$2$ the resulting ratios are $\eta_{12}\approx2.1$, $\eta_{13}\approx3.7$, and $\eta_{14}\approx4.1$, whereas for QN-$4$ they are given by $2.6$, $3.2$, and $3.5$, respectively.
In all cases, the quantum network approach offers quantum advantage, i.e., the ratio beyond the SQL, and often beyond HL.
\begin{figure}[h]
\centering
\includegraphics[width=0.48\textwidth]{5time}
\caption{SDM ratio $\eta_{1N}$ at different times for quantum network with $2$ (a) and $4$ (b) nodes. Notation as in Fig.~\ref{FIG_qadv}(b). At some times, the ratio $\eta_{1N}$ exceeds not only the SQL ($\sqrt{N}$) but also the HL (N). Although the ratio at some times for QN-$2$ is higher, the QN-$4$ produces less phase estimation errors because its performance for single-excitation NOON state (the reference for the ratio) is much better, see Fig. 3(d).}
\label{FIG_time}
\end{figure}
\subsection{Noises}
Here we shall investigate the role of noise, i.e., energy decay, dephasing, and depolarising channels affecting the QN nodes.
Let us consider QN-$4$, where the bigger network size is likely to cause more disturbance from noise, which is evolved for a time $\tau=6/\Omega$.
To scrutinise each source of noise, we shall study the application of the noise channels: energy decay $\hat D_{\text{dcy}}$, dephasing $\hat D_{\text{dph}}$, and depolarising $\hat D_{\text{dpl}}$ separately.
The strength of these channels are characterised, respectively, by $\gamma_{\text{dcy}}$, $\gamma_{\text{dph}}$, and $\gamma_{\text{dpl}}$ in units of energy (see Appendix~\ref{APP_noises} for details).
For simplicity, we have assumed the same noise strength for all the QN nodes.
\begin{figure}[h]
\centering
\includegraphics[width=0.45\textwidth]{6noise}
\caption{(a) SDM of highest slope $\Delta \phi_1$ (filled symbols) and $\Delta \phi_2$ (empty symbols) in the presence of energy decay (circles), dephasing (triangles), and depolarising (squares) noise. The axis $\gamma/\hbar \Omega$ refers to the ratio of the strength of respective noise to the energy unit of the quantum network parameters. The simulations were conducted averaging over 50 realisations of network parameters, with 10 training and 100 testing sets. A QN with size $4$ was used, and $\tau=6/\Omega$. (b) The ratio $\eta_{12}$ of the SDMs in panel (a) for the case of energy decay (circles), dephasing (triangles), and depolarising (squares) noise. Quantum advantage is present for all these noise strengths.}
\label{FIG_noise}
\end{figure}
In Fig.~\ref{FIG_noise}(a) we present the average SDM $\Delta \phi_N$ against the noise-to-QN energy ratio $\gamma/\hbar \Omega$.
The filled (empty) symbols indicate the use of $|\psi_1\rangle$ ($|\psi_2\rangle$), with the shapes corresponding to the application of energy decay (circles), dephasing (triangles), and depolarising channel (squares).
Similar to the scenario in Fig.~\ref{FIG_time}(b), the average is taken over 50 different realisations of the network parameters, each with 10 training and 100 testing sets.
It is apparent that the use of higher $N$-NOON state, $|\psi_2\rangle$ in Fig.~\ref{FIG_noise}(a), is affected more severely by all the noises.
This is expected as higher degree NOON states possess more excitations.
We also note that depolarising noise has the worst effect on the phase estimation error.
This channel corresponds to mixing the state of the QN nodes with a maximally mixed state, rendering part of the network ``capacity" useless for information embedding.
Note that up to $\gamma/\hbar \Omega=10^{-2}$, the effects from all the noises are minute.
The error ratio $\eta_{12}$ is plotted in Fig.~\ref{FIG_noise}(b) where the affecting noise is energy decay (circles), dephasing (triangles), and depolarising (squares).
It can be seen that even in the situation where $\gamma/\hbar \Omega=0.1$, the quantum advantage still persists.
\subsection{Beating SQL with other coupling mechanisms and resource states}\label{APP_othercouplingresults}
Now we demonstrate that our method is not limited to the type of coupling involved between the quantum systems.
We shall vary the coupling type between the input and QN nodes, which is responsible for embedding the phase information into the QN.
In particular, we consider: energy-preserving type coupling (EP), also known as Jaynes-Cummings or Josephson coupling; ultra strong coupling; and cascading~\cite{gardiner1993driving,carmichael1993quantum} of the input into the QN.
The model for ultra strong coupling is similar to the EP, where the last term in the Hamiltonian of Eq.~(\ref{EQ_hamiltonian}) changes to $\sum_{j}^{\mathcal{Q}} \sum_{k=1,2} W_{jk} \left( \hat a_k^{\dagger} \hat b_j + \hat b_j^{\dagger} \hat a_k +\hat a_k \hat b_j + \hat b_j^{\dagger} \hat a_k^{\dagger} \right)$.
The addition of the last two terms in the summation indicates strong coherent interactions allowing for simultaneous annihilation and creation of excitations in the input party $k$ and QN node $j$.
For the cascading formalism, see Appendix~\ref{App_othercouping} for details.
Similarly, it involves an input-network coupling coefficient $W_{jk}$ in energy unit.
Also, in this formalism the input $k$ experiences an energy decay characterised by a coefficient $\sum_j W_{jk}^2/\gamma$, where $\gamma$ denotes a constant decay strength for the QN nodes.
\begin{figure}[t]
\centering
\includegraphics[width=0.45\textwidth]{7diff_couplingandstates}
\caption{Comparison of different input-network coupling mechanisms and resource states. (a) Energy-preserving coupling (Jaynes-Cummings or Josephson). (b) Ultra strong coherent interactions (note different vertical scale). (c) Cascading of input into QN nodes. (d) Energy-preserving coupling with maximally entangled states as the input. In all the panels, SDMs $\Delta \phi_1$ and $\Delta \phi_2$ are plotted for different evolution times. The right axis indicates the ratio $\eta_{12}=\Delta \phi_1/\Delta \phi_2$. All the considered cases are capable of beating the SQL threshold (red dash-dotted lines).}
\label{FIG_diffcoupling}
\end{figure}
\begin{figure*}[t]
\centering
\includegraphics[width=0.9\textwidth]{new_QCR_bound}
\caption{Comparison of the phase measurement errors using a quantum neuromorphic platform to the quantum Cram\'{e}r-Rao bound.
With respect to $10^3$ realisations of the quantum network parameters, the average and minimum phase measurement errors are denoted by the black circles and blue triangles, respectively.
The errors are plotted against: (a) different NOON states $|\psi_N\rangle$ using QN of size $\mathcal{Q}=2$; (b) QN sizes using $|\psi_1\rangle$; (c) different mixed states $\rho_N$ using QN of size 2; and (d) different QN sizes using $\rho_1$.
In all panels, the quantum Cram\'{e}r-Rao bound is indicated by the black dashed-dotted curve or line, where the number of repetitions is $M=10^4$.
The testing was performed at the highest output slope.
}
\label{FIG_qcr_bound}
\end{figure*}
Fig.~\ref{FIG_diffcoupling} shows the comparison between the EP (a), ultra strong (b), and cascading (c) coupling.
In all cases we used a QN with size 3, measurement error $\xi=10^{-3}$, and 50 realisations of the network parameters.
At each time $\Omega t$, we performed the training with 10 sets and the testing with 100 sets.
For Fig.~\ref{FIG_diffcoupling}(c) we set the decay $\gamma=\hbar \Omega$.
It is worth noting that the ultra strong type coupling produces lesser errors.
This is partly because the ultra strong interactions allow for faster information embedding, i.e., the information spreads and occupies the capacity or Hilbert space of the QN more (with the addition of the terms $\hat a_k \hat b_j + \hat b_j^{\dagger} \hat a_k^{\dagger}$).
The cascading coupling has an advantage that the phase information travels in one way (into the QN), unlike the EP and the ultra strong couplings considered in Fig.~\ref{FIG_diffcoupling} where the evolution is coherent and part of the information travels back and forth between the input and the QN.
Note that with a decay coefficient $\gamma=\hbar \Omega$, the cascading coupling is capable of producing nonclassical precision with estimated errors in the order $\sim 10^{-3}$.
Finally, the results in Fig.~\ref{FIG_diffcoupling}(d) were obtained with energy-preserving coupling where we used maximally entangled states as the resource (EP-ME). In this case, $|\psi_1\rangle=(|10\rangle+|01\rangle)/\sqrt{2}$ and $|\psi_2\rangle=(|20\rangle+|11\rangle+|02\rangle)/\sqrt{3}$.
For the latter, after passing the sample, the input state reads $(|20\rangle+ \exp(i\phi)|11\rangle+ \exp(i2\phi)|02\rangle)/\sqrt{3}$.
This state still carries $2\phi$ dependence, and the QN processing produces precision beating the SQL.
We note that for EP-ME in Fig.~\ref{FIG_diffcoupling}(d), we used a slightly modified output model, i.e., $I_{\text{est}}=\alpha_0+\alpha_1\langle n_1\rangle+\alpha_2\langle n_2\rangle+\alpha_3\langle n_3\rangle+\alpha_4\langle n_1\rangle\langle n_2\rangle+\alpha_5\langle n_2\rangle\langle n_3\rangle+\alpha_6\langle n_3\rangle\langle n_1\rangle+\alpha_7\langle n_1\rangle\langle n_2\rangle\langle n_3\rangle$, where the coefficients were trained with ridge regression.
This way, it does not require extra measurements (i.e., only the mean values $\{\langle n_j\rangle\}$, as used in Eq.~(\ref{EQ_Iestimate})).
We note that in all panels of Fig.~\ref{FIG_diffcoupling}, the ratio $\eta_{12}$ exceeds the SQL threshold given by the red dash-dotted lines.
\subsection{The quantum Cram\'{e}r-Rao bound}
In quantum metrology, the minimum phase measurement error follows the so-called quantum Cram\'{e}r-Rao (QCR) bound:
\begin{equation}
\delta \phi \ge \frac{1}{\sqrt{MF_q(\rho)}},
\end{equation}
where $M$ is the number of repetitions (measurements) and $F_q(\rho)$ is the quantum Fisher information (QFI) of a quantum state $\rho$.
Note that $\delta \phi$ is the standard deviation of the measurement error, different from that of Eq.~(\ref{EQ_def_error}) by $\sqrt{N_{\text{test}}}$.
The QFI of a general state $\rho$ can be evaluated following the expression given in Refs.~\cite{zhang2013quantum,liu2013phase}.
In the present case, we have $F_q(|\psi_N\rangle \langle \psi_N|)=F_q(\rho_N)=N^2$, which gives the QCR bound: $\delta \phi \ge 1/(\sqrt{M}N)$.
To compare our scheme to the QCR bound, we slightly modify the model for the measurement of the QN emission, previously described in Eq.~(\ref{EQ_deviation}), to explicitly take into account the number of repetitions $M$.
Given the ideal mean excitation of the $j$th QN node $\langle n_j \rangle_{\text{ideal}}$, $M$ random numbers are generated, labelled $\mu_m\in[0,1]$.
New values ($0$ or $1$) are assigned as follows: (i) $\tilde \mu_m=0$ if $\mu_m \ge \langle n_j \rangle_{\text{ideal}}$ and (ii) $\tilde \mu_m=1$ if $\mu_m < \langle n_j \rangle_{\text{ideal}}$.
This way, $\tilde \mu_m$s mimic real experimental data, the average of which converges to $\langle n_j \rangle_{\text{ideal}}$, with a standard deviation of the mean $\propto 1/\sqrt{M}$.
The phase measurement errors (standard deviation) are plotted in Fig.~\ref{FIG_qcr_bound}.
The resource states in panels (a) and (b) are NOON states $|\psi_N\rangle$, whereas those in panels (c) and (d) are mixed states $\rho_N$.
The performance is plotted against the degree of resource state $N$ in panels (a) and (c), as well as against the number of QN nodes $\mathcal{Q}$ in panels (b) and (d).
The QCR bound with $M=10^4$ is plotted as a dashed-dotted curve or line in all the panels.
It can be seen that the minimum standard deviation $\delta \phi_{\text{min}}$ is close to the QCR bound, which indicates that there exists a set of QN parameters allowing for near-saturation performance.
This way, one can think of the QN as a measuring and processing device to efficiently extract information from the phase-encoded input state.
In principle, one may perform a more rigorous and precise parameter search algorithm to find a better set of parameters for even smaller $\delta \phi_{\text{min}}$.
Here we simply take $10^3$ random realisations of the QN parameters, with evolution time $\tau=12/\Omega$.
It is expected that the performance of NOON states is better than the mixed states, despite having the same QFI.
Here, the scheme might benefit from a more complex QN architecture or a proper parameter search algorithm.
We also note that both $\delta \phi_{\text{ave}}$ and $\delta \phi_{\text{min}}$ are better for higher degree $N$ of the resource states and number of QN nodes $\mathcal{Q}$.
\section{Conclusion}
We have presented a platform for phase estimation tasks, based on a quantum network approach.
It consists of three main elements: (1) a resource state carrying a phase information as input; (2) a quantum network, which is made of a collection of randomly connected quantum systems (the nodes), acting as a quantum processing device; and (3) an output layer, which combines the emission or measurement results from the network nodes, and produces the final output.
The training is performed in the output layer with ridge regression such that the error of the target output is minimised.
The reported precision scales better than the standard quantum limit, and even the Heisenberg limit -- owing to the interacting nature of the quantum network.
We have shown that this is possible even with classically correlated states as input owing to quantum coherence.
Our proposed platform is versatile, i.e., it is applicable for different types of coupling between the input and quantum network: the explicit calculations covered Jaynes-Cummings or Josephson; ultra strong; and cascading coupling.
It also allows for both time-resolved and time-integrated processing of the network emissions.
We show that the resulting quantum advantage is robust against energy decay, dephasing, and depolarising noises.
One can further explore other forms of resource states as input or other types of coupling between the quantum systems involved.
This makes our platform attractive for a wide range of physical implementations.
\section*{Acknowledgment}
T.K., S.G., and T.C.H.L. acknowledge the support by the Singapore Ministry of Education under its AcRF Tier 2 grant MOE2019-T2-1-004.
T.P. is supported by the Polish National Agency for Academic Exchange NAWA Project No. PPN/PPO/2018/1/00007/U/00001.
\newpage
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\section{Introduction}
\label{sec:intro}
We consider the setting of continual representation learning~\cite{rao2019continual, madaan2022representational}.
As a motivating example, suppose we are developing a foundation model~\cite{bommasani2021opportunities} for satellite remote sensing~\cite{jean2016combining}.
A resource rich organization \emph{pretrains} a model $M$ on lots of satellite data from North America.
Over time, the organization needs to upgrade the capabilities of its model by incorporating more geographical regions---retraining the model is expensive so it takes $M$ and \emph{continues the pretraining process} on data from Africa to get a model $M'$.
The organization releases the pretrained model, and resource constrained academic labs across the world \emph{use the updated model $M'$} for important applications---a common way to use the model $M'$ is to \emph{fine-tune} it on a small amount of task-specific labeled data.
We want the updated model $M'$ to be useful for both new data (from Africa) and old data (from North America).
More formally, we sequentially pretrain a model on a sequence of tasks $\mathcal{T}_1,\ldots, \mathcal{T}_T$ to get a model $f_{\theta_T}$---that is, we pretrain on data from $\mathcal{T}_1$, then data from $\mathcal{T}_2$, etc.
Naively pretraining in this way (which we call SGD\xspace) leads to \emph{forgetting}---the model performs poorly on data from older tasks such as $\mathcal{T}_1$.
Prior works in continual learning propose a variety of methods to reduce forgetting: popular methods include Synaptic intelligence (SI), Dark Experience Replay (DER), and Unsupervised Continual Learning (UCL).
To examine if $f_{\theta_T}$ has retained knowledge about every task $\mathcal{T}_i$, we \emph{adapt} $f_{\theta_T}$ using a small amount of labeled data from task $\mathcal{T}_i$, and evaluate its accuracy on task $\mathcal{T}_i$.
Practitioners will typically use the adaptation method that gets the highest accuracy for their use case—in this setting, we find that \emph{continual learning methods such as UCL, DER, and SI, can actually do worse than naive training (SGD\xspace).}
For each task, we consider adapting the pretrained model with three adaptation methods (training a kNN or linear classifier on frozen representations, or full fine-tuning of the model) on a small amount of task specific data.
Prior work uses the kNN evaluation protocol---partly because this is cheap to evaluate.
Under this scheme, we indeed see that continual learning methods improve over naive training.
However, when considering the best adaptation method, we find that strong continual learning baselines (SI, DER, and UCL) can perform even worse than naive training---see Table \ref{tab:fewshot-probes-eval}.
For example, under a kNN evaluation protocol, SI gets 86\% which is 8\% better than naive SGD\xspace (78\%), but under the best adaptation method SI gets 91\% accuracy which is \emph{2\% lower than naive SGD\xspace} (93\%).
However, we find that a method from the transfer learning community \emph{(LP-FT) \cite{LPFT} outperforms naive SGD\xspace}.
For each new task $\mathcal{T}_i$, naive SGD\xspace updates the entire model via gradient descent---this can distort representations learned from previous tasks.
Instead,\cite{LPFT} proposes first training the linear `head' layer on the new task $\mathcal{T}_i$ (to find the best way to use existing representations for the new task) and then fine-tune the entire model to incorporate information from $\mathcal{T}_i$ into its representations.
LP-FT consistently improves over naive SGD\xspace under all adaptation methods, and gets the highest overall accuracy.
Even under the exact kNN evaluation protocol used in \cite{madaan2022representational}, LP-FT matches or outperforms continual learning methods on three popular datasets: Sequential-CIFAR10 \cite{krizhevsky2012imagenet}, Sequential-CIFAR100 \cite{krizhevsky2012imagenet}, and Sequential-TinyImageNet \cite{deng2009imagenet}.
Finally, we find that LP-FT performs well in two other domains as well.
1. We consider continual representation learning in a real world satellite remote sensing task (Functional Map of the World~\cite{christie2018fmow})---LP-FT (56\%) outperforms naive SGD\xspace (53\%).
2. LP-FT gets \emph{state-of-the-art accuracies on an NLP continual learning setting}~\cite{Ke2021AdaptingBF} where they update BERT for a sequence of sentiment analysis tasks.~\cite{Ke2021AdaptingBF} propose a new continual learning method that outperforms 12 strong baselines. We show that a variant of LP-FT gives a further 2\% accuracy boost over their strongest method.
\section{Related Work}
\label{sec:related-work}
Over the years, many continual learning approaches have been proposed in three main categories. \emph{Regularization}-based methods~\cite{zenke17si, lopez2017gradient, chaudhry2018efficient} minimize the drift of model representations during sequential learning to prevent the forgetting of learned knowledge. \emph{Architectural}-methods~\cite{rusu2016progressive, YoonJ2018iclr, yoon2020apd} expand the network structure to learn the task-independent and task-shared knowledge across the sequence of tasks. \emph{Replay}-based methods~\cite{sinha2020experience, Aljundi2019GradientBS, buzzega2020dark} select and revisit a representative subset of the past-task examples during the training of future tasks to alleviate forgetting. While most of these methods were restricted to supervised settings, recent works~\cite{madaan2022representational, fini2022self} have extended them to continual learning with the unlabelled data stream.
\section{Preliminaries}
\label{sec:formatting}
In continual learning, there is a continuum of $T$ tasks $\mathcal{T}_1,\ldots, \mathcal{T}_T$. For each task $\mathcal{T}_t$, we have a training dataset $\mathcal{D}_{tr}^{(t)}$, few-shot dataset $\mathcal{D}_{ft}^{(t)}$, evaluation dataset $\mathcal{D}_{te}^{(t)}$ sampled from a distribution $P_t$ over $\mathcal{X}_t \times \mathcal{Y}_t$.
We parameterize the models by a base feature extractor $\theta \in \mathcal{B}$ and task-specific head $\phi_i \in \mathcal{V}$ to predict $h_{\phi_t}( f_{\theta}(x) )$ on task $t$, where $f_{\theta}(x) \in R^k$ maps inputs into a lower dimensional feature space, and $h_{\phi}$ represents a linear head.
\subsection{Training}
Given a loss function $\ell : X \times Y \rightarrow R_{\geq 0}$ (for example, the cross-entropy loss), the loss on task $t$ is the average of the loss $l$ over the training set for task $i$:
\begin{equation}\mathcal{L}_t(\phi, \theta) = \sum_{x, y \in D_{tr}^{(t)}} \ell(h_{\phi}(f_{\theta}(x)), y)\end{equation}
\subsection{Linear probe finetuning for CL}
We start with $\hat{\theta_0}$ initialized randomly. For each task $1\le t \le T$, LP-FT first trains the head $\phi$, and then jointly optimizes the entire model $(\phi, \theta)$.
\begin{align}
\hat{\phi_{t,lp}} &= \arg \min_{\phi} L_t(\phi, \hat{\theta}_{t-1}) \\
\hat{\phi_{t}}, \hat{\theta_t} &= \arg \min_{\phi, \theta} L_t(\phi, \theta) \mbox{, initialized at }\phi = \hat{\phi_{t,lp}}, \theta = \hat{\theta}_{t-1},
\end{align}
where we approximate the $\arg \min$ using stochastic gradient descent. We apply LP-FT on both a standard ResNet18 classifier, and the B-CL architecture from \cite{Ke2021AdaptingBF} and show its efficacy in both vision and NLP. More architecture-level decisions can be found in Appendix \ref{app:app-2}.
\subsection{Evaluation}\label{sec:evaluation}
At evaluation time, we consider the model $\theta_T$ at the end of continual learning. Our goal is to evaluate how good the quality of representations in $\theta_T$ are for older tasks by evaluating $\theta_T$ on (a typically small amount of) data from each task $i$. We probe the model on each of the tasks $i$:
\begin{equation}
\hat{\xi_{i}}, \hat{\theta_i} = \probe(\theta_T, D_{ft}^{(i)})
\end{equation}
We then get the accuracy $A_i$ on task $i$, and finally measure the average $A$ over all the tasks:
\begin{equation}
A = \frac{1}{T} \sum_{i=1}^T A_i \mbox{, where } A_i = \frac{1}{| D_{{te}}^{(i)} |} \sum_{x. y \in D_{te}^{(i)}} \mathbbm{1}[h_{\hat{\xi_{i}}}(f_{\hat{\theta_i}}(x)) = y].
\end{equation}
We investigate three different options for $\probe$: 1. Train a kNN classifier on frozen representations produced by the model $f_{\hat{\theta_T}}$, 2. Train a linear probe on the model representations, 3. Fine-tune the entire model parameters via LP-FT.
\section{Probe Definitions}
We include formal definitions for the three different instantiations of the probing classifier used for our evaluation.
\begin{enumerate}
\item {\bf Linear probe}
We train a linear classifier on frozen representations produced by the model $\theta_T$:
\begin{equation}
\begin{split}
\probe(\theta_T, D_{ft}^{(i)}) :&= \arg \min_{\xi} L_i(\xi), \theta_T \mbox{, where } \\
L_i(\xi) &= \sum_{x, y \in D_{ft}^{(i)}} l(h_{\xi}(f_{\theta_T}(x)), y)
\end{split}
\end{equation}
\item {\bf KNN probe}
$\xi$ follows \cite{wu18knn} by building a nearest-neighbor classifier based on ${\theta_T(x) : x \in D_{ft}^{(i)}}.$
\item {\bf LPFT probe}
We define a loss function:
$$L_i(\xi, \theta) = \sum_{x, y \in D_{ft}^{(i)}} l(h_{\xi}(f_{\theta}(x)), y).$$
For each task $i$, we first train the head $\xi$ and then fine-tune the entire model $\xi, \theta_T$.
\begin{align}
\hat{\xi_{i}}_{lp} &= \arg \min_{\xi} L_i(\xi, \theta_{T}) \\
\probe(\theta_T, D_{ft}^{(i)}) :&= \arg \min_{\xi, \theta} L_i(\xi, \theta)
\end{align}
initialized at $\xi = \hat{\xi_{i}}_{lp}, \theta = \theta_T.$
\end{enumerate}
\section{Experiments}
We show quantitative results on popular benchmarks Sequential-CIFAR-10 $(T=5)$, CIFAR-100 $(T=20$), Tiny-ImageNet $(T=10)$, as well as a benchmark of 19 Aspect Sentiment Classification Datasets \cite{Ke2021AdaptingBF} $(T=19)$ and an initial result on real-world satellite data Functional Map of the World $(T=6)$. We abbreviate these as C10, C100, Tiny, ASC, and FMOW. We show that LPFT significantly improves over fine-tuning on C10, C100, and Tiny, and is almost as good as the best unsupervised continual learning algorithms and SOTA supervised continual learning algorithms. In order to better evaluate representations, we introduce an evaluation protocol where we are given a small percentage of data to tune on at test time and show that the benefit from popular regularization and replay continual learning algorithms is largely negated when we follow this evaluation protocol.
\subsection{Experimental Setup}
At training time, we tune every supervised continual learning method by averaging over 3 random seeds and sweeping over 6 learning rates. Meanwhile, we use the best method-specific hyperparameters from \cite{buzzega2020dark} and \cite{madaan2022representational} for DER and SI, adding group normalization which was found to work better across all supervised methods. We use the best hyperparameters from \cite{madaan2022representational} directly for UCL, reproducing their best runs. For more details, see section \ref{sec:app-1}.
To prepare the best runs for probe evaluation, we select the hyperparameters corresponding to the best confidence interval, using the KNN probe accuracy as the validation and test metric. Then, we rerun 3 random seeds with those hyperparameters and obtain 3 corresponding checkpoints with the highest average test accuracy in the span of the final task. For KNN probe, we follow the same hyperparameters as \cite{madaan2022representational}. For linear probes, we using lbfgs solver to sweep over 100 regularization values, and evaluate accuracy using the best classifier. For LPFT probe, we sweep over the same 6 learning rates as training and train for the same number of epochs as during the training.
\subsection{Ranking of Methods Depend on Evaluation Protocol}
First, we compare the methods using the original evaluation protocol, which evaluates the mean test accuracy using the KNN classifier over all tasks at the end of training. The results from \ref{tab:full-knn-eval} are shown.
Second, we apply our evaluation protocol as described in \ref{sec:evaluation}, which uses 10\% of the data as fewshot to train various probes. As shown in \ref{tab:fewshot-probes-eval}, SI and DER are the best two methods with the standard KNN and LP probes, but SGD\xspace and LPFT are the best two methods with the LPFT probe. With the exception of UCL, all methods obtain a better accuracy with LPFT probe, suggesting it is the probe that practitioners will elect to use to maximize accuracy. SGD\xspace and LPFT especially yield high-performing probes that beat DER.
\begin{table}[h!]\centering
\caption{LPFT does better than UCL and DER and almost as well as SI. On Tiny, LP-FT does better than all other methods---6\% higher accuracy than the next best method.}
\begin{tabular}{lllll}
\hline
\multicolumn{1}{c}{} & \multicolumn{4}{l}{KNN probe} \\ \midrule
& C10 & C100 & Tiny & Average \\ \midrule
SGD\xspace & 5. 88.92 & 5. 71.27 & 4. 57.12 & 5. 72.44 \\
LPFT & 2. 91.65 & 2. 79.24 & \textbf{1. 64.25} & \textbf{1. 78.38} \\
UCL & 4. 90.11 & 4. 75.42 & 3. 58.31 & 4. 74.61 \\ \midrule
DER & 3. 90.38 & 3. 76.97 & 5. 56.97 & 3. 74.77 \\
SI & \textbf{1. 92.73} & \textbf{1. 79.63} & 2. 58.55 & 2. 76.97 \\ \bottomrule
\end{tabular}
\label{tab:full-knn-eval}
\end{table}
\begin{table}[h!]\centering
\caption{We find that using the best probe trained on fewshot data, continual learning methods do worse than SGD\xspace, while LPFT does better. We tested on 10\% few-shot data under our various probes' evaluation schemes. The average metric over C10 and C100 is reported. The full table can be found in \ref{app:app-2}. }
\begin{tabular}{lllll}
\toprule
& \multicolumn{1}{c}{KNN probe} & \multicolumn{1}{c}{LP probe} & \multicolumn{1}{c}{LPFT probe} & \multicolumn{1}{c}{Best probe} \\ \midrule
SGD\xspace & 5. 77.64 & 4. 88.30 & 2. 93.46 & 2. 93.46 \\
UCL & 4. 82.45 & 5. 88.21 & 5. 87.06 & 5. 88.21 \\
LPFT & 3. 83.95 & 3. 90.20 & \textbf{1. 93.74} & \textbf{1. 93.74} \\ \midrule
SI & \textbf{1. 85.87} & \textbf{1. 90.91} & 4. 91.05 & 4. 91.05 \\
DER & 2. 84.78 & 2. 90.68 & 3. 93.26 & 3. 93.26 \\
\bottomrule
\end{tabular}
\label{tab:fewshot-probes-eval}
\end{table}
\subsection{LPFT Maintains Strong Performance and Further Gains from Proper Evaluation}
From Table \ref{tab:full-knn-eval}, we see LPFT at training time significantly improves over SGD\xspace (2.73\% on C10, 7.97\% on C100) with the KNN evaluation protocol in \cite{madaan2022representational}, outperforming DER and second only to SI. This simple and effective technique refutes prior conclusions that supervised finetuning cannot outperform unsupervised learning unless replay or regularization is applied. LPFT is also not data-intensive. From Table \ref{tab:fewshot-probes-eval}, we see with only 10\% fewshot data, applying LPFT probe to SGD\xspace and LPFT yields linear probes that beats DER (on C100), or comes within 0.28\% of it (C10). Meanwhile, UCL does not gain from LPFT at few-shot evaluation time, losing 2.46\% and gaining 0.19\% from a linear probe (-1.15\% on average), implying its representation quality hinges on having access to the full dataset. Using additional data at test time helps "simple" methods defeat their more involved counterparts, without incurring additional cost like memory from replay buffer (DER) or past weights for information accumulation (SI). We highlight this by partitioning the table into methods that incur extra memory (bottom) and methods that don't (top).
\subsection{LPFT Couples with SOTA CL Methods for Consistent Gains}
In this section, we also include results coupling LPFT with SI and DER in Table \ref{tab:ablations}. We see that for every supervised continual learning method - finetuning, SI, DER - adding LPFT either results in gains that outperform UCL or comes near confidence interval of it. These experiments challenge the prior belief that unsupervised methods are becoming the SOTA way to continually learn representations \cite{madaan2022representational}.
\label{sec:app-1}
\begin{table}[h!]\centering
\caption{We report all supervised methods with batch norm (BN) and with group normalization (GN). Methods with +SK mean sklearn is used to obtain the linear probe.}
\begin{tabular}{lrr}
\toprule
& \textsc{C10} & \textsc{C100} \\ \midrule
FT (BN) & 88.19 ($\pm$1.02) & 70.89 ($\pm$1.92) \\
FT (GN) & 88.92 ($\pm$0.31) & 71.27 ($\pm$1.23) \\
LPFT (BN) & 89.73 ($\pm$0.48) & 75.38 ($\pm$1.66) \\
LPFT (GN) & 91.18 ($\pm$0.21) & 76.42 ($\pm$1.38) \\
LPFT + SK (GN) & \textbf{91.65 ($\pm$0.05)} & \textbf{79.24 ($\pm$0.52)} \\
UCL (original, BN) & 90.11 ($\pm$0.12) & 75.42 ($\pm$0.78) \\
\midrule
DER (ours, GN) & 90.38 ($\pm$0.53) & 76.97 \\
DER + LPFT (GN) & 91.07 ($\pm$0.25) & 78.21 \\
DER + LPFT + SK (GN) & \textbf{91.65 ($\pm$0.32)} & \textbf{80.56 ($\pm$0.15)} \\
UCL + DER (original, BN) & 91.22 ($\pm$0.30) & 77.27 ($\pm$0.30) \\
\midrule
SI (BN) & 91.02 ($\pm$0.40) & 78.85 ($\pm$0.88) \\
SI (GN) & \textbf{92.73 ($\pm$0.07)} & \textbf{79.63 ($\pm$0.10)} \\
SI + LPFT (GN) & 92.26 ($\pm$0.15) & \textbf{80.01 ($\pm$0.32)} \\
SI + LPFT + SK (GN) & 92.64 ($\pm$0.07) & 78.03 ($\pm$0.63) \\
UCL + SI (original, BN) & \textbf{92.75 ($\pm$0.06)} & \textbf{80.08 ($\pm$1.30)} \\
\bottomrule
\end{tabular}
\label{tab:ablations}
\end{table}
For both the LPFT method and LPFT probe evaluation, our ablation study considers two ways of probing - either training the linear head with SGD\xspace for 25 epochs with the rest of the model frozen, or using sklearn (+sklearn) to obtain the probe via the lbfgs logistic regression solver from sklearn. For LPFT training, both ways are followed by 25 epochs of finetuning. We find sklearn's logistic regression obtains a better linear probe than training by sweeping over 100 regularization values within the logspace of $[10^{-7}, 10^2]$, and that using the obtained weights to set the probe improves the performance of LPFT and LPFT-coupled methods. For the results in \ref{tab:full-knn-eval}, we performed all instances of linear probing with sklearn's probe.
We tuned our supervised methods for the best learning rate over $[0.003,0.01,0.03,0.1,0.3,1.0]*\text{batch size}/256$, with the adjustment rule from \cite{madaan2022representational}. For UCL methods, we did not tune the learning rate due to our computational constraints: UCL requires 200 epochs (instead of 50) to converge, and employs batch size of $256$ instead of $32$ used for supervised methods. Instead, these hyperparameters were tuned extensively by \cite{madaan2022representational}, so we use them as is.
\subsection{LPFT Generalizes to Other Domains and Scales to Larger Datasets}
\begin{table}[!htp]\centering
\caption{(left) LP-FT gives a further boost of 0.55\% and 1.41 Macro F1 compared to B-CL \cite{Ke2021AdaptingBF}, the state-of-the-art method on an aspect sentiment classification CL benchmark. (right) LP-FT also improves over naive training on a real-world satellite remote sensing dataset (FMoW) where 6 tasks correspond to 6 continents, getting 3\% higher average accuracy.}
\begin{subtable}{0.49\columnwidth}\centering
\caption{}
\label{tab:b-cl}
\begin{tabular}{lrr}
\toprule
& Accuracy & Macro F1 \\
\midrule
B-CL & 89.51 ($\pm$0.55) & 82.05 ($\pm$1.30) \\
B-CL + LPFT & 90.06 ($\pm$0.77) & \textbf{83.46} ($\pm$0.67) \\
\bottomrule
\end{tabular}
\end{subtable}
\begin{subtable}{0.49\columnwidth}\centering
\caption{}
\label{tab:fmow}
\begin{tabular}{lll}
\toprule
& KNN probe \\
\midrule
SGD\xspace & 53.22 \\
LPFT & 56.03 \\
\bottomrule
\end{tabular}
\label{tab:fmow}
\end{subtable}
\end{table}
In Table \ref{tab:b-cl}, we see that $\phi$ and $\xi$ can be instantiated as task-specific parameters for a general task-incremental CL framework in the domain of NLP, and LPFT can still achieve gains. We follow their setup and report the average over 5 random sequences of the 19 tasks.
We also apply LPFT to FMOW, a real-world dataset of satellite imagery, and the initial result shows LPFT can bring immediate gains even on a messy real-world dataset where the most resourceful region has >400x samples as the least resourceful region.
LPFT's numbers are generally more competitive for larger datasets. As detailed in Appendix Table \ref{tab:fewshot-probes-eval-full}, the gap between LPFT and SGD\xspace increases from 3.94\% (KNN probe), 1.01\% (linear probe) to 8.69\% and 2.7\% respectively on C100 compared to C10. On Tiny, we see LPFT to be the dominant method, achieving 7.28\% and 1.67\% on top of the second best methods under KNN (DER) and linear probe (SI) evaluations respectively.
\section{Discussion and Conclusion}
This works aims to learn better representations via continued pretraining and find better protocols to evaluate them. We introduce a probe evaluation framework that changes the ranking of continual learning methods. We introduce a simple yet effective technique that boosts performance across all datasets, can be applied in different domains and settings, couples with existing continual learning methods, and does not incur additional costs.
{\small
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 4,371 |
ITV Broadcasts "Search For Noah's Ark" Documentary
Posted on December 24, 2012 by Richard Bartholomew
Last night, British television (ITV) broadcast Joanna Lumley: The Search for Noah's Ark, in which the actress travelled around the middle east and beyond looking for evidence of the Biblical story. The programme lasted just over an hour (padded out to 1:30 by adverts), and contains some interesting location filming and interviews, but the main attraction is Lumley trolling the world of Biblical archaeology and scholarship with ludicrous statements, particularly during the first part of the programme. In Istanbul, for instance, Lumley eats a bowl of ashure, known as "Noah's Pudding"; she asks, utterly deadpan:
I wonder if this is what Noah ate to celebrate surviving the flood?
Lumley then heads for the area of Durup?nar near Mount Ararat; there is natural rock structure here that has been promoted by American fundamentalists as the Ark for some years, and we're shown 1970s video footage of pseudo-archaeologist Ron Wyatt surveying the site (Wyatt's alleged successes rival those of St Helen: as well as Noah's Ark, house and grave, Wyatt claimed to have seen the Ark of the Covenant, and to have found pre-flood wood without tree rings, sulphur balls from Sodom and Gomorrrah, and a sample of Jesus' blood, which contained 23 chromosomes from Mary and one from God. Wyatt is now deceased, but his Wyatt Archaeological Reseach Inc. lives on under the control of Richard Rives, who makes witless videos for WorldNetDaily).
Lumley views one of the nearby Hole Stones of Arzap (not identified as such in the programme), and explains to local children how it could have been used first to balance the ark and then as an anchor once dry land was spotted. She also takes in a local visitors' centre, described in the programme as the "Museum of Noah's Ark". The curator, Hasan Ozer, shows her various mounted drawings and press cuttings, and explains to her how the site was first identified:
Before Noah's Ark was discovered, there was a light shining here every night. Local people thought it was a mausoleum or treasure. Then in 1959 a Turkish Air Force pilot took a photo from the sky… When the photo was taken they said "This is Noah's Ark"… They showed us the photo and said "Where is this place?" And I said, "I know where it is!"
A gallery of photos from the museum can be seen here, including a clipping of Ozer with Wyatt.
Alas, however, the site is subsequently debunked in an interview with a geologist named Murat Avc?, who explains to Lumley how the rock formation came to be where it is; the theory that the rock formation is the fossilised ark is not sustainable (he has a paper in English here). But this serves only to spur Lumley on, to look for evidence further afield.
Her first stop is Mardin, where she has a brief chat with the "Archbishop of Mardin & Diyarbakir" (more properly, Archbishop Filuksinos Saliba Özmen, Metropolitan of Mardin and Diyarbakir) at a "small monastery" (actually the large Deyr ul-Zafaran Monastery). Nearby Mount Judi, the Koranic site of Noah's landing, is closed off by the military, so Lumley instead heads for the Islamic Tomb of Noah in Cizre, where the imam, Mahmut Muren, explains that Noah was just a "nickname", and that he was actually named Abdul Ghaffar. Surveying the tomb itself, which indicates that Noah must have been many times taller than anyone living today, Lumley mutters "terribly tall".
This is followed by an unexpected interlude back in the UK, during which Lumley discusses the Bible story with Julia Neuberger at the West London Synagogue and then pads things out by talking to Lloyd Buck, a bird specialist who handles ravens (the raven was the first bird sent out by Noah). Lumley then visits the British Museum to discuss tablets of the Epic of Gilgamesh with AR (Alan) Millard, who tells her that he believes there was a flood in Mesopotamia which forms the basis of the story, and that this can be seen from a list of Babylonian kings which is interrupted by a flood.
Next is a visit to India, where Lumley talks about the story of King Manu with a scholar named Nivedita Ghosh. Could the story of King Manu be due to the transmission of the flood story from Mesopotamia? Lumley discusses trade links between Indus Valley Civilization and Mesopotamia with another Indian scholar (who for some reason isn't given a name subtitle), and then takes off for Oman to learn about ancient shipbuilding techniques from Eric Staples; Noah's Ark is "stretching the imagination", he explains to her.
The programme ends with Lumley standing on Jebel Shams with Mohammed Alkindi, a geologist who believes the ancient story can be reconciled with scientific evidence of a "catastrophic event". Lumley concludes:
It probably did happen. There probably was a catastrophic flood. There probably was a good man who saved gis family and animals. And it was kept as a moral story.
Filed under: Uncategorized | 1 Comment » | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 4,031 |
\section{Introduction}
Photonics is the `ugly duckling' of approaches to quantum computing. There are two overarching reasons to try and nurture it into a swan.
The first reason is that in photonic integrated circuits (PICs) we believe that we can reduce stochastic noise levels several orders of magnitude below even optimistic estimates of such noise for matter-based approaches. For instance, raw stochastic error rates of $10^{-6}$ would, I believe, be a pessimistic estimate. (See Section\ref{sec:switches} for an argument why current experiments indicate they are no bigger than $10^{-5}$ and why I would expect at least $10^{-8}$ is achievable with current devices). However, in photonics we have an inescapable (constant) overhead, due to the fact we use non-deterministic linear optical gates, of around 100 physical photons to end up with a single ``raw computational'' photon that is the equivalent of one normal qubit. Are we are crazy? From this perspective no one has ever built a single `functional' photonic qubit yet! The reason we should not be committed to an asylum (yet) is that the overhead photonics assumes will be subsumed by the standard error correction required. For example, in \cite{fowler:12}, the authors calculate it requires $2\times 10^5$ matter qubits with a raw error rate of $10^{-3}$ (as well as many thousands of gates and measurements etc) to achieve a magic state \cite{Bravyi2005} with stochastic error rate of $3\times10^{-6}$.
The second reason is that PICs are being vigorously pursued for classical computing purposes, and the core components necessary for the quantum architecture are already under investigation and optimization, in multiple variations, by classical photonics engineers. Moreover, the vast majority of this work is fully compatible with present-day fabrication techniques and standards (i.e. CMOS technology), so that while current classical PICs only contain several thousands of components (in a few hundred square microns) \cite{sun2013large}, it is reasonable to expect PICs containing many hundreds of thousands of components soon. This has become even more likely with recent breakthroughs \cite{Gentry:15,Sun:2015} that prove PICs can not only be CMOS compatible, they can be built with `zero-change' of current CMOS fabrication facilities. As such, contemplating PICs of many millions of photonic components is brave, but not unreasonable.
One may wonder if millions of components are really necessary? Earl Campbell and Joe O'Gorman have recently improved magic-state type protocols (which are some of the most resistant to stochastic noise) and have done careful estimates of resources required for running Shor's algorithm to factorize numbers beyond those classically achievable. Their numbers indicate we need to be able to swallow resource numbers \emph{qubits}$\times$\emph{time steps} $\approx 10^{15}\mathrm{-}10^{17}$. CMOS technology is the only method known for manufacturing dynamical devices on this scale.
Typically matter-based approaches to quantum computing begin by building and controlling small numbers of qubits; the challenge is then scaling up. For the photonic architecture I will overview here, things are somewhat inverted: the primary challenge is efficiently producing small (3-photon) entangled states on a PIC. The large scale architecture becomes relatively trivial - it is just an interferometer built from components that are already able to be fabricated to high precision, sufficient to generate large amounts of entanglement in a cluster state \cite{Raussendorf2001} universal for quantum computing. Given such sources our overhead will then be less than 20 physical photons per final qubit in the cluster state, only two photons would undergo any kind of potentially noisy active element, no proper quantum memory is required, and all photons go through a constant number of photonic elements regardless of the computation size. Because the architecture is based on a highly modular production of cluster state, once we do have a single functional photonic qubit we not only have arbitrary numbers of such qubits, we also have the ability to perform arbitrary gates between them.
None of the preceding should be taken as advocating the abandonment of matter-based approaches (see Appendix A for a rant about this). Rather I want here to emphasize the considerable amount of `photonics specific' theory that remains to be done. Matter-based approaches benefit from many theoretical results that can abstract away the underlying physics of any particular implementation. However, most of this work is of marginal relevance to the key challenges of building a photonic quantum computer.
\section{Optical frequency photons as qubits}\label{sec:photonsasqubits}
For most physical realizations of a qubit, the natural environment in which it is immersed is a source of stochastic noise. By stochastic noise I will mean any random evolution of the qubit, the unknown specific realization of which differs from one computational time step to another. For some matter-based realizations it is now possible to keep the qubit fairly well isolated until the time a gate needs to be performed on it, and the majority of stochastic errors arise when it is manipulated. Almost all theory of quantum error correction and fault tolerance is based around combating the most common such errors.
For optical frequency photons manipulated by passive interferometers built from essentially perfect linear dielectric - such as waveguides etched into a semiconductor chip \cite{Politi2008} - environmental stochastic noise is presently unmeasurable, and expected to be very small. Essentially the energy scales (optical for the photon versus microwave for even room temperature surroundings) are too disparate for this to form any kind of worry until very large scale photonic devices are in hand. I am fond of glibly pointing out that photonic quantum information has already been proven stable against thermal decoherence for 11.5 billion years, which is the time light emitted from the Lyman-$\alpha$ blob LAB-1 retains its polarization on its journey to earth. This is close to the theoretically maximum achievable lifetime for any qubit of 13.7 billion years.
This is not to say there will be no stochastic noise on photonic qubits. The most relevant sources of such noise are the two \emph{active} elements of the architecture, which are adjustable phase shifters and switches. Essentially they are a source of stochastic noise because we cannot expect them to operate identically from one use to the next. The imperfection is primarily that of the imprecision of the voltage control. In Section \ref{sec:switches} I will discuss switches and phase shifters in more detail. The over-arching challenge of the architecture discussed here is to minimize the use of active components.
\subsection{Photons need to be indistinguishable from their neighbors}
In addition to switches and phase shifters, our photon sources need considerable improvement. They are discussed in detail in Section~\ref{sec:sources}, but at a high level it is worth noting that the architecture we are proposing requires every photon to interfere with at most 3 other photons, spatially nearby, on the PIC. For the interference to work, ideally the photons would have the same wavepacket \cite{rohde2006error}. It is not important per se whether they are a single frequency, only that their wavepackets are the same, but one way to ensure they are close to identical is to filter the photons as close to a single frequency mode as possible. For this we can use integrated ring resonators \cite{Shen:11b,filterandsource}. Filtering increases purity at the expense of increasing loss, but it is better to have loss, which is directly detectable, than undetectable stochastic errors. Impurity of single-mode entangled states can be distilled out extremely efficiently, limited only by the negligible thermal stochastic noise of the interferometers \cite{panpurification}.
To enhance interference it is also possible to locally ``trim'' the components of the PIC \cite{Shen:11b, Schrauwen:08,Bachman:13,MarshallPC} using lasers, and this allows extremely precise manipulation of the final single photon state. (Trimming is also used extensively on classical integrated circuits.) Such trimming is `set and forget', i.e once it is done it doesn't require maintenance or consume power, it changes the static properties of the device.
\subsection{Static imperfection is not stochastic noise}
Manufacturing imperfections on PICs are inescapable, but they are static, they do not drift with time. If the details of static imperfection (into which we can subsume other static error like imperfections of the photon wavepacket, inaccuracy of the voltage controls etc) are unknown then this leads to systematic error. However photonics is unique (I think) in that we can use a classical field (laser light) to determine the interferometer's parameters (the mode transformation it effects) to very high accuracy. These are the same parameters as those that govern the 2-photon interference crucial to the whole computer. Such characterization can also be achieved with repeated use of single photons instead, if such sources are more readily at hand on the chip. So, one way or the other, we actually expect to have very well known systematic imperfection to deal with.
Unknown systematic error is typically more benign than stochastic noise, and can (for example) be dealt with algorithmically \cite{Reichardt2005}, amongst other ways. Known systematic imperfection is much more benign again, although we have done little theory to really explore the implications. Some general things can be said however. Computational universality in the measurement-based setting we envision does not require a cluster state. Having a known state `close to' the cluster state will be sufficient, and rather than trying to somehow correct the state and then use it we likely would do better to simply use the ideas of \cite{Gross2007} (and generalizations thereof) to perform computation with it directly in a way that effectively corrects the imperfection via the side classical computation that chooses measurement bases. If we are really lucky (a vague argument has been made to me that we are, I'm a little skeptical) then systematic imperfection produces a state within the known (symmetry-protected) `phase' of states in the same universality class as the cluster state \cite{Else2012}. If so then even potentially complicated algorithmic correction will be unnecessary.
When I say a known state `close to' the cluster state suffices, this does not mean we need produce a state with near unit fidelity (overlap with) the ideal cluster state. In fact it could have vanishing overlap with it, because local imperfections can multiply up to drive the state far from the ideal one, and still work fine. For example, while we don't yet have a complete picture of exactly how interferometer imperfections translate into logical imperfection of the large scale cluster state discussed in Section \ref{sec:logicalarchitecture}, in simple examples the final $N$-qubit state takes the form
\[
\prod_{i\sim j} \widetilde{CZ_{ij}}|\tilde{+}\>_i^{\otimes N}
\]
where $\widetilde{CZ_{ij}}$ and $|\tilde{+}\>$ are `close to' the ideal controlled-$Z$ between qubits $i$ and $j$ and +1 eigenstate of Pauli $X$. Consider the simple case that $\widetilde{CZ_{ij}}=CZ_{ij}$, while $|\tilde{+}\>_i$ varies (but is known well) over each qubit. Then there are simple and highly precise filters (beamsplitter followed by detection), which we can apply to each photon individually, that with success probability dependent on $|\langle +|\tilde{+}\>_i|^2$, either turn this into the ideal cluster state \cite{Barrett2009}, or remove the qubit in the standard way (i.e. via an effective computational basis measurement).
The reason I emphasize this over-simple example is that it demonstrates that although there may be a finite systematic imperfection on every qubit which varies over the whole device, the state still has infinite localizable entanglement (and is computationally universal) as long as $|\langle +|\tilde{+}\>_i|^2$ is close enough to 1. (How close depends on details of the cluster state created. For the bond-percolated lattice discussed in the next section $|\langle +|\tilde{+}\>_i|^2\sim 0.96$ would suffice.) To reiterate, the final state might have vanishing overlap with the ideal state - we just need to know what the actual state is as precisely as possible. Ideally we would rather avoid a two-stage process of `state correction' followed by computation, and rather just compute directly on the imperfect state.
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item Is there a simple model that captures how do manufacturing imperfections translate into logical imperfection of the large scale entangled state we produce? If so, can we apply the wealth of existing abstract theory regarding states universal for MBQC to determine how best to use these states?
\end{myenumerate}
\section{Logical overview of the architecture}\label{sec:logicalarchitecture}
At the logical level, the current architecture we are proposing creates a large entangled cluster state \cite{Raussendorf2001}, with several layers of the cluster ``alive'' at the same time. The algorithm implemented is determined by the choice of phase shifts (as computed by an efficient classical side-computation) that some of the photons experience before measurement, all the rest of the architecture is fully modular. At this logical level the cluster state being produced is a bond-percolated 3d lattice, as depicted in Fig.~\ref{fig:lattice}. Lattices where each vertex only has degree 4, such as diamond lattice or the``surface code'' lattice of \cite{Raussendorf2006}, seem best; although they are not the only ones achievable from the 3-photon GHZ states which will be our fundamental resource \cite{Zaidi2015}.
\begin{figure}
\centering
\includegraphics[width=\linewidth]{logicallattice.pdf}
\caption{An example of a bond-percolated surface code cluster state that can be generated on a 2d photonic integrated circuit. Only a constant number of layers of the cluster in the $z$-direction will need to be present at any particular time. The red/black coloring of qubits is primarily to aid the eye, though for this lattice correspond to primal/dual qubits of the scheme in \cite{Raussendorf2006,raussendorfharringtongoyal}. Even for only a very small thickness - here 6 qubits - in the $y$-direction the percolated lattice will extend $O(10^4)$ qubits in the $y$ and $z$ directions.}
\label{fig:lattice}
\end{figure}
In Fig.~\ref{fig:lattice}, the $z$-dimension of the cluster state shown should be thought of as time. Thankfully, not all the photons depicted would need to be ``alive'' simultaneously; in fact, in cluster state computation, in principle one need only to have the qubits within two bonds of the qubit currently being measured actually alive. However, due to the percolated nature of the lattice, the choice of measurements to make on the leading layer of photons depends on features of the lattice behind that layer. There is therefore a certain `computational window' of qubits which will necessarily need to be kept alive within the computer while choices of measurement basis are made.
There are two ways we can use such a lattice in a computation. In Method 1, which was the original proposal \cite{Kieling2007}, we simply carve through paths that encode single qubits as per standard cluster state computation. Preliminary simulations show that we can keep such paths going essentially indefinitely with a computational window of about 10-15 (this means we need a delay line of about 10-15 clock cycles, see Section \ref{sec:delays}). We also find that, although we haven't yet incorporated any coding against loss, there is actually some serendipitous loss tolerance, on the order of a few percent. Specifically, detecting a lost photon we can attempt to logically punch it out using computational basis measurements. This works because our lattice has percolated quite far above the percolation threshold. Note that this recovery method is almost certainly not optimal even for Method 1 - various stabilizers can be measured to remove lost qubits as well.
Method 2 is to actually use the surface code from which this lattice originates, as per the ideas in \cite{raussendorfharringtongoyal}. Given that this method automatically provides some tolerance to stochastic noise, it is likely preferable. However, unlike the lattice assumed there, here we are missing bonds (the specific locations of which we know in advance of performing the computational measurement). We also will have some photon loss that we only know has occurred at the point of detection. The computational method of \cite{raussendorfharringtongoyal} involves carving out deformable `tubes' measured in the computational basis (essentially the equivalent of the single qubit lines in Method 1) with in-between (`vacuum') qubits measured in the $|\pm\>$ eigenbasis of Pauli-$X$. Both the missing bonds and loss can potentially be tackled via the method of `super-stabilizers', where we combine (in a side classical computation) stabilizers into larger ones, and deform the tube surfaces suitably to swallow errors into tube interiors. This technique makes regular surface code computation highly resilient to loss \cite{Stace2009,Barrett2010}, despite the fact it is, of course, a code designed to deal with stochastic error. So our focus at present is trying to understand if Method 2 really will be better than Method 1 (a combined option in which we first `repair' the surface code lattice similar to Method 1 also exists), but a full simulation and comparison has not yet been done.
Note that once we have built the cluster state, there is no difference between performing a logical two-qubit gate versus a one-qubit gate. That difference is one only of the pattern of single photon measurements. So the natural progression for photonics is very different to the conventional progression from single to two-qubit gates, each based on very different physics.
In Fig.~\ref{fig:lattice} the depth in the $y$-direction is 6, and yet this lattice will, with high probability, have paths extending $O(10^4)$ qubits in the $x$ and $z$ directions. We see therefore that the percolation is remarkably efficient - so far we have been unable to find a 2d lattice that we can percolate with such small initial resources as 3-photon GHZ states, and yet we need go only a very small way into the third dimension to get large scale entanglement.
The $x$-direction is the one across which our logical qubits will be defined. Because the amount of 3-dimensionality required purely for the purposes of percolation is very small, if the goal is to use Method 1, as per the original ideas of producing percolated cluster states \cite{Kieling2007}, then this suggests a `squashing down' of the third dimension onto a 2d chip would not cause too many problems. That is, it will only require a fixed number (about 6) of crossings for photons to reach the partner they need to interfere with, and exchanging photonic qubits these sorts of distances is not an issue. (It could be argued that photonics should be looking beyond local, lattice-based codes because there are not the same spatial locality constraints as for matter qubits - for example there are interesting finite-rate codes \cite{terhal15} unavailable to `locality-contstrained' qubits). This architecture would consist of sources at the one end of the chip, interferometers in the middle and detectors at the far end. I will call this a 1+1 (one space, one time) dimensional architecture. However; if, as seems likely, we would rather follow Method 2, then a 1+1 dimensional architecture is more problematic. Fault tolerance is achieved in the surface code lattice by having a large amount of qubits in the $y$-direction. Doing the same kind of lattice squashing would require the non-locality of the photonic interactions to grow as the size of the computation grows.
It turns out that it is possible \cite{mercedesthesis} to engineer a 2-dimensional photonic chip to allow for arbitrarily large 3-dimensional logical cluster states, in such a way that the number of photon crossings required is at most 1. It is this architecture that will be overviewed in the next section.
Here are some of the theoretical questions which remain largely unexplored on this particular topic:
\begin{myenumerate}
\item What are good protocols for exploiting serendipitous loss tolerance?
\item Ultimately should we pursue Method 1 or Method 2 or some other variant/combination? What are the best `path finding' algorithms for each case? What are minimal computational windows required in each case?
\item How local can the classical side-computation of measurement basis be? In Method 1 we believe it can be highly local, as for standard cluster state computation on a non-percolated lattice, but for Method 2 much less is known.
\item Recently it was shown that almost all the well-studied quantum error correcting codes can be ``clusterized'' into a 3d lattice \cite{StacePrivateCommunication} very similar to the surface code approach. Should we be using one of these variants, particularly as we are more concerned about loss tolerance than stochastic noise anyway? Should we give up on spatially local codes altogether?
\item Photons need not be qubits, they can readily encode higher dimensional systems, which, at least abstractly, can be advantageous \cite{earlhigherdimensions,Lanyon:2009}. Can this be translated into a practical advantage?
\end{myenumerate}
\section{Physical overview of the architecture}\label{sec:physicalarchitecture}
The big-picture view of the 2+1 dimensional architecture (see \cite{Gimeno-Segovia2015,mercedesthesis} for many more details) is depicted in Fig.~\ref{fig:unitcell}. We imagine a large semiconductor wafer, probably silicon, divided into a square lattice. The two dimensions $x$ and $y$ of the wafer correspond to the $x$ and $y$ dimensions of the logical cluster state depicted in Fig.~\ref{fig:lattice}.
Each unit cell of the wafer contains 6 sources capable of producing 3-photon GHZ states (equivalent to a 3-photon linear cluster state) with high efficiency. Of these eighteen photons, two will be computational qubits in the final logical lattice. One of these will be ahead of the other, i.e. in Fig.~\ref{fig:lattice} they will lie along the line of qubits that extend into the $z$-direction emanating from each $x,y$ location (for aficionados of surface code cluster state - one qubit is primal and one is dual). A delay (around 10-15 clock cycles due to the computational window mentioned above) is necessary before we know which basis these photons will be measured in. This is depicted as a winding waveguide delay (see Sec.~\ref{sec:delays}) before the detector. Of the eighteen emitted photons it is only these two which pass through an active element (a phase shifter to choose the measurement basis). We call this architecture `ballistic' for hopefully obvious reasons.
\begin{figure}
\centering
\includegraphics[width=\linewidth]{waferandunitcellsmall.pdf}
\caption{Unit cell of the wafer which extends in the $x$ and $y$ directions of the logical lattice of Fig.~\ref{fig:lattice}. Circles labelled ``II'' are boosted Type-II fusion gates. Black squares are sources, each emitting a 3-photon GHZ state. Two of the 18 emitted photons need to be delayed before measurement (the time delay corresponding to the $z$-direction of Fig.~\ref{fig:lattice}), these are computational photons and are the only ones undergoing an active phase shifter once the photons are emitted from the source. Note that the only crossing here is that of the two photons at the centre of the unit cell.}
\label{fig:unitcell}
\end{figure}
Four of the sixteen non-computational photons are used to connect the unit cell to adjacent cells, by entering a `Boosted Type-II' fusion interferometer at the cell edge. Type-II fusion \cite{Browne2005} is an operation that with probability 1/2 joins up (fuses) cluster state, the boosted form \cite{Gimeno-Segovia2015} exploits the ideas of \cite{Grice2011,Ewert2014} to increase the success probability to 3/4. The boosting process itself consumes either four single photons or a Bell pair, so within each such `II' box indicated in the figure more sources are implicitly necessarily integrated on the chip. The remaining twelve non-computational photons all undergo fusion gates with each other within the cell.
Note that each photon's world line in this architecture is really short. Even including the non-deterministic circuits to convert single photons into the 3-GHZ states, the `optical depth' of any given photon (the number of elements it passes from birth to measurement) is on the order of 10, and the number of other photons it ever needs to interfere with is at most 3. Contrast this with boson sampling \cite{Aaronson2011b} which requires optical depths of several hundred elements and interference with many tens of other photons. Perhaps the easiest way to do boson sampling (though why would you?) is to build a photonic quantum computer!
In terms of the initial 3-photon GHZ generation, coupling in photons from off-chip sources via fiber is possible, but this is clunky and ultimately hopefully avoidable. The sources will need to operate on some clock cycle that is at least in the megahertz, but hopefully gigahertz range.
I should say that although I lean towards being `as monolithic as possible', excellent photonics engineers have expressed the sentiment to me that they envision an architecture like this as consisting of a large number of separate modular chips talking via low-loss interconnects.
Either way what is important is that this architecture avoids multiple stages of massive, technologically demanding active switching and routing networks throughout the computation to construct complex resource states - without doing so the resource scalings would be prohibitive \cite{Ying15, Lovett2010}.
The last thing to point out about the architectural schematic envisaged here is that a 2+1 configuration will likely require pump laser distributed around the chip, and will also have some regions of the wafer devoted to classical electronics for the computations that determine the measurement bases. These may also be implemented in different layers \cite{Koonath:07}. As mentioned already, ideally such computation will use simple logic and be local. But to some extent the simplicity of this whole architecture arises because we have shunted into a classical computation much of what we used to need to deal with actively in a tricky quantum-coherent way. So perhaps I'm just being greedy to want the classical computation to also be simple and local, and yet I am reasonably sure that such is feasible.
To summarize, if we had highly pure sources of 3-photon entanglement, compatible with CMOS fabrication, then our photonic architecture becomes incredibly simple: our overhead would be 16 physical photons per final qubit in the cluster state and only two photons would undergo any kind of potentially noisy active element. The rest of the computer is just an interferometer built from components that are already able to be fabricated to tolerances sufficient for us to generate large amounts of entanglement.
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item Our current proposal is to use interferometers that are loss tolerant, in that we only herald off registered clicks (another improvement over the original percolation proposal \cite{Kieling2007}). However, we know we can give up such loss intrinsic tolerance for higher success probabilities (e.g Type-I fusion \cite{Browne2005}), which leads to more connected lattices etc. Is this beneficial?
\item We have no proof that 3-GHZ initial states are necessary. Perhaps ballistic protocols with Bell pairs, or even single photons are possible, particularly if we take into account options, as per the previous question, which do not destroy two photons at a time? As far as I know only one, not-particularly-smart, theorist has devoted about two days to this question.
\item Is it possible to boost fusion to higher probabilities (with ancillas that are no more entangled than 3-GHZ states)? We have no methods (even numerical) for verifying the optimality of \emph{any} of the current interferometric gates we use! Forget playing Go \cite{deepmind}, can't we get some artificial intelligence (other than Mercedes Gimeno-Segovia) onto this problem?
\end{myenumerate}
\section{Detectors}\label{sec:detectors}
Ten years ago poor detectors would have sat alongside sources as the primary obstacle to photonic quantum computing. With the advent of number-resolving, fully integrable superconducting detectors \cite{marsili2013detecting,akhlaghi2015waveguide}, the problem is well on the way to being fully solved.
Efficiency percentage in the high 90's, jitter in the low 10's of picoseconds, reset times on the order of 10's of nanoseconds and and vanishing rates of dark counts are achievable. It should be emphasized, however, that even very small improvements in detectors can lead to large savings downstream in terms of the overall scale of the computer. This is particularly true if our sources are of a multiplexed variety.
There does not seem to be much interesting a theorist can investigate about detectors per se, so we just encourage our experimental colleagues to make them better. Oh - and getting them to work at room temperature would help make lab tours for theorists more interesting.
\section{Switches/phase shifters}\label{sec:switches}
A phase shifter in a Mach-Zender configuration can act as a switch. Phase shifters can be built on a thermo-electric effect, but these are slow and in general we expect they will need to be built on some variation of an electro-optical effect, or, if speed of operation is not crucial, on an electro-mechanical effect. Nanoscale electro-mechanical devices are slow (though megahertz achievable) but do have the advantage that they are extremely low loss when in the `open' position, unlike those based on electro-optical effects.
There are a very wide variety of such devices being investigated (within classical photonics engineering), and I am not well-versed enough to summarize them all. There seem to be no good physical reasons that these types of switches cannot have large performance increases in the near future. There will, however, always be tradeoffs: at present, in silicon, they can be very fast (e.g. gigahertz \cite{826874,liu2004high}) but then are lossy; they can be slow (e.g. megahertz \cite{Seok:15}) and very low loss, and a wide variety of performance characteristics in-between.
As switches and phase shifters are the primary source of stochastic noise it is worth understanding some of the limiting factors in switch performance. Static limitations such as fabrication tolerances, accuracy of the voltage source, polarization/spectral-width/other wavepacket issues and so on lead to imperfections, as discussed in Section \ref{sec:photonsasqubits}, which can be well characterized and dealt with much more easily than stochastic noise. The dominant source of stochastic noise (at cryogenic temperatures drowning out those from induced refractive index changes due to thermodynamic fluctuations/vibrations etc) is expected to be electrical noise (thermal, shot noise, $1/f$ etc.) on the voltage source.
It should be pointed out that if we do have a source of high quality GHZ states then the photons will (at most) have to pass through one switch/phase shifter before measurement. In particular, computational photons will need to be measured in either the Pauli-$X$ or $Z$ bases if we take a surface code + magic states approach. The former amounts to interfering the two modes that comprise the qubit on a 50:50 beamsplitter, the latter to just measuring the two modes directly with no interference. One option is to send the two modes through a Mach-Zender and adjust the relative phase in the paths to 0 or $\pi/2$.
An alternative is to use a switch to direct the two photonic qubit modes toward some static measurement setups - i.e. either direct them straight toward some detectors, or direct them toward a static 50:50 beamsplitter followed by detectors. The latter method has a possible advantage in that we can characterize and then tune the static imperfections of the effective $X,Z$ measurements very well. This ``set-and-forget'' possibility has already been demonstrated to work with incredible accuracy \cite{Shen:11, Shen:11b}. Also, since $X$- measurements are more sensitive, perhaps we make them the default and switch only to a $Z$-measurement? More interestingly, from a theory perspective, things can be arranged so that if the switch does not operate perfectly, in as much as the photon goes the wrong way, all that happens is that we obtain a measurement in the undesired basis. But it is presumably better (and algorithmically correctable) to do a good clean measurement in the wrong basis than measure in the right basis but get the wrong outcome because of stochastic error. So if, as seems likely, demanding less perfect performance from our switches can reduce stochastic error then this is worth investigating.
The upshot is that the stochastic noise in the switches is probably at worst going to affect the relative phase between the two paths being directed towards the 50:50 beamsplitter for the $X$-measurement. The fact that this error is primarily of Pauli-$Z$ type is also of relevance once we consider quantum error correction and fault tolerance more abstractly. There may well be fancy engineering tricks to minimize this. For example, perhaps we can drive both switches from the same voltage in such a way that first order fluctuations cause opposite sign phase shifts (thats just a vague theorists idea!) or use a NEMS that has this measurement as its open-position static default. But it would be nice to get an estimate of how low we can make this noise with current technology before worrying about future possibilities.
Despite persistent nagging on my part, very little experimental effort has been made to try and obtain an accurate direct measurement of how low the stochastic noise can be made in photonics. The numbers are small, so it is difficult, but presumably by suitable cascading of devices (and perhaps incorporating randomized benchmarking techniques \cite{knillrandomizedbenchmarking}) the effect can be amplified. We can, however, obtain an indirect estimate. It is currently possible to build a Mach-Zender type switch \cite{Suzuki:15} with an extinction ratio of about -50dB. If the imperfectness of the extinction were completely due to a random phase shift $\Delta\varphi$ in the arms of a perfectly balanced interferometer (it most certainly isn't, its mainly due to static imperfection!) then we would say $\sin^2\Delta\varphi\approx(\Delta\varphi)^2\approx 10^{-5}$. Such a phase fluctuation in the $X$ measurement is equivalent to having a Pauli-$Z$ error rate of $10^{-5}$. But it would be surprising if we cannot get down to around $10^{-8}$, which is roughly what shot noise at the 1 volt, 1 milliamp range would imply. Of course I am then told that sub-shot-noise operation is possible, but I have no idea at present how low that might push these numbers. \footnote{\emph{Hot off the press:} While finalizing this article I received some preliminary data \cite{newbristolexperiment} from an experiment at the Centre for Quantum Photonics in Bristol, where this extinction ratio has been improved to around -65dB.}
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item Are there advantages to using different speed switches for different roles within the full architecture?
\item Is there really an advantage of `set-and-forget' over Mach-Zender type choices of measurement basis?
\item Should we aim for lower performance switches to reduce stochastic error and try to algorithmically correct incorrect measurements being performed?
\end{myenumerate}
\section{Delays}\label{sec:delays}
Photonic quantum memory is a delicate technology (see e.g. \cite{WalmsleyQuantumMemory}), requiring controlled interaction of light with matter. It is crucial to the viability of photonic quantum computing that this ballistic architecture does not require such memory, because at present their performance is very far from what we require, and they are not integrable. Also, by involving matter we would need to be concerned about the addition of stochastic error within the memory. Of course if high-performance memory does become available (and integrable) it would likely be extremely useful.
All we need for this architecture are fixed time delays. Delaying a photon a fixed number of clock cycles involves only a long, passive, waveguide. On-chip delays that basically wind a waveguide into a compact spiral have already been constructed \cite{lee2012ultra,Li:12} with lengths up to 27 meters! If we have 100 megahertz switches this is already longer than we require. Loss occurs as the photon travels around bends, and these can be greatly ameliorated with tricks that expand and constrict the waveguides in judicious ways. It is not unreasonable to expect delays with losses of less than 0.01dB per meter \cite{lee2012ultra}.
\section{Sources, multiplexing and all that}\label{sec:sources}
Methods for producing single photons have been under active investigation in a wide variety of systems. Given 6 single photons it is possible to produce a 3-photon GHZ state, but only with probability 1/32 \cite{Varnava2008}. In a perfect world we would be able to produce 3-photon GHZ states directly. This certainly can be done, for example the photon machine gun \cite{Lindner2009} has recently been built using a self-assembled quantum dot in the Gershoni group \cite{gershoni}. Many other options for building the photon machine gun exist - NV centers in diamond, trapped atoms and ions are all technologies for which the current method of producing single photons is more or less amenable to producing 3-photon GHZ states instead (though admittedly it is more complicated). The extent to which any such method is compatible with being implemented directly on chip varies greatly, as do achievable repetition rates, as does the indistinguishability of the photons produced from different sources. The photons could be produced off-chip and coupled in by fiber; present state of the art for such coupling is an efficiency of -0.36dB \cite{Notaros:16}. Most concerning, however, is that these methods are vulnerable to stochastic noise being transferred into the photons from the matter responsible for producing them.
\begin{figure}
\centering
\includegraphics[width=0.8\linewidth]{Switch.pdf}
\caption{Cascading delays of length 1,2,4,8,... allows $S+1$ switches to delay a photon by any time between 0 and $2^S-1$. The figure makes it look as if the delays are in fiber, in reality they would be waveguide `spirals' as in Section~\ref{sec:delays}.}
\label{fig:switches}
\end{figure}
A technology we have considerable experience with that can produce highly pure, single photons is spontaneous parametric downconversion (SPDC), where a single photon is heralded via the detection of its partner. Separate SPDC sources can produce highly indistinguishable photons \cite{LaingHiFi}. The states from a single SPDC source are highly pure, it should be said, except for the time-bin degree of freedom - the emission time is random. Roughly speaking such a source can produce single photons at 10's of gigaherz repetition rates, with a (controllable) probability of any particular time bin containing a photon ranging from about 0.1\% to 20\% (we assume efficient detectors herald any multi-photon emissions, which are then ignored). Particularly relevant for our purposes is that the spontaneous four-wave mixing variant (SFWM) of such nonlinear optical photon production is fully compatible, in fact already manufacturable, within an integrated architecture - it does not even require any new type of component to be introduced to the fabrication process. This is because we can use the small nonlinearity of the semiconductor itself and obtain heralded single photons by pulsed pumping of long waveguides, or of waveguide cavities \cite{spdconchip,Gentry:15,spring16}.
The key issue for such sources is to produce photons that are highly indistinguishable. Typically the photons pairs produced (which may be quite different frequencies) will be entangled, in which case we need to measure the heralding photon to collapse its partner onto a pure state. Doing this measurement requires strongly filtering the heralding photon to ensure high purity of the partner, and although extremely good filters exist such filtering decreases the probability per pulse of the photons. Alternatively sources which pump cavities directly produce the photon pairs in a product state using high-quality waveguide cavities. Typically indistinguishability is measured in terms of visibility of a HOM test \cite{HongOuMandel}. Although extremely high visibilities of the photon pairs produced in a single nonlinear process are possible (showing how strong the correlation/entanglement is), we cannot expect nearly as high visibilities from heralded photons produced from two different such processes. My suspicion is that non-unit visibility arising from two photons being in slightly different pure states is much less detrimental than that caused by the photons being slightly mixed, but a detailed investigation needs to be done. Regardless of how pure we produce these heralded photons, they are still produced by a spontaneous process and so emerge in random time bins.
A nice idea \cite{Migdall2002} to remove the time-bin randomness is that of \emph{multiplexing}. This can take either a spatial form - place many sources in parallel and use a switching network to switch out a photon from a source you know has fired, or a temporal form - use adjustable delays on a single stream of photons to shuffle them backwards into desired time bins. Both methods require the photons to traverse switches, which are both lossy and our only significant source of stochastic noise and so minimizing switching is the key concern.
Most of what I will say here is generic, but I will use temporal multiplexing for definiteness. We have a stream of photons where each time bin contains a photon with probability $p$. Using $S+1$ switches a photon can be delayed by any amount of time between 0 and $2^{S}-1$, as depicted in Fig.~\ref{fig:switches}. What I will refer to as \emph{standard multiplexing} divides the stream of random photons into blocks of length $2^S$. If a block contains a photon it shuffles that photon to the back of (i.e. the last time bin in) the block. If there is more than one photon in the block then the extra photons are ignored/discarded. The final stream of photons can then be viewed as having a new time bin period of $2^S$, with a new probability of a photon in each bin of \begin{equation}
p'=1-(1-p)^{2^S}.
\end{equation}
If the switches were lossless this would let us readily turn our non-deterministic source into an effectively deterministic one.
This would not, however, be the end of the need for multiplexing. We need to turn these deterministic single photons into 3-GHZ states or Bell pairs. The methods we use for doing so are probabilistic \cite{Zhang2008, Varnava2008, mercedesthesis}. As such we need to multiplex again after the probabilistic production of the desired states.
\subsection{Asynchronous computation and relative-time multiplexing}
It turns out that large improvements are possible to standard multiplexing. The big-picture realization is that there is no reason the photonic quantum computer need be run perfectly synchronously - an asynchronous operation will do. The whole reason we are trying to reduce the indeterminism in the source is that any particular photon is going to need to arrive at some optical element at the same time as some other photon with which it will interfere. But it certainly need not arrive at the same time as all other photons in the quantum computer. This leads to the concept of \emph{relative time multiplexing} (RMUX).
\begin{figure}
\centering
\includegraphics[width=0.9\linewidth,bb=5 5 360 270,clip=true]{RMUX.png}
\caption{Comparison between relative time (purple) and standard (blue) multiplexing for two streams of photons, each with 20\% probability of a photon per pulse, where photons from one stream are delayed in order to `partner up' with photons from another. The yield is the final percentage of pulses that end up with two photons impinging on a beamsplitter. The yield in standard multiplexing eventually drops because only one of the many photons produced in a large standard multiplexer actually gets used.}
\label{fig:RMUX}
\end{figure}
Full RMUX is a bit complicated, so first consider a simpler ``sliding window'' method that captures some of the idea. Imagine we want to impinge two photons on a beamsplitter. We have two streams of photons in (known but) random time bins and each photon can be delayed up to $2^S-1$ bins. We consider the first incoming photon from either stream, and ask whether there is a photon from the other stream that is no more than $2^S-1$ bins behind the first. If so then we delay the first photon appropriately to meet it, and repeat. If not we discard the first photon and look to the second incoming photon from either stream. The expected number of `matched photon pairs' can increase significantly because we are not forcing the photons into a particular clock cycle, rather we are only adjusting indeterminism in their relative time separation.
In practice we would use the generalization of the sliding window idea to either four streams of photons to produce Bell pairs \cite{Zhang2008}, or to six streams \cite{Varnava2008} to directly produce the 3-GHZs we so desire. We also will likely only put delays on one of the photon streams to reduce the number of switches. But the sliding window technique still discards many potentially useful photons, because only one photon per stream within the current window is used. At low values of $p$ this is not significant, but at higher values we are failing to use many photons. Therefore it makes sense to look at more sophisticated \emph{matching} algorithms (well studied in graph theory), and these do significantly better again. The simplest comparison for the simple case of two photon streams is shown in Fig.~\ref{fig:RMUX}.
There is a subtlety however; when the density of photons is high there is the potential for `collision' of photons within the delay network, and these must be accounted for.
Where RMUX really comes into its own is when we have the streams of 3-GHZs that we are now fusing to produce our final logical lattice, as overviewed above (details of the fusing configurations are in \cite{Gimeno-Segovia2015}). Non-computational photons within each unit cell (i.e. the majority), which effectively live only to produce all the bonds of the final logical lattice, need not synchronize with any photon other than the one with which it undergoes fusion (there also being photons within the boosted fusion gate to consider). This saves considerably on the switching and delays required. The whole computer operates asynchronously - but it is one of the wonders of quantum entanglement that the ordering of events on different members of an entangled state is irrelevant to the quantum correlations (despite quantum nonlocality as it were), and we can utilize this to great advantage. Moreover, different photons (typically the computational qubits) can be judiciously chosen to end up having to go through many fewer switches than others. The whole procedure is quite complicated and still undergoing considerable optimization.
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item Are there better delay networks, particularly ones designed to avoid collisions?
\item What are the best combinations of matching and multiplexing procedures, given we do not need synchronous GHZ states?
\item How much advantage can we gain from asynchronous operation, taking into account the fact we cannot have arbitrarily long delays before measuring computational photons?
\item Not all photons have to go through the same number of switches, so which apportionment of switching asymmetry is best?
\end{myenumerate}
\subsection{Dump the Pump?}
One of the reasons our switch technology needs to be so good is that our photonic qubits are interacting directly with the switch, and qubits are delicate creatures. Interestingly this is not, in fact, necessary. A different way to multiplex heralded photons is to turn off the pump instead.
The idea is easiest explained in a bulk-optics SPDC schematic although this is not, of course, how we would implement it on-chip. Recall the famous two-crystal experiment of Zou, Wang and Mandel \cite{Zou1991} where two nonlinear crystals were aligned and pumped in such a way that it was impossible to tell if a detected photon had originated in the first crystal or the second. The idea of dump-the-pump is to cascade such a process, but rather than do some fancy interference experiment with the idler photons as Zou et al did, we simply use them to herald when a photon has been produced (see Fig.~\ref{fig:DTP}). If a photon is detected then we turn off the pump to all the remaining crystals. We view the Zou et al experiment as proving the important point that this process can produce indistinguishable photons.
\begin{figure}
\centering
\includegraphics[width=0.9\linewidth]{DumpThePump2.pdf}
\caption{Dump-the-Pump: A way to avoid switching of our photonic qubits.}
\label{fig:DTP}
\end{figure}
The nice thing about dump-the-pump is that the potentially noisy active element is operating on the pump. Not only is the frequency of the pump very different to that of the photonic qubits, it is only necessary to extinguish the pump not to coherently switch it per se. This opens up quite different switching devices to those currently considered for multiplexing. The disadvantage is that once a photon is produced it needs to pass through all the crystals, a potentially lossy process. The procedure is also `linear depth', you don't get the compactness of a logarithmic depth switching network as in Fig.~\ref{fig:switches}.
At a high level one can think of dump-the pump as effectively taking a long nonlinear crystal and slicing it, so that we remove the uncertainty as to where exactly the photon was produced. From one strongly pumped SPDC source we could at most hope for a probability of single photon emission around $1/5$. I suspect dump-the-pump could be most useful to raise this probability to around $2/3-3/4$ (requiring 5 or 6 cascaded downconversions) at which point multiplexing the single photons as discussed above becomes highly efficient and possibly the better way to progress.
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item SPDC can be used to produce heralded Bell pairs and GHZ states not just single photons; is there an advantage to using dump-the-pump (or regular multiplexing for that matter) on those setups?
\item How efficiently and how fast can we extinguish a pump? How do we optimize the likely combination of dump-the-pump and RMUX, given estimates of switch performance parameters attainable in the near future?
\item We tend to focus on single photon encodings of our quantum information. But good number-resolving detectors means we can have heralded sources of higher number Fock states, possibly with higher efficiency than single photons (imagine dump-the-pump without switching off the pump). Two such modes containing $N$ photons in total are equivalent to a spin-$N+1$ particle, which can be easily evolved under the corresponding representation of $SU(2)$. Little is known about the computational power of such systems - is `photonic universality' easily achieved in such encodings?
\end{myenumerate}
\section{Loss tolerance}\label{sec:losstolerance}
The most important error mechanism to affect photonic quantum computing is photon loss, which can arise at any point during the photon's journey. Unlike stochastic error, however, loss error is known to have occurred when a particular detector fails to register a photon. Crucially, by making use of variations of the Type-II fusion gates only \cite{Browne2005}, it is possible to design the architecture to only make use of events that trigger off photon clicks. Depending on the details these are not even necessarily from number-resolving detectors.
\begin{figure}
\centering
\includegraphics[width=0.9\linewidth, bb= 60 100 650 490,clip=true]{crazygraph.pdf}
\caption{Teleportation along a linear cluster state (a) and its loss tolerant ``crazy graph'' encoding (b) where each qubit of the linear cluster is replaced by a column of $L$ qubits.}
\label{fig:crazygraph}
\end{figure}
Two mechanisms for dealing with losses have been mentioned so far: punching out loss by measurement and logical renormalization to super-stabilizers. Both are fortunate byproducts of some unrelated architectural flexibility, but in reality we should aim to build in loss tolerance explicitly. Understanding how to do this within a ballistic architecture such as the one discussed here is ongoing work. Although I cannot yet provide a mechanism for very high loss tolerance in this particular architecture, in this section I want to overview why I am optimistic about loss in general being an extremely benign error mechanism. In fact I will argue that in the absence of stochastic noise anything less than $100\%$ loss is in principle tolerable!
It was shown in \cite{Varnava2006,Varnava2007} that there exist cluster states (`tree codes') for which the overall loss probability per photon can be as high as $50\%$. There are several disadvantages to this scheme. It requires quantum memory (itself lossy) in order to build the trees using probabilistic gates. Also the trees themselves involve very large numbers of qubits when the loss rate is high. To some extent these disadvantages have been reduced by magic state injection methods, because the tree codes were designed to work in the presence of both high loss and arbitrary non-clifford measurements. However, with magic state injection techniques \cite{Bravyi2005} the measurements need only be Pauli-$X$ and $Z$ basis measurements, and the whole tree structure is designed to allow inference of these outcomes counterfactually when a photon is lost. Thus the restriction to $X,Z$ measurement can reduce the size of the trees required significantly. It forms the basis of a recent quantum repeater proposal \cite{LoQuantumRepeater}.
If we want to protect against loss there is a different method, particularly suited to magic state type protocols. For the basic idea, consider teleporting an arbitrary state $|\psi\rangle$ along a linear cluster state ``wire'' as in Fig.~\ref{fig:crazygraph}(a) via $X$ measurements. Losing even one qubit causes the propagation to fail. However if, as in Fig~\ref{fig:crazygraph}(b), we replace every qubit of the original wire by $L$ qubits, completely connected to its neighbors as shown, then as long as at least one qubit per column survives, the teleportation will succeed.
\begin{figure}
\centering
\includegraphics[width=0.8\linewidth, bb= 60 180 550 460,clip=true]{crazygraphequivalence.pdf}
\caption{Highly connected graphs do not necessarily involve as many CZ gates as it may at first seem. In the left hand graph each qubit has bounded degree. Measuring the two qubits indicated $X$ results in the right hand piece of crazy graph. This generalizes - increasing the number of qubits in the rings on the left increases the number of qubits in each column on the right.}
\label{fig:crazygraphequivalence}
\end{figure}
For any loss probability per qubit $\epsilon<1$ and wire of length $N$ we can choose `polynomially large' $L$ such that $\left(1-\epsilon^L \right) ^N \approx 1$. So in principle we can tolerate $100\%$ loss for this process! Of course as $L$ increases the number of bonds in the graph (that we call ``crazy graph'') also increases (polynomially). Therefore unless we are able to perform extremely low stochastic error gates to build this cluster state (as we do anticipate in photonics) we will run into problems. To some extent this overstates the problem however. Firstly, any $Y$ or $Z$ Pauli error on a qubit will flip the value of the $X$-measurement outcome on that qubit. However, in the absence of noise all the qubits in the column would register the same value outcome for the $X$-measurement. Thus a simple majority vote amongst those qubits in a column which are not lost will reveal what the correct measurement outcome should be. Secondly, building a highly connected graph does not automatically involve using lots of quantum gates, tricks to do with graph operations like local complementation can be employed. An example of a building block for crazy graph built by measurement on a low vertex degree graph is shown in Fig.~\ref{fig:crazygraphequivalence}
The loss tolerance for the wire can be extended for any clifford gate circuit we want to perform via cluster state methods. We imagine building up a crazy graph cluster state `on the fly' by attaching in chunks of pre-built cluster state just ahead of where the measurement based computation currently has reached. Hadamard gates are performed by simply changing whether the number of qubits in the underlying linear cluster is odd or even. An $S$-gate can be implemented attaching on a graph state pre-prepared as illustrated in Fig.~\ref{fig:crazygraphSstate}(b). Note that the central qubit measured in the $Y$-basis is not loss protected, however this piece of graph state will have been prepared in advance, and so cases where that qubit was missing will have been post-selected out. (Or, more naturally, we will have just buid the graph that results when the $Y$-measurement is performed).
\begin{figure}
\centering
\includegraphics[width=0.8\linewidth, bb= 50 100 630 370,clip=true]{crazygraphSstate.pdf}
\caption{A piece of cluster state that will implement the Clifford $S$ gate. The central Pauli-$Y$ measurement would be attempted before attachment to the computational cluster state, and the piece only retained if the qubit was not lost.}
\label{fig:crazygraphSstate}
\end{figure}
Similar pieces of cluster state can be built to do CZ gates between qubits and so on.
Here are some of the theoretical questions which remain largely unexplored on this topic:
\begin{myenumerate}
\item Is there a way to integrate highly loss tolerant code ideas into a ballistic architecture, without using quantum memory or extremely long delays?
\item Crazy graph is tolerant to stochastic Pauli noise once it has been built, but are there mechanism for creating the graph that do not amplify such stochastic noise too drastically?
\item Can crazy graph improve quantum repeaters, along the lines exploited for tree codes?
\end{myenumerate}
\section{Conclusions}
Since the seminal paper by Knill, Laflamme and Milburn \cite{Knill2001}, huge progress has been made towards an all-photonic quantum computer. On the experimental side we now have integrated photonics, including the detectors of our dreams ten years ago. On the theory side, gone is the circuit model and gates that only worked with approximately unit efficiency even when using arbitrarily large numbers of photons, gone are the giant ancillary resource states requiring huge quantum memory to prepare offline, gone is the need for highly nonlocal operations... In short, gone are the eye-watering overheads which would forever have destined linear optical quantum computing to the fate of a mere intellectual curiosity, irrespective of the progress on the experimental front. Despite all this progress, it is clear that there are still a large number of potentially highly significant simplifications to the architecture for theorists to tackle.
I have focussed here on a purely photonic implementation. However the architecture has obvious potential for hybrid light/matter approaches, as well as networks of PICs with lossy interconnects \cite{nickerson1,nickerson2}, and these should be investigated further.
Finally, given that many of the performance characteristics required can also already be met in optical fiber technology, and switches there can be significantly lower loss \cite{KumarSwitch}, there is some temptation to imagine an all-fiber photonic quantum computer being built in a disused aircraft hangar, with huge spools of fiber delays hanging off walls and ceilings - a Quantum ENIAC as it were. As with the original ENIAC, I suspect this possibility will only be explored seriously by the military research establishment. If so, I guess I will never know. Apparently the US government thinks I'm not to be trusted.
\acknowledgements
I am indebted to many people for detailed discussions and collaborations on photonic quantum computing over the last few years. They include
Hussain Anwar,
James Auger,
Sara Bartolucci,
Damien Bonneau,
Dan Browne,
Hugo Cable,
Jacques Carolan,
Mercedes Gimeno-Segovia,
Anthony Laing,
Jonathan Matthews,
Gabriel Mendoza,
Sam Morley-Short,
Jeremy O'Brien,
Josh Silverstone,
Pete Shadbolt,
Tom Stace,
and
Mark Thompson.
In particular I was dragged back into working seriously in this area by Gabriel, Jacques, Josh and Mercedes' initiation of the `QNIX' project, their creativity and enthusiasm coupled with strong technical ability is wonderful and inspiring. The work in Section \ref{sec:physicalarchitecture} on the physical layout is in collaboration with these four as well as Pete and Dan. Various parts of the work on the logical architecture in Section~\ref{sec:logicalarchitecture} are being done in collaboration with various combinations of Dan, James, Hussain, Mercedes, Pete, Sam, Sara and Tom. The work on multiplexing is being done in collaboration with Gabriel, Hugo, Jacques, Josh, Mercedes and Pete. The work on abstract loss tolerance in Section~\ref{sec:losstolerance} is being done with Mercedes and Dan.
Finally, I am grateful to Earl Campbell and Joe O'Gorman for kindly sharing some of their results in advance of publication.
\vspace{-0.3cm}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 5,640 |
'Nigerian, Sudanese migrants need protection too', Habeshia
EU Commissioner said 80% of migrants in Italy are "irregular"
80% of immigrants in Italy irregular, EU says
Migrants: Avramopoulos,important to approve EU asylum system
Frontex says 13,740 migrants arrived in Italy in November
Naples mayor urges mayors to be 'megaphone' for refugees
ROME - The Habeshia Agency (AHCS) wrote an open letter to EU Commissioner for Migration Dimitris Avramopoulos highlighting the plight of migrants from Nigeria, South Sudan, Somalia, Mali and other countries and urging the EU to consider them not as irregular economic migrants but rather as refugees eligible for the right to asylum or other forms of protection.
Avramopoulos said on Thursday that 80% of migrants who arrive in Italy are considered economic migrants and therefore "irregular" and, according to EU rules, to be repatriated.
He said the EU doesn't intend to change criteria to add nationalities to the list of those already entitled to relocation.
The letter was written by Don Mussie Zerai and Emilio Drudi, president and spokesman, respectively, of Habeshia, which has been working for refugee and migrant rescue and rights for years.
"Certainly you are aware of the UN report that just a few weeks ago revealed that more than 400,000 children in Nigeria are victims of famine due to the situation caused by the fundamentalist militants of Boko Haram," the letter said, also pointing to the situation in countries such as South Sudan, Somalia, Mali, Niger, Yemen, Darfur and Afghanistan.
Regarding the fact that only Syrians and Eritreans are entitled to be accepted and relocated in the EU member states, Habeshia said: "according to international law and the Geneva Convention, asylum requests must be examined case by case, listening to the individual stories" and not based on nationality. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 4,918 |
{"url":"https:\/\/cryptobook.nakov.com\/asymmetric-key-ciphers\/the-rsa-cryptosystem-concepts.html","text":"# The RSA Cryptosystem - Concepts\n\nThe RSA cryptosystem is one of the first public-key cryptosystems, based on the math of the modular exponentiations and the computational difficulty of the RSA problem and the closely related integer factorization problem (IFP). The RSA algorithm is named after the initial letters of its authors (Rivest\u2013Shamir\u2013Adleman) and is widely used in the early ages of computer cryptography.\n\nLater, when ECC cryptography evolved, the ECC slowly became dominant in the asymmetric cryptosystems, because of its higher security and shorter key lengths than RSA.\n\nThe RSA algorithm provides:\n\n\u2022 Key-pair generation: generate random private key (typically of size 1024-4096 bits) and corresponding public key.\n\u2022 Encryption: encrypt a secret message (integer in the range [0...key_length]) using the public key and decrypt it back using the secret key.\n\u2022 Digital signatures: sign messages (using the private key) and verify message signature (using the public key).\n\u2022 Key exchange: securely transport a secret key, used for encrypted communication later.\n\nRSA can work with keys of different keys of length: 1024, 2048, 3072, 4096, 8129, 16384 or even more bits. Key length of 3072-bits and above are considered secure. Longer keys provide higher security but consume more computing time, so there is a tradeoff between security and speed. Very long RSA keys (e.g. 50000 bits or 65536 bits) may be too slow for practical use, e.g. key generation may take from several minutes to several hours.\n\n## RSA Key Generation\n\nGenerating an RSA public + private key pair involves the following:\n\nUsing some non-trivial math computations from the number theory, find three very large integers e, d and n, such that:\n\n\u2022 (me)dm (mod n) for all m in the range [0...n)\n\nThe integer number n is called \"modulus\" and it defines the RSA key length. It is typically very large prime number (e.g. 2048 bits).\n\nThe pair {n, e} is the public key. It is designed to be shared with everyone. The number e is called \"public key exponent\". It is usually 65537 (0x010001).\n\nThe pair {n, d} is the private key. It is designed to be kept in secret. It is practically infeasible to calculate the private key from the public key {n, e}. The number d is called \"private key exponent\" (the secret exponent).\n\n## RSA Public Key - Example\n\nExample of 2048-bit RSA public key (represented as 2048-bit hexadecimal integer modulus n and 24-bit public exponent e):\n\nn = 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\ne = 0x010001\n\n\nThe same RSA public key, encoded in the traditional for RSA format PKCS#8 PEM ASN.1 looks like this:\n\n-----BEGIN PUBLIC KEY-----\nMIIBIjANBgkqhkiG9w0BAQEFAAOCAQ8AMIIBCgKCAQEApwni+ErA4h6wyqAYz39p\nf3dOlvgRX8I1npz2Cx3Y1ASNl0zfhCK+9r48FisEuRb36iEz8OPk4O7hZIWb2cHg\n7wNXwUL09jO0rdSquGyPiJXNM\/v04CTZo61r5iZ1cLSnLSw0NU4BOedK2mZaFqJh\nFJDeu44TGmz\/x+8l50JAgD3XGk\/NlTyYgRGwqpu8TFcCT8XoxEYq2QScfxq+2FnG\nNFX6bVi1zDSj0yBv90uelsM226zwzdGO0MZnls4AqwfzayTL4zQlI\/2CFajnf4no\nagjbkR8jdFk4je5kLa58smRKA+ce1cb6UHfPQJD6+lVgSLU2uHmoj2KGmPDHtCDE\ntwIDAQAB\n-----END PUBLIC KEY-----\n\n\nThe above PEM ASN.1-encoded message, holding the RSA public key, can be decoded here: https:\/\/lapo.it\/asn1js.\n\n## RSA Private Key - Example\n\nExample of 2048-bit RSA private key, corresponding to the above given public key (represented as hexadecimal 2048-bit integer modulus n and 2048-bit secret exponent d):\n\nn = 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\n\n\nThe same RSA private key, encoded in the traditional for RSA format PKCS#8 PEM ASN.1 looks a bit longer:\n\n-----BEGIN RSA PRIVATE KEY-----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\nqw87K1W6engeDrmunkJ\/PmvSDLYeGiYWmEKQbLQchTxx1IEddXkK\n-----END RSA PRIVATE KEY-----\n\n\nIt holds the entire RSA key-pair structure, along with several additional parameters: 2048-bit modulus n, 24-bit public exponent e, 2048-bit secret exponent d, first factor p, second factor q, and 3 other integers from the RSA internal data structure:\n\nThe above PEM ASN.1-encoded message, holding the RSA private key data, can be decoded here: https:\/\/lapo.it\/asn1js.\n\n## RSA Cryptography: Encrypt a Message\n\nEncrypting a message using certain RSA public key {n, e} is done by the following transformation:\n\n\u2022 encryptedMsg = (msg)e mod n\n\nThe msg here is a number in the range [0...n). Text messages should be encoded as integers in the range [0...n) before encryption (see EAOP). For larger texts, hybrid encryption should be used (encrypt a secret key and use it to symmetrically encrypt the text, see RSA-KEM).\n\nThe above operation cannot be reversed: no efficient algorithm exists to calculate msg from encryptedMsg, e and n (see the RSA problem), which all are public (non-secret) by design.\n\n## RSA Cryptography: Decrypt a Message\n\nDecrypting the encrypted message using the corresponding RSA private key {n, d} is done by the following transformation:\n\n\u2022 decryptedMsg = (encryptedMsg)d mod n\n\nWhy this is correct? Recall, that by definition the RSA key-pair has the following property:\n\n\u2022 (me)dm (mod n) for any m in the range [0...n)\n\nFrom the encryption transformation we have:\n\n\u2022 encryptedMsg = (msg)e mod n\n\nHence:\n\n\u2022 decryptedMsg = (encryptedMsg)d mod n = ((msg)e mod n)d = ((msg)e)d mod n = (msg) mod n = msg\n\n## RSA Encrypt and Decrypt - Example\n\nLet examine one example of RSA encryption and decryption, along with the calculations, following the above formulas. Assume we have generated the RSA public-private key pair:\n\n\u2022 modulus n = 143\n\u2022 public exponent e = 7\n\u2022 private exponent d = 103\n\u2022 public key = {n, e} = {143, 7}\n\u2022 private key = {n, d} = {143, 103}\n\nLet's encrypt a secret message msg = 83. Just follow the formula:\n\n\u2022 encryptedMsg = msge mod n = 837 mod 143 = 27136050989627 mod 143 = 8\n\nNow, let's decrypt the encrypted message back to its original value:\n\n\u2022 decryptedMsg = encryptedMsgd mod n = 8103 mod 143 = 1042962419883256876169444192465601618458351817556959360325703910069443225478828393565899456512 mod 143 = 83\n\nThe RSA calculations work correctly. This is because the key-pair meets the RSA property:\n\n\u2022 (me)dm (mod n) for all m in the range [0...n)\n\u2022 (m7)103m (mod 143) for all m in the range [0...143)\n\nIn the real world, typically the RSA modulus n and the private exponent d are 3072-bit or 4096-bit integers and the public exponent e is 65537.\n\nFor further reading, look at this excellent explanation about how RSA works in detail with explainations and examples: http:\/\/doctrina.org\/How-RSA-Works-With-Examples.html.\n\nBecause RSA encryption is a deterministic (has no random component) attackers can successfully launch a chosen plaintext attack against by encrypting likely plaintexts with the public key and test if they are equal to the ciphertext. This may not be a problem, but is a weakness, that should be considered when developers choose an encryption scheme.\n\nHybrid encryption schemes like RSA-KEM solve this vulnerability and allow encrypting longer texts.","date":"2019-02-22 15:30:17","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\": 0.5474373698234558, \"perplexity\": 3912.4882859150625}, \"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\/1550247518425.87\/warc\/CC-MAIN-20190222135147-20190222161147-00565.warc.gz\"}"} | null | null |
Paris 15:00 (CET) Thu 20/01 | Silicon Valley 06:00 (PST) Thu 20/01
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#FRENCHTECHFRIDAY: Why France's startups can no longer "Pitch"
A strange battle is taking place in France right now. A cake maker is threatening startups of legal action for using the word "pitch". This could seem like a comical slip-up if it weren't, in fact, tragic for France's image...
Lisa Korrigane 16 February 2018 | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 2,691 |
Q: Find $a,b>0$ for which $||\langle x\rangle^{-b}|\partial_x|^{1/2}f||_{L^2}\lesssim||\partial_x f||_{L^2}+||\langle x\rangle^{-a}f||_{L^2}$ Consider the following problem.
Problem. Given $\alpha>0$, find all values of $\beta\geq 0$ such that the following estimate is true for all $\varphi\in \mathscr D(\mathbb R)$:
$$ ||\langle x\rangle^{-\beta}\;|\partial_x|^{1/2}\varphi||_{L^2 (\mathbb R)}\lesssim ||\partial_x \varphi||_{L^2 (\mathbb R)}+||\langle x\rangle^{-\alpha}\;\varphi||_{L^2 (\mathbb R)}.\qquad(1) $$
Notation. The "half derivative" is defined as a Fourier multiplier
$$ \mathscr F(|\partial_x|^{1/2}\varphi)(\xi)=|2\pi\xi|^{1/2}\widehat\varphi(\xi) $$
and I define the japanese bracket $\langle x\rangle:=(1+x^2)^{1/2}$.
A few preliminary observations.
*
*Taking $\alpha$ larger and larger eventually does not change the right hand side up to equivalent norms. In fact, a function such that $\partial_x\varphi\in L^2$ satisfies
$$ |\varphi(x)-\varphi(y)|\lesssim |x-y|^{1/2}, $$
and in particular the quantity $||\langle x\rangle^{-\alpha}\varphi||_{L^2}$ is automatically finite if $\alpha>1$. With this (being a bit careful since $\partial_x\varphi$ determines $\varphi$ only up to a constant) it is feasible to prove that, if we take $\alpha>1$, the right hand side of $(1)$ is equivalent to
$$ ||\partial_x \varphi||_{L^2}+|\varphi(0)|. $$
So the problem is split in two cases: the case $0<\alpha\leq 1$ and the case $\alpha>1$, the latter consisting in fact of one single estimate.
*It is possible to show through the Fourier transform that $|\partial_x|^{1/2}\varphi(x)=[\operatorname{sgn}(\cdot)|\cdot|^{-1/2}*\partial_x\varphi](x)$ and since $\partial_x\varphi\in L^2$, then $|\partial_x|^{1/2}\varphi\in BMO(\mathbb R)$. This implies that $|\partial_x|^{1/2}\varphi$ is, for instance, locally in $L^2$, so that (unless my eyes are cheated by some spell) the following estimate should hold
$$ ||\mathbb \chi_{[-1,1]}(\cdot) |\partial_x|^{1/2}\varphi ||_{L^2} \lesssim ||\partial_x \varphi||_{L^2}+ |\varphi(0)| $$ and by a summation trick (i.e., taking infinitely many shifted copies of the above estimate to cover all the real line), using the Hölder-continuity of $\varphi$ which I stated above, one should obtain that estimate $(1)$ holds whenever $\alpha>1$ and $\beta>1$.
My questions:
*
*Does what I have said above in the second observation make sense to you? I put some dust under the carpet, but I think that what I wrote works.
*Do you have any clue on how one would prove the estimate for $\alpha<1$, besides doing it from scratch? Simply put, does this kind of estimates fall into some more general framework for which there are strong techniques to prove the estimates whenever I need to use one in a paper without reinventing the wheel? Like, would abstract interpolation theory help in this context? Any references you think could be useful in understanding how to work out these estimates, or research papers dealing with this kind of estimates?
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 586 |
Heat, water shut off at St. James the Great in Wellesley
Julia Spitz/Daily News staff
Oct 15, 2011 at 12:01 AM Oct 15, 2011 at 3:19 PM
The Archdiocese of Boston has turned off the heat and water at St. James the Great Church, where parish members have been holding a vigil to keep the church open since the archdiocese ordered it closed in 2004.
Suzanne Hurley, a leader of the vigil group, said someone from the archdiocese came to the church on Thursday night and turned off the boiler. She was not sure if a vigiler allowed the person in or if the person had a key.
On Friday morning, she received an email from Chancellor James McDonough explaining the archdiocese's decision.
"Based on our concerns regarding the safety of this facility that have been brought to our attention by our insurer, we have winterized the church building," he said in an email. "This includes deactivating the boiler and draining the pipes that support the heating system. As part of this process, the water has been shut off."
Spokesman for the Boston Archdiocese Terry Donilon could not be reached yesterday for comment.
Although Hurley said the vigil group, which attracts between 20 and 100 people each Sunday depending on family commitments and currently does not have a plan for holding services during the winter without heat, she said the room where the vigil group meets is small and does not require much heat.
Hurley said when the weather gets colder she expects vigilers will bring blankets to keep warm.
"I would expect we would plan to do something," Hurley said.
The vigil group is having a portable toilet delivered in time for this morning's 10:30 a.m. service. Hurley said the group's legal representative will file an emergency motion with the Vatican's Congregation of the Clergy on Monday to restore the water and heat.
The group has a separate appeal pending at the Vatican concerning the church's future as anything other than a church.
Paul Hughes, a member of the vigil group, was disheartened but said he still plans to attend Sunday services throughout the cold winter months.
"I think it's very, very sad," Hughes said. "It will not deter me from going. I'm sure we will discuss it (today)."
(Jeff Malachowski contributed to this report. Julia Spitz can be reached at 508-626-3968 or jspitz@wickedlocal.com.)
MetroWest Daily News, Framingham, MA ~ 1 Speen St., Framingham MA 01701 ~ Do Not Sell My Personal Information ~ Cookie Policy ~ Do Not Sell My Personal Information ~ Privacy Policy ~ Terms Of Service ~ Your California Privacy Rights / Privacy Policy | {
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\section{Introduction}
\label{intro}
Back-propagation (BP) has been the mainstay of training deep neural networks over the past decade. However, it is not considered biologically plausible \cite{10.1145/3354265.3354275, Lillicrap2020BackpropagationAT}. Hence, research interest has always remained in finding learning algorithms that the human brain might be using. Over the last few years a myriad of Bio-inspired algorithms have been proposed. These algorithms have now achieved comparable accuracy as Backprop (BP) and also have been known to be applied to a vast array of deep learning tasks such as computer vision, reinforcement learning, language modelling, amongst others.
Bio-algorithms differ from BP in a few crucial aspects. Firstly, weight symmetry is required by BP between the forward and backward connections, that is, the same weight pathways must be used for both the forward and backward passes. This is not biologically plausible in the brain due to the uni-directional nature of brain synapses and is called the weight transport problem \cite{GROSSBERG198723}. Secondly, the problem of update locking occurs in BP. That is all layers must complete their processing before the backward pass can begin and the weights can be updated. This does not appear to be biological in nature as many plasticity algorithms in the brain learn in a local fashion, that is, learn between two pairs of neurons itself, without depending upon the activity of other layers \cite{BALDI2017110}. Thus, the brain supports multiple sets of neurons to learn in parallel. This also brings us to the third crucial difference, which is that BP learns in a global fashion, by calculating an error at the end of the last layer and then feeding it back to each layer. On the contrary, the brain learns in a local fashion, dependent only upon the activity of two connected neurons without a global loss to be learnt and backpropagated \cite{MAASS19971659}.
The motivation of using and developing Bio-algorithms, though, still mostly remains to make these algorithms more biologically plausible than BP. Tangible benefits over BP have not yet been demonstrated and therefore, adoption of Bio-learning algorithms outside the Bio-learning community remains small. We take a step in this direction and conduct a holistic benchmarking of Bio algorithms vs. BP in various experimental settings, to understand the practical benefits of Bio-algorithms. We look at popular Bio-learning algorithms like Feedback Alignment (FA) \cite{Lillicrap2016RandomSF}, Direct Feedback Alignment (DFA) \cite{DFA}, Hebbian Learning (HB) \cite{Krotov7723, Amato2019HebbianLM, 9207242, hebbnet, miconi}, Predictive Coding (PC) \cite{PC} and Difference Target Propagation (DTP) \cite{TargetProp}. Many other Bio-algorithms exist but we choose these as they have gained traction over the years and serve as representative samples from the different categories of Bio-algorithms.
For our benchmarking scenarios, we include a range of aspects important for practical usage of a learning algorithm. We measure performance of the algorithms under i) Limited availability of training data, ii) Limited training budget (in terms of the number of training epochs), iii) Application of noise to input samples, and iv) Application of sparsity to the parameters of the base neural network models (i.e. pruning the parameters of the model). In this paper, we have the following key contributions-
\begin{enumerate}
\item We show that Bio-algorithms perform surprisingly well in the scenario of limited training data. Four of the five Bio-algorithms tested, namely, FA, DFA, HB and PC outperform BP when only 20\% of data is available for testing on multiple datasets.
\item Another interesting finding is that some Bio-inspired algorithms perform exceedingly well in scenarios of limited training budgets. Specifically, HB and DTP learn much faster than BP and arrive at high stable accuracies in far lesser training epochs than BP. HB especially, learns within 5 epochs on multiple datasets where BP takes around 100 epochs to learn.
\item To further understand the superior performance of Bio-algorithms, especially Hebbian learning, we plot the features learnt by BP vs. HB. We find that HB learns much more fine-grained and explainable features whereas BP seems to learn features that are much more random looking. We postulate that this may be the underlying reason for the better learning capability of HB.
\item We also find that Bio-learning algorithms are robust against different kinds of noises and also adept under the application of parameter sparsity to the neural networks, achieving similar accuracy as BP.
\end{enumerate}
The above findings, especially points 1 and 2, are important advantages of Bio-learning algorithms that make them very useful in learning with less data applications or resource-constrained training environments like real-time devices. They also motivate the need to work on Bio-learning algorithms for practical advantages and beyond the traditional motivation of solving the biological implausibility of Backprop.
\begin{figure*}
\includegraphics[right]{Figures/Biolearning.pdf}
\caption{Illustration of how different learning algorithms. Feedback Alignment and Direct Feedback Alignment back-propagate gradients over a fixed random matrix instead of the original weights, thereby relaxing the condition of having the same pathway (weights) for both the forward and backward pass. Hebbian learning does not need any gradients to be back-propagated as it learns in an unsupervised manner. Only the last layer, which is the classification layer, learns based on gradients.}
\label{fig:algos}
\end{figure*}
\section{Related Work}
Hebbian learning has been around since 1949 when it was first proposed by Donald Hebb \cite{Brain_Function}. It has since been applied in many different areas including continual learning \cite{pmlr-v80-miconi18a, thangarasa2020enabling}, principal components analysis \cite{Oja1982SimplifiedNM, Sanger, Gorrell2006GeneralizedHA} and biology \cite{Oja1989NeuralNP, Keysers, Thiagarajan} amongst others. Hebbian learning has recently been adapted for modern neural networks and applied to train deep learning models \cite{Krotov7723, Amato2019HebbianLM, 9207242, hebbnet, miconi}. However, the focus for most of these studies has been to get Hebbian learning successfully running on deep learning architectures. A gap remains in benchmarking Bio-learning vs. Backprop on multiple aspects like training with fewer epochs, utilizing less data, evaluating the performance under network sparsity, etc. We focus on these aspects and present novel findings on the performance of Bio-learning vs. Backprop in this work.
Another Bio-inspired algorithm that has become popular is Feedback Alignment \cite{Lillicrap2016RandomSF}. It works by having a different set of weights for the forward and backward pass. In particular, the weights for the backward pass are a set of fixed random matrices over which the gradients are back-propagated. So, it is similar to BP in that an error is still calculated and back-propagated but it is different in that the weights for the backward pass do not have to be the same as the forward pass. This is biologically desirable because it breaks the symmetry condition requiring the forward synapses to also act as backward synapses.
A variant of FA, Direct Feedback Alignment (DFA) \cite{DFA}, relaxes this condition further whereby the error does not need to be back-propagated across every layer but can directly flow from the last layer to the layer in question through a shortcut connection. This makes the model even more biologically plausible and has also seen great success with many works derived from it \cite{10.3389/fnins.2019.00525, scaling_dfa}.
The fourth broad category of Bio-algorithms corresponds to Target Propagation algorithms that include Target Propagation \cite{TargetProp}, Difference Target Propagation \cite{theoretical_framework}, Equilibrium Propagation \cite{EquiProp}, amongst others. Target Propagation (TP) tries to solve the problem of credit assignment and computes targets rather than gradients at each layer. A variant of TP, Difference Target Propagation (DTP) actually works well in practice and differs from TP in that it linearly corrects for the imperfectness of TP. Equilibrium Propagation (EP) is similar in idea but is used for energy based networks like Hopfield networks.
Lastly, other Bio-algorithms include Predictive Coding \cite{PC}, Direct Random Target Projection \cite{10.3389/fnins.2021.629892}, Weight Mirroring \cite{WM}, Local Representation Alignment \cite{LRA}, amongst others. Predictive coding is a theoretical neuroscience inspired algorithm approximating BP using local learning rules. It attempts to arrive at similar gradient updates as BP but using only biologically plausible local updates. It has gained traction in recent years and presents a promising new direction for bridging Bio-learning and BP.
We find that while many interesting Bio-algorithms have been proposed in the literature, a thorough benchmarking between BP and various Bio-algorithms has not been undertaken on aspects outside the standard measurement metrics like test accuracy. Some papers propose theoretical frameworks for comparison \cite{cricket} or provide brief comments on other aspects, for instance, number of training episodes \cite{BackpropFreeRL}, but do not conduct in-depth experiments and ablations tantamount to a usable research benchmark. In particular, areas of i) Limited training data ii) Limited training epochs and iii) Fewer network parameters have not been benchmarked before in an in-depth manner. We bridge this gap and benchmark five popular and varied Bio-algorithms, namely, Hebbian Learning, FA, DFA, DTP and Predictive coding to give a wide-ranging coverage of the various groups of Bio-algorithms. We conduct experiments on multiple datasets in carefully setup experiments, to demonstrate empirically the areas where Bio-algorithms surpass BP and can be used by practitioners outside the Bio-learning community for their specific deep learning tasks.
\begin{figure*}[h]
\centering
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar10-20-0.2.pdf}
\centerline{(a) Using 20\% of training set and 20 epochs}\medskip
\end{minipage}%
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar10-20-1.pdf}
\centerline{(b) Using 100\% of training set and 20 epochs}\medskip
\end{minipage}
\begin{minipage}{1.8cm}
\centering
\centerline{}\medskip
\end{minipage}
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar10-100-0.2.pdf}
\centerline{(c) Using 20\% of training set and 100 epochs}\medskip
\end{minipage}%
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar10-100-1.pdf}
\centerline{(d) Using 100\% of training set and 100 epochs}\medskip
\end{minipage}
\begin{minipage}{1.8cm}
\centering
\includegraphics[width=1.8cm]{Figures/cifar10-legend.png}
\centerline{}\medskip
\end{minipage}
\caption{Experiments using limited data or limited training budget or both. Bio-algorithms perform much better than BP with Hebbian in particular surpassing BP by 20\% for the case of lesser data and fewer epochs (Fig. (a)). Hebbian also converges in around 5 epochs. Using CIFAR-10 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:less_data_and_fewer_epochs}
\end{figure*}
\begin{figure*}[h]
\centering
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar100-20-0.2.pdf}
\centerline{(a) Using 20\% of training set and 20 epochs}\medskip
\end{minipage}%
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar100-20-1.pdf}
\centerline{(b) Using 100\% of training set and 20 epochs}\medskip
\end{minipage}
\begin{minipage}{1.8cm}
\centering
\centerline{}\medskip
\end{minipage}
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar100-100-0.2.pdf}\textbf{s}
\centerline{(c) Using 20\% of training set and 100 epochs}\medskip
\end{minipage}%
\begin{minipage}{7cm}
\centering
\includegraphics[width=7cm]{Figures/cifar100-100-1.pdf}
\centerline{(d) Using 100\% of training set and 100 epochs}\medskip
\end{minipage}
\begin{minipage}{1.8cm}
\centering
\includegraphics[width=1.8cm]{Figures/cifar100-legend.png}
\centerline{}\medskip
\end{minipage}
\caption{Experiments using limited data or limited training budget or both. Bio-algorithms perform much better than BP with Hebbian in particular surpassing BP by 16\% for the case of lesser data and fewer epochs (Fig. (a)). Hebbian also converges in around 5 epochs. Using CIFAR-100 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:less_data_and_fewer_epochs_cifar100}
\end{figure*}
\begin{figure*}[h]
\centering
\begin{minipage}{8cm}
\centering
\includegraphics[width=8cm]{Figures/Hebbian_filters.png}
\centerline{(a) Filters learnt by Hebbian learning}\medskip
\end{minipage}%
\hspace{1cm}
\begin{minipage}{8cm}
\centering
\includegraphics[width=8cm]{Figures/BP_filters.png}
\centerline{(b) Filters learnt by Backprop}\medskip
\end{minipage}
\caption{Visualizing the filters learnt by Hebbian learning vs. Backprop. Hebbian learning learns much more fine-grained representations compared to Backprop. Hebbian learns filters which are orientation-sensitive (vertical, horizontal and diagonal grayscale edges), color-sensitive (blue, green, red filters) or both (filters with combination of orientation and two or more colors). Plotting filters from the first CNN layer on the CIFAR-10 dataset after 100 epochs of training.}
\label{fig:representations}
\end{figure*}
\begin{figure*}[!h]
\centering
\begin{minipage}{.48\textwidth}
\centering
\includegraphics[width=\textwidth]{Figures/cifar10-random_noise.pdf}
\caption{Experiment on adding Random noise to the input images. Bio-learning (especially DFA) is quite robust to Random noise. Using CIFAR-10 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:random_noise}
\end{minipage}
\hspace{0.5cm}
\begin{minipage}{.48\textwidth}
\centering
\includegraphics[width=\textwidth]{Figures/cifar10-pepper_noise.pdf}
\caption{Experiment on adding Pepper noise to the input images. Bio-learning (especially DFA) is quite robust to Pepper noise as well. Using CIFAR-10 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:pepper_noise}
\end{minipage}
\end{figure*}
\begin{figure*}[!h]
\centering
\begin{minipage}{.48\textwidth}
\centering
\includegraphics[width=\textwidth]{Figures/cifar100-random_noise.pdf}
\caption{Experiment on adding Random noise to the input images. Bio-learning (especially DFA) is robust, surpassing BP. Using CIFAR-100 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:random_noise_cifar100}
\end{minipage}
\hspace{0.5cm}
\begin{minipage}{.48\textwidth}
\centering
\includegraphics[width=\textwidth]{Figures/cifar100-pepper_noise.pdf}
\caption{Experiment on adding Pepper noise to the input images. Bio-learning (especially DFA) is robust. Using CIFAR-100 dataset. Mean values plotted and standard deviation denoted by shaded regions over 10 runs.}
\label{fig:pepper_noise_cifar100}
\end{minipage}
\end{figure*}
\section{Approach}
In this section, we introduce the three Bio-inspired learning algorithms used in our experiments, that is, Hebbian learning (Grossberg's Instar Rule), Feedback Alignment (FA) and Direct Feedback Alignment (DFA).
\subsection{Hebbian Learning}
\quad \textbf{Vanilla Hebbian learning:} We first describe the vanilla Hebbian rule which states that when a neuron is fired by the stimulation of another neuron connected to it, the strength of the weighted connection between the two is enhanced, and vice versa \cite{10.1007/978-3-642-70911-1_15, lowel1992selection}. Hebbian learning is a completely local, unsupervised learning algorithm and satisfies biological plausibility. The weight update is given by
\begin{equation}
\Delta{w_{ij}} = \eta z_jx_i
\label{eq1}
\end{equation}
where $w_{ij}$ is the weight connecting neurons \textit{i} and \textit{j}, $x_{i}$ and $z_{j}$ are the input and output (after activation) of neuron \textit{j} and $\eta$ is the learning rate.
However, this vanilla rule has a significant drawback that can cause the weight to grow infinitely. Therefore, variants of the vanilla Hebbian rule have been proposed to address this problem.
\textbf{Grossberg's Instar Rule:} Instar rule \cite{grossberg1976adaptive} introduces the mechanism of weight decay for solving the problem of unbounded growth of weights. From a mathematical point of view, the introduction of the weight decay mechanism leads the weight vector $w_{ij}$ to cluster towards the input vector $x_i$ \cite{lagani2021hebbian}. Giving the same input to the neuron repeatedly will eventually make the angle between the weight vector and the input vector to be zero. In other words, the maximum inner product between $x_i$ and $w_{ij}$ will occur in the above case.
\begin{equation}
\Delta{w_{ij}} = \eta z_j(x_i-w_{ij}) \label{eq2}
\end{equation}
where the symbol interpretation is same as Equation \ref{eq1}.
\subsection{Feedback Alignment}
\quad FA was proposed to eliminate the weight transport mechanism relied on by Backprop (BP), as it is not considered biologically plausible in the brain. Weight transport implies that the weight matrix between neurons needs to be involved in operations for both forward and backward paths \cite{akrout2019deep}. Unlike the BP algorithm, FA replaces the transpose of the weight matrix that is required in the backward pass, with a fixed random matrix instead \cite{Lillicrap2016RandomSF}.
In the forward pass, the feed-forward calculation follows:
\begin{equation}
a_{i+1} = w_{i+1}z_i+b_{i+1} \label{eq3}
\end{equation}
\begin{equation}
z_{i+1} = \sigma (a_{i+1}) \label{eq4}
\end{equation}
where $z_i$ is the output of the $i$-th layer, $w_{i+1}$ is the feed-forward weight, $b_{i+1}$ is the bias vector, and $\sigma$ is the non-linear activation function.
In the backward pass of FA, the error $e$ follows:
\begin{equation}
e_{i} = (B_{i+1}e_{i+1}) \odot \sigma'(a_i) \label{eq5}
\end{equation}
where $B_{i+1}$ is the fixed random matrix to pass the error through, $\odot$ is an element-wise multiplication operator and $\sigma'$ is the derivative of the non-linear activation function.
Thus, the weight update becomes
\begin{equation}
\Delta{w_{i+1}} = -\eta e_{i+1} z_{i}^{T}
\label{eq6}
\end{equation}
\subsection{Direct Feedback Alignment}
\quad DFA is a modified version of FA that breaks the mechanism whereby errors need to be propagated layer by layer. Instead, it passes the errors directly from the final layer to the layer in question, circumventing any intermediate layers \cite{DFA}. This allows the algorithm to have greater biological plausibility.
The backward pass of DFA is slightly different from FA and follows:
\begin{equation}
e_{i} = (B_{i+1}e_{f}) \odot \sigma'(a_i) \label{eq7}
\end{equation}
where $e_{f}$ is the error after the final layer.
The weight update for DFA remains the same as that for for FA, and follows Equation \ref{eq6}.
\section{Experiments}
\label{results}
We conduct experiments on Hebbian Learning (HB), Feedback Alignment (FA), Direct Feedback Alignment (DFA) and Backprop (BP). Multiple datasets including CIFAR-10 \cite{Krizhevsky09learningmultiple} and CIFAR-100 \cite{Krizhevsky09learningmultiple} are used for testing. For CIFAR-100, two other Bio-algorithms Difference Target Propagation (DTP) and Predictive Coding (PC) are also benchmarked for a more in-depth comparison. We use Convolutional Neural Networks (CNNs) for the experiments owing to their higher accuracies than Fully Connected Networks (FCNs). For all experiments, 4 layered networks are used with the first 3 layers being convolutional layers having 100, 196 and 400 neurons respectively and the last layer being a linear layer for the case of BP, FA and DFA and ridge classifier for the case of Hebbian. For FA and DFA the implementation from \cite{10.3389/fnins.2021.629892} is used and for Hebbian learning the implementation from \cite{miconi} is used. For DTP the implementation from \cite{theoretical_framework} is used, called DDTP, while for PC the implementation from \cite{PC} is used. For fair comparison between Bio-learning and BP, vanilla networks are used for all experiments without drop-out, batch-norm or any other training tricks. Hyper-parameters used are provided in the Appendix. All experiments are conducted for 100 epochs unless stated otherwise.
We first conduct experiments on the limited data and limited training budget scenarios where only a subset of the original dataset or a smaller training budget is available for training (Fig. \ref{fig:less_data_and_fewer_epochs} (a)). As can be seen, all the three Bio-learning algorithms perform much better than BP. Hebbian learning, in particular, performs really well achieving 20\% higher accuracy than BP for the case of less data and fewer training epochs. Also, notably, Hebbian learning converges much faster than BP, usually achieving convergence in just around 5 epochs. A similar trend is seen when the epochs is increased to 100 (Fig. \ref{fig:less_data_and_fewer_epochs} (c)), where FA achieves the top accuracy amongst all the algorithms. When the condition of less data availability is relaxed (Fig. \ref{fig:less_data_and_fewer_epochs} (b)), even then Bio-algorithms surpass BP by a sizable margin. Only in the case of availability of the full dataset and the full training budget (Fig. \ref{fig:less_data_and_fewer_epochs} (d)), is BP able to get comparable accuracy as the top performing Bio-algorithm. Even then BP requires the full 100 epochs to learn whereas all the three Bio-algorithms finish learning within 40 epochs and within 5 epochs for Hebbian learning.
Similar results are seen for the case of CIFAR-100 (Fig. \ref{fig:less_data_and_fewer_epochs_cifar100}). Hebbian learning (HB) and Difference Target Propagation (DTP) perform the best and much better than BP (around 16\% better in terms of accuracy) for the case of limited data and limited training budget (Fig. \ref{fig:less_data_and_fewer_epochs_cifar100} (a)). Even with increasing the training budget, Bio-algorithms still surpass BP (Fig. \ref{fig:less_data_and_fewer_epochs_cifar100} (c)). Only when the full dataset is shown to BP is it able to achieve comparable accuracy to the top performing Bio-algorithm DTP (Fig. \ref{fig:less_data_and_fewer_epochs_cifar100} (b)). DTP also outperforms BP for the case of the full dataset and full training budget (Fig. \ref{fig:less_data_and_fewer_epochs_cifar100} (d)). Notably, Hebbian learning continues to learn extremely fast and converges to stable accuracy within 5 epochs where other algorithms take around 60 epochs to converge.
To understand this superior performance of Hebbian learning, we visualize the features learnt by Hebbian learning vs. BP. Referring to Fig. \ref{fig:representations}, we note that the filters learnt by Hebbian learning are much more fine-grained compared to BP. Hebbian learns filters which are orientation-sensitive (vertical, horizontal and diagonal grayscale edges), color-sensitive (blue, green, red filters) or both (filters with combination of orientation and two or more colors). BP on the other hand seems to learn more random-like features with no clear orientation or color-sensitivity. We believe this fine-grained representation ability of Hebbian might be the underlying reason for its better performance.
We also note that Bio-learning is quite robust to different kinds of noises. Referring to Fig. \ref{fig:random_noise} and Fig. \ref{fig:pepper_noise}, we see that Bio-learning (especially DFA) performs better than Backprop under the addition of random noise and pepper noise, respectively for CIFAR-10. For CIFAR-100, DFA performs the best and even better than BP (Fig. \ref{fig:random_noise_cifar100} and Fig. \ref{fig:pepper_noise_cifar100}). Bio-learning is also robust to network sparsification achieving similar results as Backprop even at very high sparsity rates of 95\% of all weights pruned, see Table \ref{table:sparsity_cifar10} and Table \ref{table:sparsity_cifar100}. We don't include Hebbian learning here since as per the implementation of Hebbian learning \cite{miconi}, it is already pruned by default and hence, we are unable to perform a fair comparison with the other networks.
\begin{table}
\centering
{\begin{tabular}{|l|c|c|}
\hline
\multicolumn{1}{|c|}{Model}& \multicolumn{2}{c|}{Accuracy} \\
\hline
\multicolumn{1}{|c|}{FA}& \multicolumn{2}{c|}{62.17\% $\pm$ 0.24\%} \\
\hline
\multicolumn{1}{|c|}{DFA}& \multicolumn{2}{c|}{57.75\% $\pm$ 0.16\%} \\
\hline
\multicolumn{1}{|c|}{BP}& \multicolumn{2}{c|}{65.37\% $\pm$ 0.65\%} \\
\hline
\end{tabular}}
\caption{Experiment on the application of 95\% weight sparsity to the networks. We find that Bio-learning is robust to network sparsification and achieves similar accuracy as Backprop. Using CIFAR-10 dataset. Mean and standard deviations reported over 10 runs.}
\label{table:sparsity_cifar10}
\end{table}
\begin{table}
\centering
{\begin{tabular}{|l|c|c|}
\hline
\multicolumn{1}{|c|}{Model} & \multicolumn{2}{c|}{Accuracy}\\
\hline
\multicolumn{1}{|c|}{FA}& \multicolumn{2}{c|}{{30.93 $\pm$ 0.16}}\\
\hline
\multicolumn{1}{|c|}{DFA}& \multicolumn{2}{c|}{30.29 $\pm$ 0.25}\\
\hline
\multicolumn{1}{|c|}{BP}& \multicolumn{2}{c|}{{37.68 $\pm$ 0.48}}\\
\hline
\end{tabular}}
\caption{Experiment on the application of 95\% weight sparsity to the networks. We find that Bio-learning is quite robust to network sparsification. Using CIFAR-100 dataset. Mean and standard deviations reported over 10 runs.}
\label{table:sparsity_cifar100}
\end{table}
\section{Discussion, Limitations and Future Work}
\label{Disc}
We have noted the superior performance of Bio-inspired learning compared to Backprop on several aspects. Under limited data or limited training budget Bio-inspired learning does much better and also converges much faster. We believe higher quality representations learnt by the Bio-algorithms are the underlying cause for this. This is an exciting direction and the research landscape for Bio-learning is still nascent. One of the biggest bottlenecks for Bio-learning is that the training tricks and techniques to maximize performance of Bio-learning are still under-developed. Backprop benefits from many years of combined research on optimizers, hyper-parameter tuning techniques and heuristics, custom layers like Batchnorm \cite{pmlr-v37-ioffe15} and other tricks like Dropout \cite{JMLR:v15:srivastava14a}. Such progress is severely lacking for Bio-learning making the discovery of the full potential of Bio-learning difficult. More research in these areas will help Bio-learning substantially.
Another limitation of Bio-learning is the lack of in-depth understanding on why it works so well. We have shown that the representations learnt by Hebbian learning are of higher quality than Backprop. However, the next question that arises is why does Hebbian learning learn higher quality representations? Is it because the representations learnt by Hebbian are more invariant to input orientations and configurations \cite{hebb_representation}? Having theoretical and more in-depth understanding of these questions will help design better use-cases for Bio-learning. Currently, empirical results are the only guiding factor in deciding which areas might Bio-learning be most suitable for. However, a richer understanding of the learning dynamics will automatically expose a wider set of research areas and applications that Bio-learning might be useful for.
\section{Conclusion}
We have investigated Bio-inspired learning algorithms like Hebbian learning, Feedback Alignment, Direct Feedback Alignment, Difference Target Propagation and Predictive Coding in this work, and benchmarked them against Backprop on multiple aspects. We measure the performance of these algorithms under conditions of i) Limited availability of training data ii) Limited training budget iii) Application of different kinds of noises on the inputs and iv) Application of parameter sparsity on the base neural network models. Hebbian learning in particular, surpasses the accuracy performance of Backprop by upto 20\% under limited data and limited training budget scenarios. Bio-algorithms also achieve much faster convergence (upto 20$\times$ for the case of Hebbian learning) compared to Backprop. These insights help motivate the usefulness of Bio-algorithms in important areas like learning with less data or learning in resource-constrained training environments like real-time devices. They highlight the need to work on Bio-learning algorithms for tangible practical benefits and beyond the purely theoretical motivations of solving the biological implausibility of Backprop. Furthermore, we also plot the representations learnt by the Bio-algorithms to understand their superior performance, and find that they learn higher quality representations compared to Backprop. Lastly, we find that Bio-learning is robust to noise and parameter sparsity (even at extreme sparsities of 95\%), achieving similar or higher accuracy than Backprop.
\section{Appendix}
\subsection{Experiment design and hyper-parameters}
We describe below in detail the hyper-parameters and experimental setup for the various experiments. For Hebbian, we use the same experimental setup as the original and utilize ZCA, pruning and triangle method for computing Hebbian updates. We also list below tables capturing the hyper-parameters used for each experiment.
\vspace{1cm}
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 2}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\vspace{0.5cm}
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 3}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
DDTP&20 or 100&100&3e-4, 9e-4, 1e-4, resp. for each layer&Not used&Not used\\
PC&20 or 100&100&1e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\vspace{0.5cm}
\centering
\small
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 5}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\vspace{0.5cm}
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 6}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\vspace{0.5cm}
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 7}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\vspace{0.5cm}
\centering
\small
\begin{tabular}{p{1.5cm}p{1.5cm}p{1.5cm}p{2.5cm}p{2.8cm}p{2cm}}
\hline
\multicolumn{6}{c}{\centering{Hyper-parameters for Fig. 8}} \\ \hline
Algorithm & Epochs & Batch-size & Initial LR & LR Schedule & Weight Decay\\
\hline
HB&20 or 100&100&1e-5&Not used&0.95\\
FA&20 or 100&100&5e-5&Not used&Not used\\
DFA&20 or 100&100&5e-5&Not used&Not used\\
BP&20 or 100&100&1e-5&Step LR, Step Size 1&Not used\\
\hline
\end{tabular}
\end{minipage} | {
"redpajama_set_name": "RedPajamaArXiv"
} | 31 |
{"url":"https:\/\/www.physicsforums.com\/threads\/geometrical-interpretation-of-gradient.915738\/","text":"# I Geometrical interpretation of gradient\n\nTags:\n1. May 26, 2017\n\n### binei\n\nIn 'Introduction to Electrodynamics' by Griffiths, in the section of explaining the Gradient operator, it is stated a theorem of partial derivatives is:\n$$dT = (\\delta T \/ \\delta x) \\delta x + (\\delta T \/ \\delta y) \\delta y + (\\delta T \/ \\delta z) \\delta z$$\nFurther he goes onto say:\n$$dT = (\\dfrac{\\delta T} {\\delta x} {\\bf x} + \\dfrac{\\delta T}{\\delta y} {\\bf y} +\\dfrac{\\delta T}{\\delta z} {\\bf z} ) . (dx {\\bf x} + dy {\\bf y} + dz{\\bf z} )$$\n$$= \\triangledown T . d{\\bf l}$$\n\nFurther, in the geometrical interpretation of the gradient it is said that:\n$$dT =\\triangledown T . d{\\bf l} = |\\triangledown T||d {\\bf l}|\\cos \\theta$$\n\nMy question is:\n1. The magnitude $dT$ is greatest when $\\theta = 0$ , i.e. when $\\bf l$ is in same direction of $\\triangledown T$ . Since now $d{\\bf l} = (dx {\\bf x} + dy {\\bf y} + dz{\\bf z} )$ , to vary the direction of $d{\\bf l}$ , the relative magnitudes of $dx, dy, dz$ need to be different. Am I correct?\n\n2. Does the magnitude of the vector $\\triangledown T$ have any physical significance, given that it gives the length of the vector at some point (x,y,z)?\n\n2. May 26, 2017\n\n### Orodruin\n\nStaff Emeritus\n1. Yes. The direction of $\\nabla T$ is the direction in which $T$ grows the fastest for a fixed $|d\\vec \\ell|$.\n\n2. It is the rate at which the quantity increases when you go in the direction that it is pointing in.\n\nLast edited: May 26, 2017\n3. May 26, 2017\n\n### binei\n\nThank you for the answer. I however found it strange that the magnitudes of these dx, dy, dz are relatively different, when they themselves are all infinitesimally small quantities......\n\n4. May 26, 2017\n\n### Staff: Mentor\n\n5. May 26, 2017\n\n### Staff: Mentor\n\nAnother physical interpretation is the derivative of T in the direction normal to the contours of constant T.\n\n6. May 26, 2017\n\n### binei\n\nFor example in a 2-dimensional case, we have the vector $d{\\bf l} = dx {\\bf i} + dy {\\bf j}$. The angle or direction of this vector can be said to be $tan\\theta = dy\/dx$ radians w.r.t x-axis. But both $dx, dy$ are infinitesimally small quantities. Perhaps introducing limits, we can say $\\theta = 1$, as both $dy, dx \\rightarrow 0$. But how do we get other angles?\n\n7. May 26, 2017\n\n### Staff: Mentor\n\n$$dy=\\sin{\\theta} dl$$\n$$dx=\\cos{\\theta} dl$$\n\nIn 3D,\n$$dy=\\sin{\\theta} \\sin{\\phi}dl$$\n$$dx=\\cos{\\theta}\\sin{\\phi} dl$$\n$$dz=\\cos{\\phi}dl$$\n\n8. May 26, 2017\n\n### Stephen Tashi\n\nYou can't reason with infinitesimal quantities in the same way that you reason with finite quantities. In fact, you can't reason with infinitesimal quantities in a logically consistent manner at all unless you use some very complicated definitions and axioms for them (e.g. https:\/\/en.wikipedia.org\/wiki\/Non-standard_analysis ), which are quite different than the approach taken in physics texts.\n\nInfinitesimals in physic texts are treated in an intuitive manner. To help your intuition, consider that the infinitesimal formulation of the derivative of a real valued function of one real variable is \"dy\/dx\". So there you have an example where a ratio between two infinitesimal quantities can be different than 1. Reasoning with infinitesimals is an attempt to deduce results that logically require reasoning about limits without actually doing the labor of thinking about limits.","date":"2018-07-21 06:19:19","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\": 2, \"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\": 0.8931482434272766, \"perplexity\": 530.7154997945017}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2018-30\/segments\/1531676592387.80\/warc\/CC-MAIN-20180721051500-20180721071500-00564.warc.gz\"}"} | null | null |
Q: Will an "Excellent" throw give you a greater chance of capturing the Pokémon? Within Pokémon Go, when you throw a Pokéball at a Pokémon, you have the potential to get a Nice, Great, or Excellent throw. If you throw an excellent Pokéball on a challenging Pokémon (when their circle is orange or red), will this increase your chances of capturing the Pokémon?
A: After looking at many sources online and the research that others have done, making an "Nice", "Great", or "Excellent" throw does increase your chances of catching the Pokémon.
Source 1
Source 2
Looks like the throws bonuses are:
Nice Throw - 1.15X bonus
Great Throw - 1.5X bonus
Excellent Throw - 1.85X bonus
Here is a catch rate calculator so you can play with the odds yourself.
A: Getting a "Nice", "Great", or "Excellent" throw is possible by getting the Pokeball to land inside the shrinking colored circle. This gets you bonus experience if you catch it with that throw. The size of the circle determines which one you get. (Approximately, full circle-66%=Nice, 66%-33%=Great, 33%-smallest circle=Excellent.)
So getting those special throws won't boost your catch chance directly but having the circle as small as possible will.
The official FAQ says:
You have the greatest chance of capturing the Pokémon while the colored ring is at its smallest diameter.
A: I don't believe so. I have no concrete proof of this, and while a lot of people say this is true, I'm not convinced. What I've read is that the smaller the inner circle the higher the catch rate, but in my experience it has no meaning other than the opportunity to get extra xp from the nice/great/excellent throw. I can't say for sure, as i get great/nice a lot more often than excellent, but i have had Pokemon escape and excellent throw, even with low CP and a green inner circle. That being said I still try to throw it when the circle is the smallest, maybe I'm just superstitious.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 8,143 |
\section*{Introduction} \label{introduction}
The purpose of this note is to prove the following:
\begin{thm} Thompson's group $F$ and the generalizations
$F_{n,\infty }$ and $F_n$ for $n=2,3,4, \dots $ are not K\"ahler.
\end{thm}
Theorem~0.1 answers a question of Ross Geoghegan (see Ken Brown's
paper in these proceedings \cite{Br2}).
Thompson discovered the group $F$ in 1965 in the context of his
work in mathematical logic. Brown and Geoghegan \cite{BrGe}
determined that $F$ is of type $FP_\infty$, thus making $F$ the
first known example of a torsion free group of type $FP_\infty$
which is not of type $FP$. The group $F$ has also appeared in
homotopy theory \cite{FH}. For more details on the properties and
history of Thompson's groups $F$, $F_{n,\infty }$, and $F_n$, the
reader may refer to \cite{CFP}, \cite{Br1}, \cite{BG}, and
\cite{BrGe}.
A finitely presented group is called a {\it K\"ahler group} if it
is the fundamental group of a compact K\"ahler manifold. A central
problem in the study of the topology of compact K\"ahler manifolds
(for example, smooth projective varieties) is that of determining
which groups are K\"ahler groups. For example, according to Hodge
theory, the Abelianization of a K\"ahler group must be of even
rank (see, for example, \cite{W}). By \cite{ArBR}, a K\"ahler
group has at most one end. If $M$ is any Hopf surface, then $M$ is
a non-K\"ahler compact complex manifold which has fundamental
group~${\mathbb Z}$ and $2$-ended universal covering ${\mathbb C}^2\setminus\{ 0\}$.
The Heisenberg group $H$ of $3\times 3$ upper triangular integer
matrices with diagonal entries~$1$ has exactly one end and its
Abelianization is of rank~$2$, but $H$ is not a K\"ahler group
(see, for example, \cite{JR} or \cite{Ar}). On the positive side,
any finite group is the fundamental group of a smooth projective
variety. For any positive integer~$g$, the group $\langle
a_1,a_2,\dots , a_{2g}\mid [a_1,a_{g+1}]\cdot\cdots\cdot
[a_g,a_{2g}]=1\rangle $ is the fundamental group of a curve of
genus~$g$. In fact, much more subtle examples are now known to
exist; for example, Toledo's examples of K\"ahler groups which are
not residually finite~\cite{T}. The problem is, of course, related
to that of determining which groups are fundamental groups of
smooth projective varieties. In fact, there are no known examples
of K\"ahler groups which are not also fundamental groups of smooth
projective varieties. For more details on the study of K\"ahler
groups, the reader may refer to the surveys \cite{AmBCKT} and
\cite{Ar}.
We give two proofs that Thompson's group $F$ is not K\"ahler. The
first proof (Section~1) relies on the particular properties
of~$F$. The second proof (Section~2) gives the following more
general fact which may eventually yield a proof that other groups
of interest are not K\"ahler:
\begin{thm}
Let $G$ be a group which satisfies the following:
\begin{enumerate}
\item [(i)] Any nontrivial normal subgroup contains the commutator
subgroup $G_{\text{{\rm com}}}$ (i.e. every proper quotient of $G$
is Abelian), and \item [(ii)] $G$ is a properly ascending HNN
extension.
\end{enumerate}
Then $G$ and any group containing $G$ as a subgroup of finite
index are not K\"ahler.
\end{thm}
Since $F_{n,\infty }$ ($F=F_{2,\infty }=F_2$) satisfies the above
conditions (i)~and~(ii) and $F_{n,\infty }$ is a (normal) subgroup
of finite index in $F_n$ for every $n\geq 2$ (see, for example,
\cite{CFP} and \cite{BG}), Theorem~0.1 is a consequence of
Theorem~0.2.
\begin{ack} We would like to thank Ken Brown and Ross Geoghegan
for answering our questions about Thompson's group $F$ and Ross
Geoghegan for asking the question that this paper answers. We
would also like to thank John Meier for trying to teach us right
from wrong in geometric group theory. Finally, we would like to
thank the referee for helpful comments.
\end{ack}
\section{First proof}
For the purposes of this note, $X$ will denote a connected compact
K\"ahler manifold and $C$ will denote a connected compact curve (i.e.~a
compact $1$-dimensional complex manifold). A remark we will use without
comment is a nonconstant holomorphic map from $X$ to $C$ is surjective
and open.
Let $f:X\to C$ be a surjective holomorphic map with connected fibers. Let $\{
\, p_1,\dots ,p_r\} $ be the set of critical values of $f$ and let
$m_i$ be the greatest common divisor of the multiplicities of the
components of the divisor $f ^{-1} (p_i)$ for each $i=1,\dots , r$. Let
$C^{\text{orb}}$ be the $2$-orbifold with underlying topological
space $C$ and singular points $p_1,\dots , p_r$ of order
$m_1,\dots ,m_r$, respectively. Note that $C^{\text{orb}}$ has a
unique structure of a complex $1$-orbifold so that the map $f$ is
holomorphic . We recall that, in this situation (see \cite{Ct},
\cite{Si}), the {\it orbifold fundamental group} $\pi
_1^{\text{orb}}(C)$ is the quotient of $\pi _1(C- \{ \, p_1,\dots
,p_r\, \} )$ by the normal closure of $\setof{ \gamma
_i^{m_i}}{i=1,\dots ,r}$, where $\gamma _i$ is a simple loop
around the point $p_i$ for each $i$.
Let $G=\pi_1(X)$. The kernel $K$ of the surjective homomorphism
$\pi_1(X)\to \pi _1^{\text{orb}}(C)$ is the image in $G$ of the
fundamental group of a general fiber of $f$. In particular, $K$ is
a finitely generated normal subgroup of $G$. If the underlying
topological surface of $C$ has positive genus, then $\pi
_1^{\text{orb}}(C)$ is ${\mathbb Z}^2$ or a cocompact Fuchsian group. Summing
up, we have the following:
\begin{lem}
For $G=\pi _1(X)$, we have an exact sequence
$$
1\to K\to G\to \pi _1^{\text{orb}}(C)\to 1,
$$
where $K$ is finitely generated. If $C$ has positive genus, then
$\pi _1^{\text{orb}}(C)$ is either ${\mathbb Z}^2$ or a cocompact Fuchsian
group.
\end{lem}
In both proofs of Theorem~0.1, the main point leading to a
contradiction is that, if $F=\pi _1(X)$ for $X$ K\"ahler, then $X$
admits such a mapping $f:X\to C$. In the first proof, the main
features of the group $F$ which we will use are (see [CFP]):
\begin{enumerate} \item [1.] $F$ is torsion free;
\item [2.] The commutator subgroup $F_{\text{com}}$ is {\it not}
finitely generated; \item [3.] Any nontrivial normal subgroup
contains $F_{\text{com}}$; and \item [4.] The Abelianization
$F/F_{\text{com}}$ is ${\mathbb Z}^2$.
\end{enumerate}
\begin{pf*}{First proof of Theorem~0.1}
If $F=\pi_1(X)$ for some connected compact K\"ahler manifold $X$, then,
since the Abelianization $F/F_{\text{com}}$ of $F$ is ${\mathbb Z}^2$
(property~4), the Albanese variety is an elliptic curve $E$. Stein
factoring the Albanese map $h:X\to E$, we get a commutative
diagram of surjective holomorphic maps
\begin{center}\begin{picture}(230,52)
\put(128,0){$C$}
\put(80,39){$X$} \put(105,45){$h$} \put(88,43){\vector(1,0){37}}
\put(128,39){$E$} \put(136,21){$g$} \put(131,10){\vector(0,1){26}}
\put(99,14){$f$} \put(90,40){\vector(1,-1){32}}
\end{picture}
\end{center}
where $C$ is a compact curve, $f$ has connected fibers, and $g$ has finite
fibers. In particular, $C$ is of positive genus. Applying
Lemma~1.1, we get the exact sequence
$$
1\to K\to F=\pi_1(X)\to \pi _1^{\text{orb}}(C)\to 1,
$$
where $K$ is finitely generated. Thus $F/K\cong \pi
_1^{\text{orb}}(C)$. Now $F$ is not cocompact Fuchsian. For, if $F$
were cocompact Fuchsian, then, since $F$ is torsion-free
(property~1), $F$ would be the fundamental group of a curve of
genus at least~$2$ and hence $F$ would have Abelianization of rank
at least~$4$ (contradicting property~4). $F$ also cannot be
isomorphic to ${\mathbb Z}^2$ because the subgroup $F_{\text{com}}$ is not
finitely generated (property~2). Thus $K$ is nontrivial and,
therefore, $K$ contains the commutator subgroup~$F_{\text{com}}$
(property~3). Therefore $\pi _1^{\text{orb}}(C)$ is a quotient of
the Abelianization $F/F_{\text{com}}\cong{\mathbb Z}^2$. In particular,
since cocompact Fuchsian groups are non-Abelian, $\pi
_1^{\text{orb}}(C)$ must be isomorphic to ${\mathbb Z}^2$ and hence cannot
be isomorphic to a {\it proper} quotient of ${\mathbb Z}^2$.
Thus we must have $\pi _1^{\text{orb}}(C)=F/F_{\text{com}}$; that
is, $K=F_{\text{com}}$. But this is impossible because
$F_{\text{com}}$ is not finitely generated (property~2).
\end{pf*}
\section{Second proof}
We first consider the following:
\begin{thm}
Given a connected compact K\"ahler manifold~$X$ and an exact sequence
$$
(*)\qquad 1\to N\to \pi_1(X)\overset{\rho}{\to }{\mathbb Z}\to 1
$$
with $N$ not finitely generated, we get an exact sequence
$$
(**)\qquad 1\to K\to \pi_1(X)\to \Gamma\to 1,
$$
where $\Gamma $ is a cocompact Fuchsian group of a curve of positive
genus and $K$ is finitely generated.
\end{thm}
\begin{pf}
By Theorem~4.3 of~\cite{NR}, there is a surjective holomorphic map with
connected fibers to a curve of positive genus $f:X\to C$ and a
factorization
\begin{center}\begin{picture}(230,64)
\put(137,0){${\mathbb Z}$}
\put(60,46){$\pi_1(X)$} \put(110,53){$f_*$}
\put(92,50){\vector(1,0){41}} \put(137,46){$\pi
_1^{\text{orb}}(C)$} \put(146,27){$\rho '$}
\put(140,42){\vector(0,-1){29}} \put(103,17){$\rho$}
\put(92,45){\vector(1,-1){40}}
\end{picture}
\end{center}
By Lemma~1.1, we have an exact sequence $1\to K\to \pi_1(X)\to \pi
_1^{\text{orb}}(C)\to 1$, where $K$ is finitely generated. Since
$K$ is finitely generated but $N$ is not, $\ker (\rho ')\cong N/K$
is not finitely generated. It follows that $\Gamma =\pi
_1^{\text{orb}}(C)$ is a cocompact Fuchsian group, since every
subgroup of ${\mathbb Z}^2$ is finitely generated.
\end{pf}
\begin{pf*}{Proof of Theorem~0.2}
It suffices to prove that $G$ is not K\"ahler, because any finite
covering of a compact K\"ahler manifold is compact K\"ahler. If there
exists a connected compact K\"ahler manifold $X$ with $\pi_1(X)=G$, then,
since $G$ is a properly ascending HNN extension (property~(ii)),
we get an exact sequence of the form $(*)$ as in Theorem~2.1 and,
therefore, we get an exact sequence of the form $(**)$. If $K$ is
nontrivial, then $K$ contains the commutator subgroup
(property~(i)). But a cocompact Fuchsian group cannot be Abelian, so
we arrive at a contradiction. If $K$ is trivial, then $G$ is
cocompact Fuchsian and, therefore, by Malcev's theorem, residually
finite; i.e.~for any element $g\neq 1$, there is a finite
homomorphic image of $G$ in which the image of $g$ is not the
identity (for an elementary proof, see \cite{Al}). Taking $g\in
G_{\text{com}}\setminus\{ 1\}$, we get a non-Abelian finite
homomorphic image.
Thus we again arrive at a contradiction to property~(i).
Therefore, $G$ is not K\"ahler.
\end{pf*}
\bibliographystyle{amsalpha}
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 6,118 |
\section{Introduction}
The progress in calculation of the Casimir energy is rather slow. In
his pioneer paper \cite{Cas} in 1948 H.~B.~G.\ Casimir calculated the
vacuum electromagnetic energy for the most simple boundary
conditions, for two parallel perfectly conducting plates placed in
vacuum. Dielectric properties of the media separated by plane
boundaries do not add new mathematical difficulties \cite{Lif}.
However the first result on the calculation of the Casimir energy for
the non-flat boundaries was obtained only in 1968. By computer
calculations, lasted 3 years, T. H. Boyer found the Casimir energy of
a perfectly conducting spherical shell \cite{Boyer}. Account of
dielectric and magnetic properties of the media in calculations of
the vacuum energy for nonflat interface leads to new principal
difficulties or, more precisely, to a new structure of divergencies.
The calculation of the Casimir energy in a special case, when
both the material media have the same velocity of light, proves to
be, from the mathematical stand point, exactly the same as for
perfectly conducting shells placed in vacuum and having the shape of
the interface between these media
\cite{BNP,NP-cyl,MNN,BC,BC1,BC2,BC3,BY,Klich,Klich-2,Klich-FMR}.
The first attempt to calculate the Casimir energy of a
dielectric compact ball has been undertaken by K.~A.\ Milton in 1980
\cite{Milton}. And only just recently the vacuum electromagnetic
energy of a dilute dielectric ball was found\footnote{It is worth
noting that the first right (but rough and not rigorous) estimation
of the Casimir energy of a dilute dielectric ball has been done in
the paper \cite{BNP}.} \cite{MNg2,Barton,BMM,BM,Mar}. The light
velocity is discontinuous on the surface of such a ball. In
Ref.~\cite{Bordag} the analysis of the divergencies, which appear in
calculation of the Casimir energy of a dielectric ball, has been
carried out by determining the relevant heat kernel coefficients.
The role of dispersion in this problem is now under study also
\cite{BC1,BM,BS,BSS,NP-dis,Candelas}.
Under these circumstances it is of a indubitable interest to
develop new methods for calculating the vacuum energy for non-flat
boundaries with allowance for the material characteristics of the
media. It is this aim that is pursued in the present paper.
Practically all the calculations of the Casimir energy for the
boundaries with spherical or cylindrical symmetries use the uniform
asymptotic expansion for the Bessel functions. In place of this we
are employing the addition theorem for these functions that enables
one to accomplish the summation over the values of the angular
momentum exactly, i.e., in a closed form. In addition, the starting
point in our calculation is a simple and clear representation of the
vacuum energy as a half sum of the eigenfrequencies of
electromagnetic oscillations connected with a dielectric ball (a
global approach). This fact is also important due to the following
consideration. From the mathematical stand point, the most
consistent method for treating the divergencies in calculations of
the vacuum energy is the zeta regularization technique \cite{Od}. In
this approach, one proceeds from the sum of the eigenfrequencies. In
Refs.\ \cite{BMM,BM,Mar} the Casimir energy of a dielectric ball has
been calculated by making use of the Green's function method. An
essential point there was the account of the so called contact terms.
These terms encounter the expression for the vacuum energy being
outside the logarithm function \cite{MNg2,BMM,MNg1,M}, therefore they
do not appear when one proceeds from the sum of the eigenfrequencies.
It is worth noting that the results of the Casimir energy
calculation for a dilute dielectric ball, accomplished in the
framework of the quantum field theory \cite{BMM,BM}, coincide with
those obtained by summing up the van der Waals interactions between
individual molecules inside the ball \cite{MNg2} and by applying a
special perturbation theory, where the dielectric ball is treated as
a perturbation of the electromagnetic field in unbounded empty space
\cite{Barton}.
The layout of the paper is as follows. In Sec.\ II the
derivation of the integral representation for the vacuum energy is
given by the mode sum and contour integration. The subtraction
procedure that gives the renormalized Casimir energy in the $\Delta
n^2$-approximation is discussed in detail as well as its physical
justification. The addition theorem for the Bessel functions enables
one to carry out the sum over the angular momentum in a closed form.
It leads to an exact (in the $\Delta n^2$-approximation) value of the
Casimir energy of a dilute dielectric ball. In the Conclusion (Sec.\
III) the method proposed here for calculating the Casimir energy is
briefly discussed, as well as the implications of the obtained
results concerning, specifically, the elucidation of the role of the
contact terms used in other approaches to this problem. In the
Appendix the analysis of the divergencies is accomplished revealing
an important relation between the linear and quadratic in $\Delta n$
contributions into the vacuum energy. It is this relation that
provides a simple and effective scheme of calculations which is
followed in this paper.
\section{Mode summation for vacuum electromagnetic energy of a
dilute dielectric ball}
We shall consider a solid ball of radius $a$ placed in an
unbounded uniform medium. The nonmagnetic materials making up the
ball and its surroundings are characterized by permittivity
$\varepsilon_1$ and $\varepsilon_2$, respectively. It is assumed that
the conductivity in both the media is zero. The natural system of
units is used where $c=\hbar=1$.
We shall proceed from the standard definition of the vacuum
energy as the sum over the eigenfrequencies of electromagnetic
oscillations \cite{PRep}
\begin{equation}\label{def}
E=\frac{1}{2}\sum_s(\omega_s-\overline{\omega}_s)\,.
\end{equation}
Here $\omega_s$ are the classical frequencies of the electromagnetic
field for the boundary conditions described above, and the
frequencies $\bar{\omega}_s$ correspond to a certain limiting
boundary conditions that will be specified below.
The sum $(1/2)\sum_s\overline{\omega}_s$ in Eq.\ (\ref{def})
plays the same role as the counter terms in the standard
renormalization procedure in quantum field theory \cite{Bsh}. However
in the renormalizable field models, considered in unbounded
Minkowski space-time, the explicit form of these counter terms is
known (at least, it is known the algorithm of their construction at
each order of perturbation theory). Unlike this, there are no
general rules for obtaining the terms that should be subtracted when
calculating the vacuum energy. Therefore, in a new problem on
calculating the Casimir energy it is necessary to specify the
boundary conditions, determining the frequencies
$\overline{\omega}_s$, anew, appealing to some physical
considerations.
In the case of the plane geometry of boundaries or when
considering the Casimir effect for distinct bodies it is sufficient
to subtract in Eq.\ (\ref{def}) the contribution of the Minkowski
space~\cite{PRep,Bordag}. In the problem at hand it implies to take
the limit $a\to \infty$, i.e., that the medium 1 tends to fill the
entire space. But it turns out that this subtraction is not
sufficient because the linear in $\varepsilon_1-\varepsilon_2$
contribution into the vacuum energy retains. Further, we assume
that the difference $\varepsilon_1-\varepsilon_2$ is small and
content ourselves only with the
$(\varepsilon_1-\varepsilon_2)^2$-terms.
The necessity to subtract the contributions into the vacuum
energy linear in $\varepsilon_1-\varepsilon_2$ is justified by the
following consideration. The Casimir energy of a dilute dielectric
ball can be thought of as the net result of the van der Waals
interactions between the molecules making up the ball \cite{MNg2}.
These interactions are proportional to the dipole momenta of the
molecules, i.e., to the quantity $(\varepsilon_1-1)^2$. Thus, when a
dilute dielectric ball is placed in the vacuum, then its Casimir
energy should be proportional to $(\varepsilon_1-1)^2$. It is natural
to assume that when such a dielectric ball is surrounded by an
infinite dielectric medium with permittivity $\varepsilon_2$, then
its Casimir energy should be proportional to
$(\varepsilon_1-\varepsilon_2)^2$. The physical content of the
contribution into the vacuum energy linear in
$\varepsilon_1-\varepsilon_2$ has been investigated in the framework
of the microscopic model of the dielectric media (see Ref.\
\cite{MSS} and references therein). It has been shown that this term
represents the self-energy of the electromagnetic field attached to
the polarizable particles or, in more detail, it is just the sum of
the individual atomic Lamb shifts. Certainly this term in the vacuum
energy should be disregarded when calculating the Casimir energy
which is originated in the electromagnetic interaction between
different polarizable particles or atoms
\cite{Barton,BMM,Barton-dis,H-Brevik,H-Brevik-A}.
Further, we put for sake of symmetry
\begin{equation}\label{dn}
\sqrt{\varepsilon_1}=n_1=1+\frac{\Delta n}{2}\,,\quad
\sqrt{\varepsilon_2}=n_2=1-\frac{\Delta n}{2}\,.
\end{equation}
Here $n_1$ and $n_2$ are the refractive indices of the ball and of
its surroundings, respectively, and it is assumed that $\Delta n<<1$.
From here it follows, in particular, that
\begin{equation}\label{epn}
\varepsilon_1-\varepsilon_2=(n_1+n_2)(n_1-n_2)=2\Delta n\,.
\end{equation}
Thus, using the definition (\ref{def}) we shall keep in mind that
really two subtractions should be done: first the contribution,
obtained in the limit $a\to \infty$, has to be subtracted and then
all the terms linear in $\Delta n$ should also be removed.
We present the vacuum energy defined by Eq.\ (\ref{def}) in terms of
the contour integral in the complex frequency plane. The details of
this procedure can be found in Refs. \cite{BNP,LNBor,new1,new2}. Upon
the contour deformation one gets
\begin{equation}\label{integral}
E=-\frac{1}{2\pi}\sum_{l=1}^{\infty}(2l+1)\int_0^{K}dy\,y\,\frac{d}{dy}
\ln\frac{\Delta_l^{\text{TE}}(iay)\Delta_l^{\text{TM}}(iay)}
{\Delta_l^{\text{TE}}(i\infty)\Delta_l^{\text{TM}}(i\infty)}\,,
\end{equation}
where $\Delta_l^{\text{TE}}(iay)$ and $\Delta_l^{\text{TM}}(iay)$
are the left-hand sides of the equations determining the
frequencies of the electromagnetic field
\begin{equation}\label{freq}
\Delta_l^{\text{TE}}(a\omega)=0\,,\quad
\Delta_l^{\text{TM}}(a\omega)=0\,.
\end{equation}
For pure imaginary values of the frequency variable $\omega=iy$
(these values are needed in Eq.\ (\ref{integral})), the expressions
$\Delta_l^{\text{TE}}(iay)$ and $\Delta_l^{\text{TM}}(iay)$ are
defined by
\begin{eqnarray}\nonumber
\Delta_l^{\text{TE}}(iay) &=&
\sqrt{\varepsilon_1}s_l^{\prime}(k_1a)e_l(k_2a)-
\sqrt{\varepsilon_2}s_l(k_1a)e_l^{\prime}(k_2a)\,, \\
\Delta_l^{\text{TM}}(iay) &=&
\sqrt{\varepsilon_2}s_l^{\prime}(k_1a)e_l(k_2a)-
\sqrt{\varepsilon_1}s_l(k_1a)e_l^{\prime}(k_2a)\,,\label{TETM}
\end{eqnarray}
where $k_i=\sqrt{\varepsilon_i}\,y$, $i=1,2$, and $s_l(x)$,
$e_l(x)$ are the modified Riccati--Bessel functions \cite{AS}
\begin{equation}\label{RB}
s_l(x)=\sqrt{\frac{\pi x}{2}}\,I_{\nu}(x)\,,\quad
e_l(x)=\sqrt{\frac{2 x}{\pi}}\,K_{\nu}(x)\,,\quad
\nu=l+\frac{1}{2}\,.
\end{equation}
The prime in Eq.\ (\ref{TETM}) stands for the differentiation with
respect to the argument of the Riccati--Bessel functions.
In Eq.\ (\ref{integral}) we have introduced cutoff $K$ in
integration over the frequencies. This regularization is natural
in the Casimir problem because physically it is clear that the
photons of a very short wave length do not contribute into the
vacuum energy since they do not ``feel'' the boundary between the
media with different permittivities $\varepsilon _1$ and
$\varepsilon _2$. In the final expression the regularization
parameter $K$ should be put to tend to infinity, the divergencies,
that may appear here, being canceled by appropriate counter
terms.
The numerator (denominator) in the logarithm function in Eq.\
(\ref{integral}) is responsible for the first (second) term in the
initial formula (\ref{def}). For brevity we write in Eq.\
(\ref{integral}) simply $\Delta_l(i\infty)$ instead of
$\lim_{a\to\infty}\Delta_l(iay)$. Taking into account the
asymptotics of the Riccati--Bessel functions
\[
s_l(x)\simeq \frac{1}{2}\,e^x\,, \quad e_l(x)\simeq e^{-x}\,,
\quad x\to \infty\,,
\]
we obtain
\begin{equation}\label{asymp2}
\Delta_l^{\text{TE}}(i\infty)\Delta_l^{\text{TM}}(i\infty)=
-\frac{(n_1+n_2)^2}{4}\,e^{2(n_1-n_2)y}\,.
\end{equation}
Upon substituting Eqs.\ (\ref{TETM}) and (\ref{asymp2}) into Eq.\
(\ref{integral}) and changing the integration variable $ay\to y$,
we cast Eq.\ (\ref{integral}) into the form (see Eq.\ (tef{E2}) in Ref.
\cite{BNP})
\begin{eqnarray}\label{final}
E&=&-\frac{1}{2\pi a}\sum_{l=1}^{y_0}(2l+1)\int_0^{y_0}dy
\,y\,\frac{d}{dy}
\ln\left\{ \frac{4e^{-2(n_1-n_2)y}}{(n_1+n_2)^2} \right. \\
& & \left. [n_1n_2((s_l^{\prime}e_l)^2+
(s_le_l^{\prime})^2)-(n_1^2+n_2^2)s_ls_l^{\prime}e_le_l^{\prime}]\right\}\,,
\nonumber
\end{eqnarray}
where $s_l\equiv s_l(n_1y)$, $e_l\equiv e_l(n_2y)$, $y_0=a K$.
It should be noted here that in Eq.\ (\ref{final}) only the first
subtraction is accomplished, which removes the contribution into
the vacuum energy obtained when $a\to\infty$. As noted above, for
obtaining the final result all the terms linear in $\Delta n$
should be discarded also.
Further it is convenient to rewrite Eq.\ (\ref{final}) in the form
\begin{equation}\label{E1E2}
E=E_1+E_2
\end{equation}
with
\begin{eqnarray}\label{E1}
E_1&=&\frac{\Delta n}{2\pi
a}\sum_{l=1}^{\infty}(2l+1)\int_0^{y_0}y\,dy\,, \\
E_2&=&-\frac{1}{2\pi a}\sum_{l=1}^{\infty}(2l+1)\int_0^{y_0}dy\,
y\,\frac{d}{dy}\ln\left[W_l^2(n_1y, n_2y)-\frac{\Delta n^2}{4}\,
P_l^2(n_1y, n_2y)\right]\,,
\label{E2}
\end{eqnarray}
where
\begin{eqnarray}
W_l(n_1y, n_2y)&=&s_l(n_1y)e_l^{\prime}(n_2y)-s_l^{\prime}(n_1y)e_l(n_2y)\,,
\label{W} \\
P_l(n_1y, n_2y)&=&s_l(n_1y)e_l^{\prime}(n_2y)+s_l^{\prime}(n_1y)e_l(n_2y)\,.
\label{P}
\end{eqnarray}
The term $E_1$ accounts for only the expression $\exp (-2\Delta n
\,\,y)$ in the argument of the logarithm function in Eq.\
(\ref{final}) and it appears as a result of subtracting the Minkowski
space contribution into the Casimir energy (the sum with $\bar
\omega_s$ in Eq.\ (\ref{def}) and the denominator in Eq.\
(\ref{integral})).
It is worth noting that the term $E_1$ is exactly the
Casimir energy
considered by Schwinger in his attempt to explain the sonoluminescence
\cite{Schw}.
Really, introducing the cutoff $K$ for frequency integration and the cutoff
$y=\omega/a$ for the angular momentum summation we arrive at the result
\begin{equation}\label{Schwinger}
E_1=\frac{\Delta n}{\pi a}\int_0^{aK}y\,dy\, \sum_{l=1}^{\infty}
\left(l+\frac{1}{2}\right)\sim \frac{\Delta n}{2\pi a}\int_0^{aK}y^3\,dy=
\Delta n\,\frac{K^4a^3}{8\pi}\,.
\end{equation}
We have substituted here the summation over $l$ by integration. Up to
the multiplier
$(-2/3)$ it is exactly the Schwinger value for the Casimir energy of a
ball ($\varepsilon_1=1$) in water ($\sqrt{\varepsilon_2}\simeq 4/3$)
\cite{MNg1}. The term linear in $\Delta n$ and of the same structure
was also derived in Refs.\ \cite{Barton,Barton-dis,H-Brevik}.
As it was explained above the energy $E_1$ should be discarded.
In our calculation, we content ourselves with the $\Delta
n^2$-approximation. Hence, in Eq.\ (\ref{E2}) one can put
$P^2_l(n_1y, n_2y)\simeq P^2_l(y,y)$ and keep in expansion of the
logarithm function only the terms proportional to $\Delta n^2$. In
this approximation, the contributions of $W_l^2$ and $P_l^2$ into
the vacuum energy are additive
\begin{equation}\label{EWP}
E^{\text{ren}}=E_W^{\text{ren}}+E_P^{\text{ren}}\,.
\end{equation}
In the Appendix it is shown that for obtaining the $\Delta
n^2$--contribution into the Casimir energy of the function $W_l^2$ in the
argument of the logarithm in Eq.\ (\ref{E2}), it is sufficient to
calculate the $\Delta n^2$--contribution of the function $W_l^2$
alone but changing the sign of this contribution to the opposite one
(see Eq.\ (\ref{A20})).
Hence,
\begin{equation}\label{EW} E_W=\frac{1}{2\pi
a}\sum_{l=1}^{\infty}(2l+1)\int_0^{y_0}dy \,y\,\frac{d}{dy}
W_l^2(n_1y, n_2y)\,,
\end{equation}
and only the $\Delta n^2$-term being preserved in this expression.
For $E_P$ we have
\begin{equation}\label{EP}
E_P=\frac{\Delta n^2}{8\pi
a}\sum_{l=1}^{\infty}(2l+1)\int_0^{y_0}\,dy\,
y\frac{d}{dy} P_l^2(n_1y, n_2y)\,.
\end{equation}
Usually, when calculating the vacuum energy in the problem with
spherical symmetry, the uniform asymptotic expansion of the Bessel
functions is used \cite{AS}. As a result, an approximate value of
the Casimir energy can be derived, the accuracy of which depends
on the number of terms preserved in the asymptotic expansion.
We shall persist in another way employing the technique
of the paper~\cite{Klich}. By making use of the addition theorem
for the Bessel functions \cite{AS}, we first do the
summation over the angular momentum $l$ in Eq.\ (\ref{E2}) and only
after that we will integrate over the imaginary frequency~$y$. As a
result, we obtain an exact (in the $\Delta n^2$--approximation) value
of the Casimir energy in the problem involved.
Further the following addition theorem for the Bessel
functions \cite{AS} will be used
\begin{equation}\label{addition}
\sum_{l=0}^{\infty}(2l+1)s_l(\lambda
r)e_l(\lambda\rho)P_l(\cos\theta)=\frac{\lambda r\rho}{R}\,
e^{-\lambda R}
\equiv {\cal D}\,,
\end{equation}
where
\begin{equation}\label{R}
R=\sqrt{r^2+\rho^2-2r\rho\cos\theta}\,.
\end{equation}
Differentiating the both sides of Eq.\ (\ref{addition}) with
respect to $\lambda r$ and squaring the result we deduce
\begin{equation}\label{D}
\sum_{l=0}^{\infty}(2l+1)[s_l^{\prime}(\lambda
r)e_l(\lambda\rho)]^2=\frac{1}{2r \rho}\int_{r-\rho}^{r+\rho}
\left(\frac{1}{\lambda}\,\frac{\partial{\cal D}}{\partial r}
\right)^2R\,dR\,.
\end{equation}
Here the orthogonality relation for the Legendre polynomials
\[
\int_{-1}^{+1}P_l(x)P_m(x)dx=\frac{2\delta_{lm}}{2l+1}
\]
has been taken into account. Now we put
\begin{equation}\label{ndel}
\lambda=y\,,\quad r=n_1=1+\frac{\Delta n}{2}\,,\quad
\rho=n_2=1-\frac{\Delta n}{2}\,.
\end{equation}
Applying Eq.\ (\ref{D}) and analogous ones, we
derive \begin{eqnarray}\nonumber
\sum_{l=1}^{\infty}(2l+1)W_l^2(n_1y, n_2y)&=&
\frac{1}{2r\rho\lambda^2}\int_{r-\rho}^{r+\rho}R\,dR\left({\cal D}_r-
{\cal D}_{\rho}\right)^2-e^{2\Delta n y} \\
&=& \frac{\Delta n^2}{8}\int_{\Delta n}^{2}\frac{e^{-2yR}}{R^5}
\left(4+R^2+4yR-yR^3\right)^2dR-e^{2\Delta n y}\,, \label{WD} \\
\sum_{l=1}^{\infty}(2l+1)P_l^2(y,
y)&=&\frac{1}{2}\int_0^2\left[\frac{\partial}{\partial y}
\left(\frac{y}{R}\,e^{-yR}\right)\right]^2R\,dR-e^{-4y}\,. \label{PD}
\end{eqnarray}
Here ${\cal D}_r$ and ${\cal D}_{\rho}$ stand for the results of
the partial differentiation of the function ${\cal D}$ in Eq.\
(\ref{addition}) with respect to the corresponding variables and with
the subsequent substitution of (\ref{ndel}). The last terms in Eqs.\
(\ref{WD}) and (\ref{PD}) are $W_0^2(n_1y, n_2y)$ and $P_0^2(y,
y)$, respectively. As it was stipulated before, in Eq.\ (\ref{WD})
we have to keep
only the terms proportional to $\Delta n^2$ and in
Eq.\ (\ref{PD}) we have put $\Delta n=0$.
The calculation of the contribution $E_P$ to the Casimir energy is
straightforward. Upon differentiation of the right-hand side of
Eq.\ (\ref{PD}) with respect to $y$, the integration over $dR$ can
be done here. Substitution of this result into Eq.\ (\ref{EP})
gives
\begin{equation}\label{EP1}
E_P=-\frac{\Delta n^2}{2\pi
a}\left(-\frac{1}{4}\right)\int_0^{y_0}dy\,\left[e^{-4y}\left(2y^2+2y+
\frac{1}{2}\right)-\frac{1}{2}\right]\,.
\end{equation}
The term $(-1/2)$ in the square brackets in Eq.\ (\ref{EP1}) gives
rise to the divergence\footnote{This divergence has the same origin
as those arising in summation over $l$ when the uniform asymptotic
expansions of the Bessel functions are used \cite{BMM,BM}. The
technique employed here is close to the multiple scattering expansion
\cite{BD}, where these divergencies are also subtracted.} when $y_0
\to \infty$
\begin{equation}
\label{ct1}
E_P^{\text{div}} = - \frac{\Delta n^2}{16\pi a}y_0\,{.}
\end{equation}
Therefore we have to subtract it with the result
\begin{equation}\label{EPF}
E_P^{\text{ren}}=E_P-E_P^{\text{div}}
=\frac{5}{128}\,\frac{\Delta n^2}{\pi a}\,.
\end{equation}
As far as the expression (\ref{WD}), it is convenient to
substitute it into Eq.\ (\ref{EW}), to do the integration over $y$
and only after that to address the integration over $dR$
\begin{eqnarray}
\lefteqn{\frac{\Delta n^2}{8}\int_{\Delta n}^2 dR \int_0^{\infty}
dy\,y\,\frac{d}{dy}\left[\frac{e^{-2yR}}{R^5}\left(4+R^2+4yR-yR^3
\right)^2\right]=}
\nonumber \\
&=&-\frac{\Delta n^2}{4}\int_{\Delta
n}^2\left(\frac{10}{R^6}+\frac{1}{R^4}+\frac{1}{8R^2}\right)\,dR
\nonumber \\
&=&\frac{1}{8}\left(\frac{\Delta n^2}{3}-\frac{4}{\Delta n^3}-
\frac{2}{3\Delta n}
-\frac{\Delta n}{4}\right)\,.\label{long}
\end{eqnarray}
We have put here $y_0=\infty$ without getting the divergencies. As
it is explained in the Appendix, in Eq.\ (\ref{long}) we have to
pick up only the term proportional to $\Delta n^2$.
Remarkably that this term is finite. It is an essential advantage
of our approach. The rest of the terms in this equation are
irrelevant to our consideration.
Thus the counter term for $E_W$ vanishes due to the regularizations
employed (see the Appendix).
{}In view of this we have
\begin{equation}
\label{EWF}
E_W^{\text{ren}}=
E_W=\frac{1}{2\pi a}\,\frac{1}{8}\,\frac{\Delta
n^2}{3}=\frac{1}{48}\,\frac{\Delta n^2}{\pi a}\,.
\end{equation}
Finally we arrive at the following result for the Casimir energy
of a dilute dielectric ball
\begin{equation}\label{EFN}
E^{\text{ren}}=E_W^{\text{ren}} +E_P^{\text{ren}}
=\frac{\Delta n^2}{\pi a}\left(\frac{1}{48}+
\frac{5}{128}\right)=\frac{23}{384}\,\frac{\Delta n^2}{\pi a}\,.
\end{equation}
Taking into account the relation (\ref{epn}) between
$\varepsilon_i$ and $n_i$, $i=1,2$, we can write
\begin{equation}\label{F}
E^{\text{ren}}=\frac{23}{1536}\,\frac{(\varepsilon_1-
\varepsilon_2)^2}{\pi a}\,.
\end{equation}
At the first time, this value for the Casimir energy of a dilute
dielectric ball has been derived in Ref. \cite{MNg2} by summing up the
van der Waals interactions between individual molecules making up the
ball ($\varepsilon_2 =1$). The
result (\ref{F}) was obtained also by treating a dilute dielectric
ball as a perturbation in the complete Hamiltonian of the
electromagnetic field for relevant configuration~\cite{Barton}. In
papers \cite{BMM,BM}, the value close to the exact one (\ref{F})
has been obtained by employing the uniform asymptotic expansion of
the Bessel functions.
In Ref.~\cite{BNP} the estimation of the Casimir energy of a
dilute dielectric ball has been done taking into account, as it is
clear now, only the second term in Eq.\ (\ref{EFN}). And nevertheless
it was not so bad having the accuracy about $35\%$.
\section{Conclusion}
In this paper the exact (in the $\Delta n^2$--approximation) value of
the Casimir energy of a dilute dielectric ball is derived in the
framework of the quantum field theory. The starting point is the mode
summation by making use of the contour integration in the complex
frequency plane. Unlike the other approaches to this problem, we do
not use the uniform asymptotic expansion of the Bessel functions.
The key point in our consideration is employment of the addition
theorem for the Bessel functions which enables us to do the summation
over the angular momentum values in a closed form. As a by-product,
it is shown that the role of the contact terms, at least in the
$\Delta n^2$--approximation, consists only in removing the linear in
$\Delta n$ contributions to the Casimir energy. They do not
contribute to the finite value of this energy.
\acknowledgments
The research has been supported by fund MURST ex 40\% and 60\%,
art. 65 D.P.R. 382/80. The work was accomplished during the visit
of V.V.N. to the Salerno University. It is a pleasure for him to
thank Professor G.\ Scarpetta, Drs. G.\ Lambiase and A. \ Feoli for
warm hospitality. The financial support of IIASS and INFN is
acknowledged. G.L. thanks the UE fellowship, P.O.M. 1994/1999, for
financial support. V.V.N. is partially supported by Russian
Foundation for Basic Research (Grant No.\ 00-01-00300), he thanks
Professor G.\ Barton for providing an electronic copy of his recent
preprint \cite{Barton-dis}.
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 4,428 |
{"url":"https:\/\/physics.aps.org\/articles\/v15\/s134","text":"Synopsis\n\n# An Exotic Fractional Quantum Hall State\n\nPhysics 15, s134\nThe even-denominator state appears in a 2D quasiparticle system, but researchers still can\u2019t explain its origin.\n\nAt low temperatures and in high magnetic fields, a 2D system\u2019s behavior is no longer governed by the kinetic energies of electrons. Instead, it is driven by electron-electron or hole-hole interactions, leading to exotic quantum phenomena such as fractional quantum Hall states. These states are commonly observed when only a fraction of an energy level or orbital is filled by carriers. Usually, the fraction has an odd denominator, however, although rare, even-denominator states occasionally appear at higher filling levels (for example, 5\/2), but their origins remain unclear. Chengyu Wang at Princeton University and his colleagues now report an unexpected even-denominator state in 2D gallium arsenide (GaAs), which could help to identify the origin of these rare states [1].\n\nThe researchers created a quantum well by sandwiching a 20-nm-thick layer of GaAs between two layers of aluminum arsenide. They designed the quantum well\u2019s energy band gaps to confine a high density of holes, which interact in 2D GaAs more strongly than electrons. After cooling the sample to about 20 mK, the researchers measured the resistance of the device while varying the carrier density and the strength of a magnetic field, which determine the GaAs layer\u2019s filling factor. Observing a specific set of resistances\u2014a local minimum along the current direction and a plateau in the perpendicular direction\u2014under conditions that corresponded to a filling factor of 3\/4, they confirmed the presence of this rare even-denominator state.\n\nWang and his colleagues suspect that the 3\/4 state emerges from interactions between magnetic flux and electrons and holes, but they say that further research is required to fully understand the state. Ultimately, better understanding could lead to applications in fault-tolerant topological quantum computing.\n\n\u2013Rachel Berkowitz\n\nRachel Berkowitz is a Corresponding Editor for\u00a0Physics Magazine based in Vancouver, Canada.\n\n## References\n\n1. C. Wang et al., \u201cEven-denominator fractional quantum Hall state at filling factor v = 3\/4,\u201d Phys. Rev. Lett. 129, 156801 (2022).\n\n## Related Articles\n\nQuantum Physics\n\n### A Better Production Line for Atom Arrays\n\nA new algorithm can organize hundreds of atoms into pristine patterns\u2014including a honeycomb lattice, a fractal called a Sierpi\u0144ski triangle, and a lion\u2019s head. Read More \u00bb\n\nOptics\n\n### Hitting Rewind on Quantum Processes\n\nA new technique for reversing the evolution of a quantum system could become a key tool in quantum information technology. Read More \u00bb\n\nCondensed Matter Physics\n\n### Allegations of Scientific Misconduct Mount as Physicist Makes His Biggest Claim Yet\n\nCondensed-matter physicist Ranga Dias and his colleagues reported on Tuesday the discovery of a room-temperature, near-ambient-pressure superconductor; Dias is also being accused of committing scientific misconduct, including data manipulation and plagiarism. Read More \u00bb","date":"2023-03-26 00:26:27","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 2, \"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\": 0.3785536587238312, \"perplexity\": 2031.4817960198748}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2023-14\/segments\/1679296945376.29\/warc\/CC-MAIN-20230325222822-20230326012822-00058.warc.gz\"}"} | null | null |
Q: C# await statement in return function What is the purpose of the await keyword in the following code?
Does it create new thread for PostAsync function and then wait until that thread completes to return the await result?
Or does it not wait?
In the code below, would it be possible for Pins.Add function to execute before the firebase.PostAsync call is completed?
public async Task AddData(int id, string description, DateTime postdate, string usernames)
{
await firebase
.Child("Entries")
.PostAsync(new Entry() { id = id, description = description, postdate = postdate, username = username });
}
public MapPage()
{
AddData(1, result, DateTime.Now, deviceId);
customMap.Pins.Add(new CustomPin
{
..//
});
}
I cannot remove the async keyword from definition from AddData, so if this is incorrect, how would I fix this? The other option is to remove both keywords, would this still work with FireBase PostAsync call?
public void AddData(int id, string description, DateTime postdate, string usernames)
{
firebase
.Child("Entries")
.PostAsync(new Entry() { id = id, description = description, postdate = postdate, username = username });
}
A:
What is the purpose of the await keyword in the following code?
It conceptually pauses the execution of the current method, until the awaited-thing completes.
Does it create new thread for PostAsync function and then wait until that thread completes to return the await result?
No, await itself does not create any new threads, and it does not really wait. It just looks like it does.
Or does it not wait?
Yes, it does not cause the thread to wait in the 'does it block?' sense. However, execution of the rest of 'AddData' method is paused. Yes, I've said 'AddData'. Execution of 'MapPage' is not affected. That may be a bug in your code (explained below).
In the code below, would it be possible for Pins.Add function to execute before the firebase.PostAsync call is completed?
Yes it certainly is.
I cannot remove the async keyword from definition from AddData, so if this is incorrect, how would I fix this?
AddData needs to be marked as async and needs to return a Task because its implementation uses await keyword. Using the await keyword is not a must. You may handle the Task returned by PostAsync in some other way. But when using await keyword, you MUST be in async-marked-Task-returning method.
If by "fix this" you mean you're concerned that Pins.Add should not execute before PostAsync completes, then you have to propagate the async-await pattern and make the MapPage "wait" for the result of AddData:
public async Task MapPage()
{
await AddData(1, result, DateTime.Now, deviceId);
customMap.Pins.Add(new CustomPin
{
..//
});
}
That's the bare minimum to answer your questions, but I think you may find a few more notes helpful.
As you may have noticed, if you HAVE to await the AddData, then it may mean that the caller of MapPage will have to await the MapPage as well. And so on. Maybe somewhere up above the call stack you will have the freedom to not await or to work around it in some way. But in general, it propagates up the call chain. Like an exception. It's not one of course, but think of it: if your current method has to "wait for something" then the method above.. ..probably has to be able to as well. At least if it wants to know the result of your current method - it has to wait until your current method actually produces that result, right? So it has to propagate as long as the result is important to the caller.
To explain how that happens: await splits the code in half, and POSTPONES the other half.
public async Task AddData(...)
{
await firebase
....
.PostAsync(...);
int x = 5;
}
becomes something like:
public async Task AddData(...)
{
Task tmp = firebase
....
.PostAsync(...);
Task continued = tmp.ContinueWith( continuation );
return continued;
}
private .. continuation()
{
int x = 5;
}
Note how there's no wait/sleep/etc. However, the int x=5 is delayed, until the original task returned from PostAsync notifies everyone that it has just completed.
Note how original task from firebase gets a 'continuation' chained to it, but a different task is returned: the continuation-task.
This means that the await (if you add it there of course) in MapData awaits not for just the firebase task, but for firebasetask+contination.
If there were more awaits in the AddData method, there would be more slices, more chained continuations, but the task that is eventually returned to the caller covers it all.
Now, any awaits in the MapData would do the same: it would split the code, register a continuation, and return the resulting task for someone to observe it.
The caller will get a Task again. But the caller doesn't realy HAVE TO await it. The called may run a thread that will await for the task. The caller may attach a continuation. Or put the task onto some queue and hand it off for someone else to handle. I mean that the async/await look like 'contagious disease' that always propagates upwards, but you can stop at any time it if you really need.
Also, as you already noted, the caller of AddData does not have to await that task, if the caller is not worried about the order of operations further down in the code. If the Pins.Add is allowed to run before firebase task completes, it's fine to not await for AddData. That's why not-awaiting an async method is not a compilation error. You will probably get a warning though, because the AddData returns a Task and that Task is ignored (not awaited, not stored, not chained .ContinueWith etc).
A: This should work...
public async Task MapPage()
{
Task t = AddData(1, result, DateTime.Now, deviceId);
await t;
customMap.Pins.Add(new CustomPin
{
..//
});
}
Continuation...
Mi Po follow up question::
would this also work as a solution?
public async Task MapPage()
{
await AddData(1, result, DateTime.Now, deviceId);
customMap.Pins.Add(new CustomPin { ..// });
}
Yes it would work...but in your particular case your doing an http post and you need (IMO) to check the result (status code) to determine what to do next. Something along these lines...
public async Task MapPage()
{
HttpResponseMessage result = await AddData(1, result, DateTime.Now, deviceId);
if (result.IsSuccessStatusCode)
{
customMap.Pins.Add(new CustomPin { ... });
}
else
{
...
}
}
You would also need to change AddData to return the responce
| {
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Researchers of Modiran Tahlilgar Sepahan Company have designed and commercialized animal husbandry systems optimization software
Researchers of Modiran Tahlilgar Sepahan Company have designed and commercialized animal husbandry systems optimization software.
According to the Science and Technology News Agency of Isfahan, in an interview with the reporter of the news agency, managing director of Modiran Tahlilgar Sepahan Company stated: "Researches and studies showed that all industrialized and advanced countries in the world have started to form organizations to help the agriculture sector in order to profit from this sector, which serves as the basis for these countries' food security. These organizations are commonly known as DHI. All analyzes of these organizations are based on information collected from the agricultural and animal husbandry units. Due to the lack of powerful software in Iran, Modiran company initially developed a comprehensive herd management software and launched the flow of information to relevant organizations such as the Animal Breeding Center (ABC) of Iran and Agriculture Jihad Research Center, and then, with the help of the Mostazafan foundation, it prepared and implemented Actual Cost Software in the field of livestock (Dairy cows, sheep and goats).
Why and how to design the software
Mohammad Vakili continued: the design of the basic software was done following the announcement of the needs by one of the largest dairy farms in the country (Foode dairy farm) with about 5000 heads of cattle, and based on scientific discussions with the help of experts such as Dr. Moghimi, one of senior experts in animal husbandry in Iran, Dr. Safahan, an embryo transfer specialist, and qualified managers such as Engineer Jalili Nejad, managing director of Foka Company, Engineer Ghani, development manager of Mostazafan Foundation, and Dr. Ghorbani, former head of Isfahan University of Technology.
He further argued that the software, in addition to comprehensiveness in the input and analysis of information, such as reproduction, milk, genetics, warehouse flow, deals with analyzes such as calculations in different sectors or predictions in the future. Also, in financial discussions, it performs quite accurate calculations in the RIAL currency.
Mr. Vakili added, "The software is designed for use in three main sections of herd management, nutrition management and actual cost management. The herd management software is used to identify the livestock and record related operations. The livestock nutrition management software controls all livestock feed-related processes from the feed formulation to the feed consumption of each livestock (analysis related to consumable materials, livestock and time). The actual cost software can also be used to calculate analysis related to profit, livestock, and product (e.g., milk or calf). The designer of the software further described the capabilities of the software based on the results including the ability to calculate the effect of light on livestock fertility, the ability to compute livestock consanguinity with a precision of up to seven decimal digits and the ability to create knowledge reservoirs in holdings.
Commercialization of software and its economic efficiency
"Currently, more than 1,400 companies, holding companies and cooperative companies nationwide, have been users of this software which is installed on a server and they receive the results of their analyzes," said Mr. Vakili, pointing out the significant success of this software in commercialization. He went on to provide a sample of the economic results of using this software and said: "It is worth mentioning that the use of this software has been accompanied by an increase in milk production from 1 to 20 tons, and the economic value of this increase is determined when considering the price per kilogram of milk that is at least 1000 tomans. It also reduces the costs by reducing inoculation costs from 5 times to 2 times. For example, if the cost of each inoculation is at least 70,000 tomans, an average of 50 million tomans per year would be saved in a herd with 1,000 heads of cattle. In the nutrition section, the use of software provides cost saving of up to about 12 million tomans per month and the reduction in costs. Also, the application of this software has been reported by one of the users by reducing the amount of waste from 3 tons to 30 kilograms.
Software development with the topics of Business Intelligence and Artificial Intelligence
Mr. Vakili remarked: "This software has entered the stage of commercialization, and according to the existing needs in the country, its development on mobile phones has taken in to consideration in line of analyzes."
He added that the development and completion of this software is done with help of other topics such as Business Intelligence (BI), which is on the agenda for the first time in Iran and Artificial Intelligence (AI) that is being in the launch phase. It can be expected that all experts will be able to contribute to analytical issues of livestock farmers via the Internet, and universities can also use simulations of a livestock unit in various fields of research in university environment.
Mr. Vakili reminded: By the results of two topics of business intelligence and artificial intelligence, the macro policies of the country could be helped in areas such as drought and passive defense of foodstuffs. At the same time, using this system as a result of low prices is a great help to livestock farms that do not have a high level of funding.
He continued: "The software has a simple design in Persian language and by implementing it on mobile phones; livestock farmers will be able to enter the information, obtain the results of data analysis, and also receive and use the recommendations and solutions of the leading experts of the country.
Mr. Vakili stressed the existence of cross-border clients of this software and stated: Although the design of the basic software has been done in Persian language, several versions are being used by countries familiar with Persian language, and since several countries such as Russia, Turkey and even Italy have requested for it, its development and presentation will be done by adding language change feature in the software.
He emphasized that the implementation of the topics of business intelligence and artificial intelligence in the livestock breeding industry has been in the monopoly of industrial and advanced countries such as America, Germany and Russia. By completing these two topics and implementing it on the basic software, Iran will also be ranked among the few countries in Animal husbandry industry.
Mr. Vakili highlighted the potential of providing services and entering currency to all over the world, provided by the software completed with two topics of business intelligence and artificial intelligence. He said that four companies in the United States are active in this field and have been able to provide services to 150 countries around the world by using two topics of BI and AI. The same potential exists with this software in Iran, which if supported by the government, it can quickly reach the markets of the region, and in addition to entering currency from other countries, it simply can expand its study resources in the countries of the region. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 4,127 |
Plan ahead – get your Subway replacement bus ticket now!
Posted 6 June 2016
In advance of the Subway suspension from 2 to 31 July, passengers can now purchase a £40 replacement bus service ticket. This ticket offers you unlimited use on all Subway replacement buses throughout the suspension period.
The ticket is available to buy in advance from Subway ticket offices from 3-30 June.
During the four-week period, a comprehensive replacement bus service will be provided for Subway passengers who are encouraged to "turn up as normal" and we'll get you to your destination.
The bus service follows the Subway route with additional direct services to the city centre from key stations, including our Park and Ride facilities at Bridge Street, Kelvinbridge and Shields Road. Services will be every five minutes at peak times and every ten minutes during off-peak.
The work being carried out is an essential part of the Subway's modernisation and involves a full replacement of the section in the tunnels known as "ramps and turnouts".
This section connects the surface depot at Broomloan with the tunnels and was installed almost 40 years ago and now must be fully replaced to ensure a reliable Subway service for future operation.
We've introduced a simple flat fare structure for the replacement bus service of £1 single journey / £2 return and £2.50 all day ticket. Alternatively, you can purchase the £40 ticket to cover all your bus journeys during the suspension.
All information on the Subway suspension and the replacement bus service is available at: www.spt.co.uk/suspension | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 1,145 |
CAST's engineering team develops cores, subsystems, and reference designs with experience gained from helping hundreds of customers solve their IP and system challenges. We also cultivate enduring relationships with technology experts around the world, and work with them to give you the very best IP in every application area we cover.
The sales and support pros within CAST have helped customers choose and successfully deploy IP for over twenty years. Together with our regional sales partners, this team will make sure you have an excellent IP experience, from your first consideration of what core you might need through IP integration and testing and on to the successful completion and shipping of your finished product.
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We employ IP product standards and business practices refined twenty-three years of successful operation, and have helped hundreds of customers ship millions of product units.
popular peripherals and interconnects; and the widest array of image, video, and data compression cores available anywhere.
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Verification IP (VIP) is also available for a growing number of cores.
Learn more at our website, or contact us any time. | {
"redpajama_set_name": "RedPajamaC4"
} | 4,065 |
Q: Does breaking library/list security inheritance also break it's items inheritance? We need to break inheritance on a document library. Some users of a site should have read only to document library 1 while some users should have contributor rights to document library 2 (both within the same site). If we break inheritance on these libraries, will there be any effect on the items contained within? I read from an MVP blog that breaking inheritance at the library level will indirectly break inheritance on all item as well. Is this true? Hopefully this in not the case as i have read that item level security should be avoided at all costs. Any help would be appreciated.
Thanks
A: When you break permission inheritance at library level, all items in the library will have same permissions as your document library. At this point, you are NOT using item level security. When you check the permission of document, it would be "inheriting parent (which in your case is Document Library containing the document)". This is a very valid scenario and there is nothing wrong here.
You are considered to have item level security only when you break the permission inheritance again at document level (the lowest level at which unique permissions could be used). You will have performance impact if all (or majority) your documents have unique permissions (different than the document library). If you find yourself in this situation, you may need to think about alternative solutions
A: Agree with @Ashish. Would further like to add that I also faced same problem and to solve it I had to look for an addon which gives either item level or column level security. Column level permission level can be solved by a third party addon. But I am unable to find a solution for Item level security.
| {
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Stoddert PTO – Welcome Back!
The Box Tops For Education program is running a summer program for e-box tops. If you buy any 5 participating General Mills Box Tops products, you'll earn a 20 eBoxTops™ bonus for Stoddert! Click here for more information and details on submitting your receipt. This bonus goes from 7/20/15 until 9/4/15.
The volunteer-led PTO Communications team recently updated the Stoddert website. If you have any ideas or would like to be a content author, let them know at communications@stoddert.org. | {
"redpajama_set_name": "RedPajamaC4"
} | 6,443 |
Кру́тов — русская фамилия, женская форма — Крутова.
Известные носители
Крутов, Алексей Владимирович (род. 1984) — российский хоккеист.
Крутов, Андрей Дмитриевич (род. 1977) — российский политик.
Крутов, Василий Васильевич (род. 1949) — начальник Антитеррористического центра СБУ.
Крутов, Виктор Иванович (род. 1953) — советский и российский хоккеист и тренер.
Крутов, Владимир Евгеньевич (1960—2012) — советский и российский хоккеист.
Крутов, Геннадий Георгиевич (1933—1995) — советский хоккеист и тренер.
Крутов, Георгий Алексеевич (1902—1989) — советский геолог.
Крутов, Григорий Максимович (1894—1938) — советский государственный и партийный деятель.
Крутов, Игорь Николаевич — советский генерал-майор авиации, начальник Оренбургского высшего военного авиационного училища лётчиков (1980—1982).
Крутов, Пётр Максимович (1923—1988) — Герой Советского Союза.
Крутов, Сергей:
Крутов, Сергей Алексеевич — советский театральный режиссёр, художественный руководитель Уфимского русского драматического театра (1950—1958), главный режиссёр горьковского Театра комедии (1958—1961) и Калужского областного драматического театра (1961 — ок. 1965).
Крутов, Сергей Николаевич (род. 1969) — советский и российский футболист.
См. также
Крутовский
Крутовских
Крутово
Крутовка | {
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} | 1,183 |
**Begin Reading**
Table of Contents
A Preview of _Ruthless_
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_To Fran, a true Southern lady._
_Revenge... its delight is murder, and its end is despair._
—Johann Christoph Friedrich von Schiller
#
_9911 Conroy Road, Monday, August 9, 10:45 p.m._
The room went as black as a tomb.
"Oh, shoot." Jess Harris heaved a beleaguered sigh. She tossed the now-useless hair dryer onto the bed. This was the second night in a row the power had gone out on her. "One of the perks of living in a historic—aka _old_ —home," she muttered.
Reaching into the darkness to prevent any collisions, she shuffled across the room. She hadn't been here a week, and small as the place was she still didn't know it by heart. In her defense she was hardly ever home. A cop's life was rarely calm or routine.
Where the hell had she left that flashlight her landlord had given her? By the kitchen sink? On the table? Wait... she squinted, trying her best to see as her eyes focused in the darkness. Maybe she'd stuck it out of the way on top of the fridge. One of these days she had to get organized.
Deciding the vintage appliance was the most likely place, she felt her way there and ran her hand as far back and over the top as she could reach. A smile of triumph slid across her lips as her fingers closed around the plastic flashlight.
She nudged the switch with her thumb and a beam of light cut through the blackness. Some of the tension bunching her shoulders ebbed. "Hallelujah."
Now what?
At this hour, chances were Mr. Louis, her landlord, was in bed. It wasn't as if she really needed the lights back on since she'd planned to hit the sack as soon as her hair was dry. Jess ran a hand through the still-damp ringlets. But, she did have food in the fridge that needed to be kept cold. Besides, this was the second time that breaker had gotten thrown by her hair dryer. According to Mr. Louis, that wasn't supposed to happen. He'd promised to call an electrician today. She'd gotten home late, so there'd been no opportunity to ask him if the problem was fixed.
"Obviously not," she muttered as she tapped her thigh with the flashlight, sending its beam back and forth over the wood floor. "Well, hell." No use standing around here putting off the inevitable.
There was just no way around it. She'd have to go down to the garage and take care of the breaker herself. Resetting the damned thing wasn't a big deal. Not really. After getting Dan out the door last night, she'd hurried through a shower and switched on her hair dryer and _poof_ the lights had gone out—just like tonight. Thankfully her landlord had still been puttering around in his kitchen then, so she'd knocked on his door.
He'd explained that her apartment and the garage were on a subpanel, which also clarified why there was no service disruption in the main house when her lights went out. Inside the garage last night, she'd carefully watched him reset the breaker and even remembered which one it was. Fourth from the top.
"Easy as pie." Jess shoved her cell phone into the pocket of her worn-comfortable robe and strode to the door. She could do this without bothering her elderly landlord.
On the deck outside her door, she verified that Mr. Louis's house was indeed dark before descending the stairs. She hoped the garage side door wasn't locked. That could be a problem. Dammit. She hadn't thought that far ahead. People generally locked all doors at night. Then she'd have no choice but to pester her landlord.
"Don't borrow trouble, Jess."
At the side door, the knob turned without resistance and she was in. Thank the Lord. She roved the flashlight's beam over the cavernous space to get her bearings. Smelled like wood shavings and vaguely of oil. Last night she hadn't really noticed. She'd been too focused on how to get the power back on in her place. This go-round, her curiosity got the better of her.
There was just one vehicle in the garage, a classic black Cadillac Eldorado. That she had spotted last night. The car fit the man, she decided. The thought of Mr. Louis and his horn-rimmed glasses behind the wheel of that big, formidable-looking automobile reminded her of a character straight out of _The Sopranos_. Like the moneyman or the bookie.
Along the back wall, a workbench and stack of wood in varying sizes awaited the next DIY project. Exposed stone walls were lined with shelves on the other two sides; all were neatly organized with cans of paint and tools. The brush lying across the top of a can of white paint had her remembering and wondering about her landlord's sudden decision to freshen the door to her apartment the other evening. She should ask him about that. Not that it really mattered at this point to the homicide case she had just closed, but he needed to understand that in her line of work sometimes trouble followed her home. And if some jerk decided to leave her a personal message, it was essential that she see it—all of it, no matter how unpleasant—before it was whitewashed.
The sooner she made that point clear to him the better. Maybe tomorrow when she spoke to him about the electrician.
Jess padded across the rough concrete floor and settled the light on the gray metal door of the breaker box. She opened it and sure enough breaker number four from the top had jumped into the _off_ position. "So you don't like my hair dryer. Is that it?" She reached up and snapped the breaker into the _on_ position. She watched for a moment to ensure it wasn't going to repeat its unruly behavior. When the breaker remained in the proper position, she closed the door to the box and turned to go. She stubbed her toes and cringed.
"Damn, damn, damn!" She hopped on one foot while she stretched the injured toes. Aiming her flashlight at the offending object, she glared at the large wooden box. Looked like a homemade toolbox or storage container. Another of her landlord's little projects. The man appeared to be building, patching, or painting something every waking hour. If she was that bored when she got old, she hoped someone took pity and gave her cold case files to analyze—anything to keep her away from power tools and paintbrushes.
Something on the floor just to the left of the annoying box prompted a second look. The floor was uneven, not smooth at all. Looked as if it had been poured in sections in different decades. But the small round object that snagged her attention glittered in the light... _silver_. Jess leaned down and picked it up. A ring. Not just a ring... a _wedding band_.
She couldn't read the inscription since her glasses were upstairs. The ring made her think of the one she had stopped wearing recently, only this one was larger, a man's maybe, and hers had been gold—
The garage filled with flickering lights.
Her breath stalled somewhere in the vicinity of her throat and she squinted at the flood of harsh fluorescent glare.
"Is there a problem, Chief Harris?"
Mr. Louis, her inordinately patient landlord, waited at the door she'd entered and left standing wide open maybe two minutes ago.
_Uh-oh_. Busted. So much for not troubling the man. It was a wonder he hadn't barged in toting a twenty-gauge. This was Alabama. Folks took three things very seriously: religion, football, and the right to bear arms. Not necessarily in that order.
Jess shoved her hand, along with the ring, into her robe pocket. "Just that breaker again." She smiled, knowing damned well she must look as guilty as sin. "I should've known better than to use my hair dryer until I checked with you. I hope I didn't disturb you." She gestured to the breaker box. "I thought I'd try to take care of it myself this time. It's so late and all." She clicked off the flashlight and waited for a reaction. He didn't exactly look angry. Maybe frustrated or unsettled.
"The electrician will be here in the morning." His lips shifted into a smile, banishing the less pleasant expression he'd been wearing. "I apologize for the inconvenience."
"No trouble." Truth was she felt like a nosy Nellie. This man had kindly offered his garage apartment when she had no other place to go—besides her sister's, and that was just not doable for a whole host of reasons—and here she was treating him as if he were a suspect. Dan's paranoia about her renting from a stranger was evidently rubbing off.
No, that wasn't fair. She couldn't really blame it on Dan. She'd always overanalyzed people and situations. She walked straight up to her landlord and held out the ring. "I found this on the floor."
He accepted the band, turned it over in the light. "Why, thank you. I'd wondered where it had gotten off to."
She wasn't about to ask the questions pinging at her. A certain level of nosiness came naturally after twenty years in the business of criminal investigation, but he might not understand or appreciate that undeniable and sometimes bothersome fact.
Before she could apologize again for the trouble, he said, "You have company."
At this hour? Surely Dan hadn't come back. He'd taken her to dinner earlier this evening and they'd discussed the ongoing investigation into the bomb that had been planted in the BPD vehicle she'd used last week. They'd gone over the business about Captain Ted Allen. The head of BPD's gang task force had been missing for going on seventy-two hours now. The close timing of the vehicle tampering and a cop going missing had everyone on edge. Especially since the missing cop had been seen in the vicinity of the vehicle in question before going AWOL. She booted the idea that a fellow cop could have wanted to get even with her that badly. The fact that she'd had a rather tense conversation with Allen the last time she saw him was amping up her guilt factor. It shouldn't. Dammit! Barging into his investigation into the Lopez family drug business here in Birmingham had been the right thing to do.
_Don't think about it, Jess._
"Company?" She started for the door where Louis waited. "Must be police business." It had better be. Knowing Dan, he'd returned with one more reason she should be wearing full body armor at all times or hiding behind him.
The man took overprotective to a whole new level, particularly with the bomb scare and Allen's abrupt disappearance.
He really had to get past this obsessive need to see after her every minute. Soon! If he was at her door again, she was going to give him what-for. For heaven's sake it was Monday and they were having enough difficulty already leaving their personal relationship with the weekend. That was the deal they made when she accepted this position. During the workweek, he was the chief of police and she was one of his deputies. No exceptions.
She'd been back a month and that rule had gotten broken with tonight's dinner and dessert that segued into getting naked afterward.
God, she had to get this mess that was her personal life in some sort of order.
_Starting right now_ , she promised herself silently.
"Sorry again," she said to Louis. "I'm sure you weren't expecting all this middle-of-the-night activity when you offered to rent the apartment to me."
"Your presence keeps life interesting, Chief Harris." With that he stepped aside for her to exit the garage.
"You should call me Jess," she suggested. It was silly for them to be so formal, considering she was living on his property.
He ducked his head in one of those shy nods she'd come to associate with the older gentleman. "Of course, and you should call me George."
"Well, George, thank you and good night." Jess gave him a nod as she walked past him.
"Good night, Jess," he called after her.
She almost paused and turned around at the way he said her name. Familiar almost, like they'd known each other for a long time. Instead she kept going, slowing only to check the driveway. He was right about her having company but thank God it wasn't Dan.
A white sedan she didn't recognize sat in the drive behind her Audi. The slightest inkling of trepidation trickled through her veins as she rounded the rear corner of the garage and peered up at the top of the stairs leading to her apartment. The light outside her door illuminated a woman who knocked firmly, most likely not for the first time. She wore khaki slacks and a matching blouse. Her gray hair was tucked into a neat bun. Her bearing looked vaguely familiar. As Jess watched, the woman reached up and knocked again.
"Hello," Jess called as she started up the stairs.
Her visitor turned toward the sound of Jess's voice and recognition jarred her.
"Ms. Frances?" Of all the people... "Is that really you?"
Frances Wallace had been Jess's ninth-grade English teacher. She was unquestionably the only reason Jess didn't quit school the day she turned sixteen. In truth the woman had been the closest thing to a mother in Jess's life since she was ten. What in the world was she doing here? Jess hadn't seen her in ages. She hated to admit it but she hadn't even been sure the woman was still alive.
Yet here she was.
"The one and only," Frances confessed. "I've been following the news about you since you returned to Birmingham," she announced as Jess climbed the final step. "You always did do things with panache, young lady."
It had also been ages since anyone had called Jess a young lady. She liked the sound of it. "I had an excellent teacher."
Frances Wallace was a genuine character. No one got anything over on her and she did everything—including her teaching—exactly the way she wanted, the rules be damned.
For one long moment Jess got so caught up in the memories she lost all sense of decorum. "Come in, Ms. Frances. Please."
She opened the door and ushered her former teacher inside. "Have a seat." She gestured to the new-old sofa she'd discovered at a thrift store on Saturday. "Would you like coffee?" She should have had wine to offer but she and Dan had finished it off before getting naked. A flush of embarrassment went through her at the idea of even thinking about sex in front of Ms. Frances.
Her former teacher took a moment to survey the apartment. Jess felt that same heat rise in her cheeks as her gaze lit on the tousled sheets of the bed.
"I'm still getting organized—"
Frances turned to Jess then, and the unabashed fear on her face stole the rest of what Jess was about to say.
Without a word of explanation, Frances drew her into a fierce hug. "I need your help, Jess," she whispered with the same ferocity as her embrace. "I think I'm about to be charged with murder."
#
_Vestavia Village, Tuesday, August 10, 2:01 a.m._
Despite the lack of lights and sirens, within half an hour of the police's arrival, the residents of Vestavia Village were gathering in the food court for complimentary coffee and the promise of a briefing. Excited chatter and curious stares accompanied their meandering path through the solarium that served as a lobby. Not a single member of the geriatric crowd paid the slightest bit of attention to Jess and her team. They were far too busy attempting to get a glimpse of the _body_.
Word had already spread that someone was dead.
Jess couldn't exactly fault their curiosity. These folks had lots of time on their hands, and the fact was no one was more curious about the dead than her. Maybe because her parents died when she was so young. Jess didn't really remember when her interest was stirred but that morbid curiosity made her very good at her job. She turned back to resume her survey of the crime scene. They'd cordoned off an area that extended along the corridor leading from the solarium to the offices of the administrator and his staff up to and including the main entrance of the facility. With two ways to reach the administrator's office—via the main entrance and the solarium lobby—it was necessary to protect both until any evidence was recovered.
The timing of the call from dispatch, not fifteen minutes after Frances whispered her stunning announcement in Jess's ear, would have been freaky bizarre except that impeccable timing had always been another of her favorite teacher's notable attributes. The man Frances suspected she would be accused of murdering was indeed dead. Which was no coincidence since Frances had found him that way before rushing across town to pay Jess an impromptu visit.
Further proof that Jess drew killers like bees to honey, except Frances Wallace was no killer. Her explanation of tonight's events was a little scattered and a lot thin but Jess had gotten the gist of things. Even at seventy-five, the woman wasn't going to be hoodwinked by some whippersnapper—said whippersnapper was, unfortunately, the murder victim.
Since her options were limited, Jess had brought Frances to the crime scene with her. She was ensconced in the library in the company of one of Birmingham PD's finest. Not that she was going anywhere, but Jess had no intention of letting her talk to anyone else until she got to the bottom of exactly what had transpired.
The janitors who found the victim and called 911 were sequestered to a staff lounge on the east end of the building where Detective Lori Wells was taking statements. The crime scene unit techs had arrived and were documenting and gathering evidence in and around the primary scene. Lieutenant Valerie Prescott was monitoring that activity while Officer Chad Cook wandered amid the residents in the dining hall. His job was to take note of anyone who appeared nervous or visibly out of sorts. BPD uniforms were searching the grounds. The deputy administrator of the senior living facility had arrived and was waiting to give his statement as well. Jess had given him a few minutes to get the residents settled.
Someone from the coroner's office was en route. Wouldn't bother Jess one bit if Sylvia Baron got the case. The snarky doctor was spot on in her assessments, and... Jess was curious about her—or more precisely her sister, a former Mrs. Daniel Burnett. And, if she were completely honest with herself, Jess kind of liked Sylvia. They were friends... sort of.
"Chief," Sergeant Chet Harper said, drawing her attention back to the reason she was here. "According to his personal secretary, the victim, Scott Baker, remained in his office last night after she and the rest of the staff left for the evening. No meetings were scheduled and, to her knowledge, he wasn't expecting any visitors. She says it's not unusual for him to work late."
"So," Jess said, following Harper along the corridor that led back to the administrator's office, "between half past five and quarter to eleven, Baker was here alone except for a visit from the Grim Reaper. The janitors came in to clean the office and found his body. Called nine-one-one. And here we are. Anything on the surveillance cameras?"
The question she kept to herself was: _Is a little gray-haired lady showcased in any of the footage?_
Harper shook his head. "The surveillance system is digital and motion activated. It generally runs twenty-four-seven, which would've shown anyone entering or exiting the facility. But the system was turned off just before six last night. Pete Clemmons, the deputy administrator, insists that only Baker could have done that. Not even Clemmons has the code. And no one outside the security company has the ability to delete stored data in the system."
Jess crossed the threshold into the administrator's office for the second time since her arrival. The forensic folks wouldn't start in here until after she'd had her look and the coroner's office had done their thing.
The body lay on the floor in front of the broad mahogany desk. That he was in front of the desk rather than behind it suggested to Jess that he'd been engaged in intimate conversation with his visitor. Scott Baker's suit jacket hung on a bronze coat rack in the corner near the door. The white shirt and navy trousers showed a day's wear. A small pattern of blood splatter soiled the left shoulder of his shirt. His striped tie and the first two buttons of his shirt were loosened as if he'd had reason to be exasperated or maybe he'd had a long day. Possibly his visitor may have pumped up his frustration level.
Baker's dark hair was matted on the left side of his head where it appeared two violent blows to the temple area had taken him down. Probable fractures and certainly internal hemorrhaging had ensured he didn't get back up.
The scenario that he had tripped and fallen went out the window pretty quickly as far as Jess was concerned. The desk—and the table, flanked by two chairs—was clean of blood and tissue that would surely have been left behind had he hit his head there. Nope, Scott Baker had not accidentally gotten that lethal injury. His most likely right-handed visitor had given him a hell of a wallop upside the head, then another for good measure, before walking away.
The victim had been dead a few hours. Rigor had a good start. Jess eased into a crouch to get a better look at the damage to his temple area. "Did you find anything that might have been the murder weapon, Sergeant?"
"If it's still in this room," Harper offered, "it's been wiped."
Jess pushed to her feet and mentally inventoried the potential weapons. A crystal paperweight was too roundish to have caused the gouges in the scalp. The stacks of manila folders may have given the man a headache but they hadn't killed him. Framed photos of a young wife and son weren't heavy enough. Besides, a blow like that would have broken the glass. With gloved hands, she lifted and gauged the weight of an Administrator of the Year Award.
"This feels solid enough." Jess studied the marble base. Like Harper said, no sign of blood or tissue but the sharp corners would have done the trick. She squatted next to the victim again and had another look at his wounds. "The corner of this base could be it." _If_ the killer hadn't taken the murder weapon with him.
"I'll have one of the techs bag it as soon as the ME has a look," Harper agreed.
Jess settled the trophy on the desk and dusted her gloved hands together as if that aspect of her work was done. Notification of next of kin was still a no-go. According to the deputy administrator, Baker's wife and son were down in Mobile for a final getaway before school started. That would need to be confirmed to clear the spouse.
Jess moved around behind the desk and opened drawer after drawer. More files. Sharpened pencils and a stash of peppermints. Her attention returned to the framed photos. Young, beautiful family. She'd checked his wallet and driver's license. The man lived in one of Birmingham's wealthiest neighborhoods. The car keys in his pocket belonged to a Jaguar that was parked in his slot out front. The school uniform the young son wore in one of the photos told Jess he attended Birmingham's most prestigious academy.
However good life was for Scott Baker and his family, someone had wanted him dead and that someone had managed to get the job done. In light of the after-hours timing and the shutting down of the surveillance part of the security system, Baker had not only known his final visitor quite well, but he'd also been anticipating the visit. Could be a village resident? Frances Wallace's image taunted her. She couldn't have done this. Sure would have made Jess's job a lot easier if that video surveillance had been left on.
"Why in the world did you turn off the video surveillance, Mr. Baker?"
"If he answers you," an irreverent female voice announced, "I've wasted my time coming here."
Jess turned to greet the medical examiner. "Looks like we'll be working together again this week, Dr. Baron."
"I've survived worse." Dressed in a color-blocked sheath of dove gray and burgundy with open-toed stilettos in a deeper shade of gray, Sylvia rounded the desk and crouched next to the victim.
Maybe the idea that they were sort of friends was a bit premature. Before Jess could levy a witty comeback, Sylvia asked, "You get settled in your temporary apartment?"
"I did. Thank you for asking." The belted ivory dress, her favorite, Jess had opted to wear for this middle-of-the-night outing suddenly felt like a flour sack compared to the sleek-fitting one Sylvia wore. Then again, it might not be the dress. The woman was gorgeous, tall and statuesque. Things Jess would never be.
"Carrie Bradley mentioned she saw you and Dan out shopping on Saturday."
"Carrie Bradley?" Jess didn't know the name. On Saturday, Dan, Chief of Police Burnett—her boss, she amended—had taken her to a few local thrift stores in search of stuff for her apartment. She'd found a surprisingly nice sofa and chair, along with a coffee table, a chest of drawers, and a bedside table. For now, she was set.
"Carrie's redecorating her master bedroom," Sylvia explained. "She donated everything in the room to the Second Life thrift store. She saw you there."
"Oh." Great. There was nothing like having Burnett's uppity friends know that she shopped at the same place they donated. "That's nice," Jess said with about as much enthusiasm as the guy on the floor had for his current predicament. "I'll have to remember that next time I redecorate." She could redonate the stuff. Ha-ha.
Sylvia made a noncommittal sound. "I guess you found everything you needed."
"For now, yes." No point going overboard with the decorating since she didn't know how long she'd be living in the garage apartment. Not that she was in any hurry to start house hunting. Her house in Virginia was still on the market and she needed the cash from that sale before going more deeply in debt. Besides, the elderly man who was currently her benevolent benefactor seemed nice enough. Good, trustworthy landlords were hard to find. This one went to church every Sunday. Her sister told her so.
That reminded Jess, she should check in with Lily to see how she was feeling. Waiting on the results of all those tests to determine what was going on with the crazy symptoms plaguing her was driving them both crazy. Not to mention Jess was also supposed to drop by their estranged aunt's house to pick up that medical history she'd compiled. The weekend had slipped by and Jess had completely forgotten.
Or maybe she'd forgotten on purpose. Seeing her aunt again ranked about as high on her looking-forward-to list as getting a mammogram. Why she even referred to the woman as her aunt was a mystery. Lily was the only family Jess had. End of story.
"I was the new kid on the block at the coroner's office when his sister died," Sylvia said, her attention on the victim as she measured the body's core temperature.
Another of those deep frowns puckered Jess's forehead as she elbowed aside the distracting thoughts of her sister and Dan's snobby friends. She rubbed at the creases with the back of her hand. "Whose sister?"
"Your new landlord's. He took care of his sister until she died. She was a total invalid. MS, if I recall correctly."
Burnett had told Jess that Louis hadn't been married. Lily had gotten the part about him being a widower wrong. Based on what Sylvia had just told her, Lily probably thought the sister had been his wife. Not that it mattered to Jess but Burnett had insisted on doing a background check. He didn't like the idea of Jess living over a stranger's garage. Which was ridiculous. Most any landlord in the city would be a stranger to her.
Wait a minute. The frown was back. If Mr. Louis had never been married, who owned the ring she'd found in his garage? Had his sister been married? Probably. Maybe he even had nieces and nephews. He hadn't entertained any visitors this last week as far as Jess knew. Then again he might not have any relatives in Birmingham. Not that it was any of her business.
"You know him?" Jess asked. Sylvia hadn't mentioned knowing him when she'd dropped by with a housewarming gift the other night. 'Course, they'd had other worries at the time.
"Not really," Sylvia said, her attention still on the victim. "I pronounced the sister. Louis and I met. That's basically it."
Jess had to admit she was a little curious about the man. Okay, maybe she was a lot curious. Mostly she was immensely thankful for a place of her own, even if it was basically just one big room. Of course, if she'd known Lori was going to move in with Harper so soon, she could have sublet her place. Probably not a good idea. Having a tenant in her place would only ensure Lori stayed in the relationship with Harper even if she started to have second thoughts.
Good grief, there she went assuming the worst of the couple's latest step. Just because Jess hadn't been able to sustain a decent romantic relationship for any length of time didn't mean Lori and Harper wouldn't be able to.
The fact was Jess's issue with relationships went way beyond the romance kind. She'd never really had a lot of friends. She was always too busy. After she'd put Birmingham in her rearview mirror twenty some years ago and joined the Bureau at Quantico, she'd hardly come back for a visit. Lily reminded her often how much she'd missed.
Something else Jess had to fix.
"I'd estimate time of death at between eight and ten last night," Sylvia announced, dragging Jess back to the here and now. "Judging by the location of the visible injuries, I'd wager cause of death is middle meningeal arterial hemorrhaging from the trauma to the temple area. Depending on the damage to the artery, death may have been very swift. Possibly only minutes."
"How long before we have a preliminary report?"
Baron stood and peeled off her gloves. "The mayor is going to inform the victim's parents so they can get word to the wife. She's out of town. He called me en route to Scott Baker's parents' home and asked that we make this case a priority."
"This victim's related to the mayor?" Jess didn't know why she was surprised. Birmingham's upper crust liked to stay within their class. They all seemed related somehow. In the South, old money had a habit of circling the same pocketbooks.
"No." Sylvia turned to Jess. "Your victim's great-great-grandfather was one of the railroad barons who helped build Birmingham. Old money and lots of it. The Pratt family fortune has roots in that same history." She shifted her attention back to the victim. "Dan didn't tell you about Baker?"
"He called but I haven't had time to call him back." If Burnett had any ideas of giving this case to the Crimes Against Persons Division, he could forget it. This was her case. Jess had ignored his calls for that very reason. Seemed every time some who's-who from the lifestyle pages got murdered, her colleague Deputy Chief Harold Black cherry-picked the case.
Not this time.
"I'll have something later today, early tomorrow at the latest," Sylvia told her. "Can't keep the mayor or his friends waiting."
Jess tugged off her gloves. She had folks to interview. "I guess that's something that won't ever change about Birmingham. Even when you're dead it's all about who you know."
The doctor's eyebrows arched. "Or who you blow." She bent down and retrieved her medical bag. "I'll let you know as soon as I have a preliminary assessment."
Jess wondered if Sylvia and her younger sister were anything alike. Her cell clanged that old-fashioned-phone ringtone, prodding her beyond the distraction. Jess dug for it as she called a thanks to Sylvia. The woman waltzed out of the office more like a runway model than a medical examiner. Jess shook her head. Why was looking that good so easy for some women?
Lori Wells's name and image flashed on the screen of Jess's phone. Was she finished taking statements already? "Harris."
"Chief, you need to talk to Mr. Foster _now_."
"The janitor who made the nine-one-one call?" Terrence Foster was the lead janitor and he hadn't given the impression that he possessed useful information when Jess first arrived.
"He swears he knows who the killer is."
Talk about an about-face. "I'll be right there."
Jess went in search of Harper. He was taking the deputy administrator's statement. Jess pointed in the direction of the east end of the building and headed that way.
At the staff lounge, she entered the room and both the janitor, Terence Foster, and his assistant, Moe Brewer, started talking at once. Lori looked way out of patience.
Jess held up her hands and the two gentlemen shushed. "One at a time, please. But first"—she turned to Lori—"Detective Wells, why don't you take Mr. Brewer—"
"Foster's right," Brewer interrupted, determined to get his two cents in. "I hadn't thought about it until he said it."
Before Jess could respond, the obviously agitated man said to his coworker, "Tell her, man."
"Mr. Baker's been fighting with the widows for months," Foster explained, picking the story up from there.
"Widows?" Jess looked from one to the other. Oh hell. She had a very bad feeling where this was going.
Foster nodded, his eyes wide with equal measures certainty and worry. "The widows are big-time upset about the new building that's going up. During the last meeting, one of the women threatened Mr. Baker."
"You heard this yourself?" Jess countered. She needed clarification. If he was repeating hearsay, that was something else altogether.
Brewer shook his head before Foster could answer. "We didn't exactly hear it. Claire Warren heard it. She runs the dining hall. The meeting was in there and she was still closing up after serving dinner."
"We'll need to take her statement," Jess said to Lori. "Mr. Brewer"—Jess looked from him to the other man—"Mr. Foster, who are these widows?"
"Residents," Foster explained. "They've had the others staging sit-ins. Once they even formed a picket line out front. They keep everybody here upset about one thing or another. It's always something."
"The widows are residents," Jess reiterated just to be sure she'd heard correctly, really hoping she hadn't, "of this facility?"
Both men nodded adamantly.
They were talking about _old_ people, like Frances. Whoever killed Baker had to have been strong enough to wield a heavy object. Jess wasn't so sure an elderly female—she wouldn't name names—would be able to manage such a feat. "Exactly how old are these widows?"
"The youngest is seventy-five," Brewer said with a nod to Foster for confirmation. "She's the ringleader."
"She sure is," Foster agreed. "That woman is a mess."
"Who's the ringleader?" Again Jess looked from Brewer to Foster, bracing for the name she did not want to hear.
"She's been riling up those other old ladies since day one," Foster said, his tone firm.
With a big emphatic nod, Brewer added, "She's the one threatened to kill Mr. Baker—there's witnesses to that."
"I need a name, gentlemen," Jess nudged. She appreciated their thoughts on the woman but a name would come in far handier.
"Frances Wallace," the men said in unison.
And there it was. Frances had admitted to motive. Certainly she'd had opportunity. Now, for all the world to see, there were witnesses to the public declaration of her motive.
Oh God. This was going to get complicated...
The medical examiner had just estimated time of death between 8:00 and 10:00 p.m. Frances had showed up at Jess's door around eleven or shortly after with her shocking announcement.
Dread settled on her shoulders. Jess had spent a lifetime looking up to Frances Wallace. Making sure this case was investigated properly and the real murderer found would be a piece of cake.
Protecting her friend's reputation was going to be the fly in the frosting.
#
_3:40 a.m._
Jess entered the Vestavia Village library and suggested the officer watching over Frances Wallace take a short break. When he'd closed the door behind him, Jess turned to the woman who'd curled up like a cat and fallen asleep in one of the large, comfortable chairs scattered around the book- and magazine-filled room.
Whatever other mischief Frances had gotten herself into during the past twenty-four hours, murder was not among her activities. Jess would lay odds on that. There was, however, no way to prevent viewing her as a person of interest and pursuing the necessary accounting of her movements during the past six or so hours that would clear her. Even Frances would understand that reality. In any event, she had a hell of a lot of explaining to do.
Preferably before Burnett and the mayor got involved in the investigation any more deeply than they already were. That kind of interference always complicated an investigation. Made Jess want to tear out her hair.
She set her bag down and dragged over another chair. As she settled in, Frances opened her eyes and straightened. "Had myself a little nap." She fanned away the loose strands of hair that had slipped free of her trademark bun and adjusted her blouse. "Did I miss anything?"
With monumental effort, Jess resisted the urge to roll her eyes. "You mean, other than the body down the hall?" Jess shook her head. "You didn't miss a thing."
"Well." Frances cleared her throat and folded her hands in her lap. "I warned you that was coming."
Somehow, while listening to her sketchy story on the way here, Jess had hoped to discover the victim's death had been an accident. Maybe he'd tripped and hit his head. It happened. Hundreds of Americans died every year just getting out of bed.
"Yes, ma'am, you sure did." Jess retrieved her notepad and pencil. "Why don't you tell me what you were doing before you decided to pay a visit to our murder victim?"
The older woman's head reared back just a little. "So it was murder?"
"The official ruling will come after the autopsy but the ME has indicated we have a homicide on our hands."
"Good heavens." Frances put a hand to her chest. "Am I going to jail? My daughter will never forgive me. It's a good thing Orson is dead already or this would kill him."
"Whether you're going to jail," Jess assured her, "is entirely dependent upon whether you _only_ threatened to kill Scott Baker in front of about a dozen witnesses." Frustration puckered Jess's face, which only irritated her all the more. "For Pete's sake, you couldn't have told the man in private that you were going to kill him?"
Fingers twiddling with the collar of her blouse and the antique brooch fastened there, Frances let a hint of trepidation show. "Well, gracious no, Jess. The whole impact would have been lost had there not been any witnesses. I was making a point," she insisted, as if Jess should understand perfectly what she'd intended.
God, she needed coffee. But going to the dining hall would be like jumping from the frying pan into the fire with all the village residents camped out there. "Why don't you start at the beginning and bring me all the way up to now," Jess suggested, "and tell me what the point was. While you're at it, explain this _Widows_ club thing you've got going."
Frances grunted. "We're going to need to send that nice young man who's been keeping me company for tea. This might take a while."
Jess sent Officer Gillam for tea and coffee before settling her full attention on Frances once more.
"Nine years ago, Orson and I bought into this retirement facility. We paid big money for condos in the building that overlooked the lake. As did a number of our friends, at our urging, I might add." She visibly struggled to contain the hurt that still lingered with the loss of her life mate. "Many invested their whole life savings. Then two years ago there was a change of command. Out with the old and in with the new. Suddenly we had Scott Baker and a new corporation, Your Life, who cared only for making more money on this investment."
Anger lit in Jess's belly. That was something she despised more than most anything else. Those who bullied or took advantage of children and the elderly.
"What steps have they taken to that end?" Jess jotted the names Frances had mentioned.
"They're constructing a new building between ours and the lake. Stealing our bought-and-paid-for view of nature and giving us a massive brick wall in its place." Her lips tightened in fury. "Perhaps some would consider that a nonissue but we have the right to the quality of living we were promised. I've been spearheading the group of widows fighting the project. That's all I'm guilty of, Jessie Lee. Beyond a few not-so-pleasant thoughts about Baker and his cronies."
"Which brings me back to the question," Jess countered, refusing to allow her adoration for the lady to throw her off her game. "Why were you in his office tonight?"
"I'd just come in from dinner at my daughter's home. She and I had discussed how Baker was ignoring all our efforts and I was a little worked up." Frances lifted her chin and said the rest. "I saw his car was still here and I decided to demand some answers. But he was dead."
Well, there was a truckload of motive. Jesus. "Did you see any other vehicles in the parking lot?" Jess went on, hoping for additional answers that would clear the lady, not make her look guiltier. "Any other persons, even from a distance? Think hard, Frances. Was there anyone else in the parking lot or lobby area? Did you meet another vehicle as you were driving up to the facility?"
Frances opened her mouth and then snapped it shut. She furrowed her brow in thought, then said, "You know, I did meet another car after turning into the entrance."
Anticipation pumped through Jess. Now they were getting somewhere. "Can you describe the car?"
Her shoulders slumped. "No. Their headlights were on bright. I cursed them all the way to my parking spot." She shook her head. "I wouldn't even have recalled that nuisance if you hadn't asked."
Jess's disappointment at not getting a description must have been visible since Frances tacked on, "Get ready for it, Jessie Lee. That's how it is when you get old. Can't see, can't hear. Forget every damned thing. The children you gave everything to are just glad you're some place like this instead of in their way more than one evening a week."
Jess's heart broke just a little. "It's the same whether a witness is eighteen or eighty, Frances. There's a lot they forget to mention unless asked specific questions. Why don't you just relax a few minutes and I'll be back in a bit."
_4:49 a.m._
As hard as she tried to keep her emotions in check, Jess dabbed at her eyes as she left Frances cuddled up in that same chair with a cup of hot tea. Jess left her cup on the table. The dining hall had run out of regular coffee. The only thing worse than no coffee at all was decaf. She closed the door behind her and gave the waiting officer strict orders not to allow anyone in or out of the library.
Burnett was here and he had sent Jess a text demanding to see her pronto. He couched the string of words with _please_ but that was just code for _Don't make me send someone to get you_.
She took a breath and reached for the door that stood between her and the man who'd made love to her only a few hours ago. He was going to let her have it for ignoring his calls all morning.
Wouldn't be the first time or the last, she suspected.
He was on his cell when she stepped into the room. Whoever was on the other end, he wasn't making Burnett happy, or maybe it was the other way around. Oblivious to her arrival, Burnett gestured in frustration with his free hand—or more specifically the hand holding a cup of Starbucks coffee. Jess licked her lips in anticipation. Another cup sat on a nearby table. Was that one for her? If it was, that would be an answered prayer. Considering how long she'd kept Burnett waiting, the coffee was no doubt cold but she didn't care. She seriously needed caffeine.
He snapped a cutting remark at his caller. Something about keeping the investigation low-key for now. Usually unable to control her curiosity, she would try figuring out who was on the other end of that conversation. Not this morning. She had bigger issues with this case. But neither the case nor the promise of Starbucks could prevent the way she studied his every move. He had his back to her and there was absolutely nothing wrong with that side of him. Broad shoulders, narrow waist, and, well, things just got better from there. The elegantly tailored suit accentuated his every asset. Most of them, anyway. There were some that were best admired without any sort of embellishments.
A smile tugged at her lips when she thought of the way his skin smelled. Clean and masculine. He'd always been subtle with his aftershave or cologne. They shared that habit. Give Jess a softly scented lotion any day over perfume.
He ended the call and turned as if he'd suddenly sensed her presence. Her breath hitched. Looking at him head-on had always managed that feat. How could he be more handsome now than he had been as an ambitious senior in high school? His dark hair scarcely showed even a hint of gray. Jess had to get her roots touched up most every month. It was the bane of her existence.
_Not fair_.
And how the hell could so much time have passed? They'd known each other since they were kids. God she felt old. Forty-two really sucked so far.
Those blue eyes of his zeroed in on hers. "I called."
She nodded. "Four times."
He dropped his cell into his jacket pocket, then bracketed his coffee-free hand at his waist in an authoritative maneuver. All the move did for Jess was point out that, like Sylvia Baron, Burnett always looked expertly put together. Crisp, creamy white shirt and tan trousers topped off with a navy jacket and tie. When he wore that color, those blue eyes of his appeared even more vivid.
"You enjoy ignoring me like that?"
Jess sighed. She could lie but he would know. "Immensely."
Burnett frowned but he moved on. "Sylvia says this appears to be a homicide."
"I never had a doubt." Vaguely she wondered if he'd been speaking so sharply to Sylvia. But mostly she was amazed at how the sound of his voice disrupted her heart's natural rhythm even now when the topic of conversation was murder. That was something she probably should never say out loud. And just went to show how very much sleep deprivation affected one's ability to reason and stay on track.
_Get to the point, Jess_. "Is SPU keeping this case?"
The hesitation before he answered had her heart thumping for a completely different reason. Her Special Problems Unit often had to go to war with Crimes Against Persons for cases like this. Jess had her own motives for needing to see this one through, but she didn't want to bring up Frances Wallace just yet. Knowing Burnett, he would insist a conflict of interest existed and the case would go to Deputy Chief Harold Black.
"Harold has his hands full with the Ted Allen situation."
When a cop went missing, the first assumption was always foul play. Between that and the bomb planted in the department vehicle she had been driving last week, there were lots of questions and endless speculation going around. _For example, had her interference in the Lopez case gotten Allen killed?_ That was one place she had no desire to go at the moment. She had done her job. Still, she hadn't missed the suspicious glances being cast her way around the department. The clashes between her and Allen were well and widely known.
Yes, he didn't like her. Yes, she felt no love loss toward him. But making him disappear was not her way of handling departmental rivalry. Otherwise there were a number of others who would go missing as well.
_Not funny, Jess_.
Whatever happened, she held no power over Leonardo Lopez and the actions he chose to take.
"It's certainly nice to be needed," she said, hopefully diverting the course of the conversation away from another reminder of how she took too many risks. "Why is it that every single time my team is assigned a case of this caliber it's because Black is busy?"
Burnett gave her that look—the one that warned she was being petty. She was. She waved him off. "Forget I said anything." She'd gotten in the dig. He'd remember her smart-ass remark next time that same old tug-of-war surfaced. And he would think twice about letting Black have first dibs just to prove her wrong. She knew him like a book. Dan Burnett was all about fair. Fairness and justice. He didn't like breaking the rules—that wasn't to say he wouldn't, but he didn't like it.
"I _need_ you to tread carefully on this one, Jess," Burnett continued, ignoring her question entirely but, thankfully, skipping the I'm-worried-about-you spiel. "The victim's family roots go all the way back to the founding of Birmingham. Try not to offend anyone—especially if his or her name is Baker. He has an older brother who's a lobbyist in Montgomery and I'd like to keep him on good terms with the department. His support is invaluable."
If her eyes had rolled any farther back in her head, she would have seen her roots going gray even as she stood there enduring this needless lecture. "I wouldn't dream of stepping on any toes, especially any important ones." One month in the department and she had a reputation that ensured her boss felt compelled to give her a talking-to before each case. "Anything else you want to correct about my work before I get back to it?"
His gaze narrowed. "No one who matters can fault your performance on the job, Jess. For your information, Mayor Pratt suggested you were the one he wanted on this case."
Jess snorted. She cleared her throat and resisted the urge to ask if Pratt had somehow acquired amnesia. Like so many of her colleagues, as well as the brass around here, Pratt didn't like Jess's style or her methods. He spent more time complaining about her tactics than the city's antiestablishment reporters.
"Pratt asked for me?" There had to be a motive she wasn't going to like.
"I think you've shown him what you're made of," Burnett said. "He knows no one else will do the job better."
Okay, this was too over the top to handle with no caffeine. She desperately needed a second wind about now. "Is that Starbucks for me?"
He picked up the cup and passed it to her. "It would still be warm if you hadn't ignored me when I first arrived thirty-five minutes ago."
It was warm enough. The strong, rich taste had her stifling a moan. "Thanks."
He gave her a moment to relish her coffee before starting his interrogations. "What's the deal with this group of widows Baker was having trouble with?"
He'd been briefed on the statements they'd collected so far. Good. Kept her from having to repeat the whole sordid story. "There's a group of seven elderly residents who, along with their husbands, who've since passed on, bought into the village nine years ago when it was in the development phase."
Burnett took her by the elbow and guided her toward the chairs. "Let's sit."
Did she look that exhausted or was he just being a gentleman? Some of both, she imagined. Actually she was exhausted, so she sat. Waited until he did the same and resumed her story. "The building these ladies signed on for included spacious condos with balconies overlooking the seven-acre lake designed for the property. They've all lived happily ever after in their nice condos with their lovely views until the takeover by some money-hungry corporation. Now a new building that will draw in more elderly investors is going up."
He nodded. "The new building will block that _lovely_ view."
"Completely. The condos where the widows live is going from prime real estate to nowhere near prime. They've demanded construction be stopped or that a generous portion of their initial investments plus interest and so on be refunded."
"Ouch." Burnett crossed his legs at the ankles and tried to get more comfortable in the hard plastic chair.
"Since the new building is already sold out, stopping construction would be a financial catastrophe for the corp's investors." Didn't take an accountant or a crystal ball to see that one.
Burnett slowly turned his cup between his fingers. "One of these women publicly threatened Baker. What's your take on that?"
Jess hoped he didn't remember the name from when they were kids. "Frances Wallace. Her husband was a distant relative of _the_ George Wallace. Frances comes from old money, just like Baker, so this ongoing war over the new building wasn't about money. She could have bought a condo in the new building without blinking. She's fighting for the rights of the other six who used their life savings to buy into the village. They're being taken advantage of and no one on the board seems to care. It's a classic scam."
Not to mention just another example of how bullies were tolerated far too often in today's society. Kids weren't the only targets. The elderly were often manipulated, deceived, and pushed around.
"You've interviewed her already?"
This was where things got sticky. "I have. I don't believe she possesses the physical strength to do what the killer did to Baker."
"What about the others?"
"We'll get to each one before the day is over, but"—Jess looked him square in the eye—"I'm telling you now that none of these ladies are physically capable of murder in this manner simply by virtue of their advanced ages." For God's sake, Frances was the youngest of the seven.
"Could they have pooled their resources and hired someone to do the job?" Burnett shrugged. "Maybe they felt Baker was ultimately responsible for their problem and decided to get him out of the way."
Jess couldn't rule out that scenario just yet but Frances would not have been party to that kind of scheme. No way. "I will investigate that possibility. What we should keep in mind are two important facts that are irrefutable. Scott Baker was expecting company. His guest was someone he knew well enough to shut off the surveillance system in anticipation of their arrival, which seems to indicate he didn't want their meeting documented. Maybe Baker was caving to the widows, and someone with much to gain with the construction of this new building wasn't happy."
"His final actions open up a variety of questions and motives," Burnett suggested.
"He may have been meeting with a lover," Jess offered. "His own or his wife's. There may have been trouble with one or more of the board members involved with the corporation. Maybe with the contractor or a media source who'd gotten wind of the trouble with the widows. There are a lot of avenues to explore. I'm starting with the most well known—the ongoing battle with the widows."
"Keep me in the loop. I don't want any surprises showing up in the news. There's already a mob on the street at the property's boundary."
Not surprising. Getting the inside story on a murder kept ratings up. Jess stood. She had to get back to work. "Yes, sir."
Burnett pushed to his feet, his eyes searching hers again. "Do we need to have _that_ talk again?"
"We do not. I'm keeping an eye out for trouble. I'm definitely not taking any risks." None worth mentioning anyway.
"Until we learn how that bomb got in the car you were using and what the hell happened to Allen, I won't feel comfortable about your safety or that of any other cop in the department."
Except he wasn't hovering over any other cop. Jess had spent the last twenty-four hours chewing on this. She might as well say it. "There is a chance that Allen wanted to get rid of me that badly, isn't there? He was in the motor pool the day you ordered the Taurus for me." It was true. Dammit, she hated to think badly of a man who was most likely a victim, probably dead. But it was true. He'd made no bones about his less-than-friendly feelings toward Jess. Would he try to kill her, though? "Maybe he knows he's caught and he disappeared to avoid the investigation." Not to mention prison.
"I don't want to believe one of my own people would go there, but I can't deny it's possible," Burnett admitted.
Jess had been ignoring one theory about why and how Allen had vanished. Birmingham's former drug and gang kingpins, the Lopez family, had warned that someone inside the department had it in for her. It made sense that Allen, being head of the gang task force and well known to the Lopez family, was the someone they meant. Particularly since he and Jess had butted heads so often. Now that the patriarch of the Lopez family had left Birmingham, had he neutralized the threat to which he'd alluded? Jess had gotten word that she shouldn't worry about that particular problem anymore. She had an _angel de la guarda_. A guardian angel, according to Lopez's messenger.
That was the part that worried her the most. The bomb, Allen's disappearance, the Lopez business could all be related. But why would Lopez go that far for Jess? Why would he play her guardian angel?
"Maybe Lopez wanted revenge for Allen's part in the downfall of his family," she offered. "For whatever reason, he may have decided I should get a reprieve." Except there had been a bomb in the car she was supposed to use...
"Be smart, Jess." Those blue eyes that had the power to draw her into his arms with a single inviting look showed her the fear and the worry he felt. "Revenge is an ugly business, as you well know. If someone had it in for Allen for his perceived part in tearing apart the Lopez family, they may still have you on that same list. We can't rule out anything at this point. Lopez could have someone watching you right now."
"That's me," Jess said with a laugh she hoped passed for the real thing, "Miss Popular."
She doubted she would be so popular after she informed the widows that they were all persons of interest in a murder case.
With no other leads at this time, Jess's first order of business was to find a way to confirm Frances Wallace and the rest couldn't possibly have murdered Baker.
That would be a whole lot easier as soon as she found someone with a better motive for wanting the guy dead.
#
_Birmingham Police Department, 10:20 a.m._
Captain Ted Allen has been officially missing more than seventy-two hours." Jess paused for a beat before continuing. Guilt tried to intrude but she sent the pointless emotion packing. She wasn't responsible for the head of BPD's gang task force going missing. At least she hoped she wasn't. She exiled theories about guardian angels. "I've just spent the past half hour in a closed-door session with Chief of Police Burnett, the mayor, and the other chiefs for a quick update."
She'd barely gotten back to the office and started her case board on the Baker homicide when she'd gotten the call to report to the conference room. The press was about to be informed about Allen, and Burnett wanted everyone on the same sheet of music.
Jess surveyed her team, that infernal anxiety gnawing at her again. "Our team was not assigned the case but we should press any unique sources we have for information. Check in with your informants. The investigation has zero leads right now. We need something. Every law enforcement agency in the state has been alerted to the situation. We recognize there is a strong likelihood that if Captain Allen did not leave of his own volition, he's already dead. There has been no demand or contact of any sort related to his disappearance. Be that as it may, until we have a body, this case will be pursued as if he is alive and in imminent danger."
She braced for the barrage of questions the four members of her team would no doubt raise. She'd heard the watercooler talk. Most everyone thought Allen's disappearance had something to do with her face-to-face meeting with Leonardo Lopez, the so-called messiah of the MS-13 in LA and the father of the son and daughter who had effectively destroyed each other here in Birmingham mere days ago.
But Jess hadn't set up that meeting. She had been as surprised as anyone when Lopez sought her out last week as a means to convey his message to the powers that be in the city. He hadn't sent her that message about having a guardian angel until much later. She kicked the idea out of her head again. There was just no evidence at this time to make that connection.
Still, she recognized how it looked, and human nature had taken its course.
Chad Cook, the lowest-ranking and youngest member of the Special Problems Unit, spoke first. "I guess Black getting the case was a good thing since that leaves us free to focus on the Baker homicide."
"Deputy Chief Black and Crimes Against Persons will be primary on the Allen case, yes," Jess confirmed, "but make no mistake, the entire department will be involved in finding one of our own. This is not a competition. Keep that in mind, please." Jess hoped no one in the room noted her lack of conviction in that last statement. Finding the bad guys was always a competition, starting with who got the case.
"Are _you_ a suspect in the captain's disappearance, Chief Harris?"
Jess expected no less from Lieutenant Valerie Prescott. She might not overcome her frustration of being passed over for SPU's deputy chief in this lifetime, which inevitably meant that she would remain a thorn in Jess's side. Which was also another reason Jess didn't trust the woman one little bit. Two years older than Jess, Prescott was every bit as ambitious as her. She disliked her new boss and had no problem telling the world.
During the silence that followed the blunt question, the other members of SPU, Sergeant Chet Harper, Detective Lori Wells, and Officer Chad Cook, gave Prescott the evil eye. At least the majority of Jess's small but skilled team respected and liked her. Unfortunately that reality didn't make the lieutenant's question any less relevant.
"I would be surprised if I wasn't considered a person of interest," Jess admitted. "But it won't be because Captain Allen had issues with the way I handled my end of the Lopez case or that he made those issues abundantly clear. Our close involvement in the Lopez case will be thoroughly investigated, as will that of numerous other detectives and federal agents. That's investigation one-oh-one, Lieutenant."
"I haven't heard any rumors of trouble in his personal life," Harper commented, redirecting the conversation. "No marital or financial problems."
"His record at BPD has been exceptional," Jess added, thankful to be moving in the proper direction. Captain Allen's visit to the motor pool, just before Jess picked up the explosive Taurus, was known only by the few, like Chief Black, involved directly with the investigation into his disappearance. Until there was solid evidence Allen had crossed the line, that was the way it would stay.
Detective Lori Wells twisted in her chair. "What about you, Valerie?" she said to Prescott, who was her superior in rank, but the younger woman didn't seem to care. Lori and Jess had bonded too deeply not to call each other good friends, off and on the job. "Are you a person of interest, considering you were Allen's link to the scuttlebutt regarding Chief Harris? The way I hear it, you kept him informed of the chief's every move where Lopez was concerned."
Though she appreciated Lori's support, this wasn't the time. Jess held up a hand before Prescott could utter what would no doubt be a frosty comeback if the icy glare pointed at Lori was any indication. "Let's get back to the case board and what we have so far on Scott Baker. I just wanted y'all to know what's going on. And now"—she squared her shoulders—"you know. So, let's move on."
"Baker was only twenty-seven when he was selected to be administrator of Vestavia Village," Harper said. "That's a little young, so I did some asking around and it seems he has a friend of the family, a retired army general, on the board who ensured he was chosen for the position before the sellout to Your Life."
"The Baker family," Lori Wells picked up where Harper left off, "required the victim and all three of his brothers to obtain an MBA and then to work in the private sector for at least three years and to reach the age of thirty before receiving their trust funds. Scott was set to receive his in less than one week."
"I guess Daddy wanted to make sure his sons knew how to work for a living." Seemed to Jess that more parents should do the same before turning over their money to their offspring.
"Makes you wonder how badly his wife wanted full access to that trust fund," Prescott suggested.
"Good point," Jess acknowledged. She wanted Prescott to be a part of this team. Mostly she wanted the woman to get over the fact that she didn't get the job and that Jess was her boss, for better or worse. "How much is this trust fund? And does the wife get it or does it go back into trust for their son?"
"Ten million," Lori said. "I'll have to find out where it goes now." She made a note in her phone.
"Ten million is a lot of motive," Chad Cook said.
"By anyone's standards," Jess agreed. "Where are we on the statements from the other six widows and Claire Warren?"
"Cook and I have two more scheduled this afternoon," Prescott said. "Those two were out of town for a long weekend."
"We asked what questions we could by phone," Cook added. "The important stuff, you know. Just to be sure they didn't go changing their stories after talking to anyone else."
"Excellent strategy. I'm certain the first thing both did as soon as you spoke with them was to call their fellow widows."
"I interviewed Ms. Warren when she arrived at the Village this morning," Prescott noted. "She's been the dining room director since the Village opened. Her statement is a carbon copy of Foster's and Brewer's. She heard Frances Wallace say something to the effect that she would see Baker dead before she would allow him to get away with the new construction."
"I can't see those ladies taking Baker down that way," Harper countered. "He was a young guy in good physical condition. His secretary said he played racquetball twice a week and ran three or four miles every day. He was strong. It took a hell of a blow to take him off his feet and keep him down."
"And a sudden, lighting-fast move," Lori tossed out. "Baker had no defensive wounds. He didn't try and deflect the blow. He obviously wasn't expecting it."
"It may have taken two blows to put him down for good," Jess noted, remembering the way the gash in his temple looked. "The first one may have rattled him enough that he didn't have time to react before the second blow landed."
"Doesn't sound like one of the widows," Harper reiterated. "These ladies are seventy-five and beyond."
Jess studied the images Lori had printed from the ladies' Facebook pages. According to Lori, everyone had a Facebook page these days. Jess didn't mention that she didn't have one. She was way behind on social media. Who had time? Her attention settled lastly on the photo of the face she knew so well. Frances Wallace. She'd asked Jess if she needed a lawyer. The only answer she could give was yes. Though Jess was convinced of her innocence, this situation could get complicated fast.
"They all have alibis." Lori cleared her throat. "Except Ms. Wallace."
"Ms. Wallace has an alibi up until nine-fifteen," Jess countered. "Between nine-fifteen and ten o'clock, she arrived on the property where she met another vehicle departing. She couldn't hazard a guess at the kind of vehicle since the headlights blinded her."
The silence that lingered signaled that everyone present understood Frances Wallace was a sensitive spot for Jess.
"Despite the concept," Jess said, getting past the awkward moment, "that these elderly women likely don't possess the physical prowess to have killed Baker, as Sergeant Harper pointed out, we can't overlook the possibility that they banded together and hired someone to do the job for them."
"I can explore that avenue," Prescott piped up. "I worked a case last year where a wife hired a professional to have her husband murdered. I did a good bit of research that could come in handy."
Jess was impressed with Prescott's sudden team spirit, if not convinced of her allegiance. "Since you and Officer Cook are interviewing the widows, I'll leave the follow-up on that scenario to the two of you as well."
Prescott looked pleased with herself.
As much as she would like to assume this was a fresh start for her and Prescott, Jess still had reservations. "Sergeant Harper, dissect Baker's personal life. Find me a motive for murder. Someone out there wanted Scott Baker dead. We need to know who had a compelling enough reason to make it happen when the opportunity presented itself. We can assume since the murder weapon was most likely the Administrator of the Year trophy that the killer didn't come to Baker's office planning to kill him."
"Unless," Prescott argued, "the killer had been there before and knew the trophy would do the trick."
"Valid point." Jess couldn't dismiss her reasoning. The woman was on the ball this morning. "We do know the killer was in all likelihood right-handed. I'm hoping the feedback we get from the coroner's office can tell us if the killer was shorter or taller than the victim. If we're really lucky, trace evidence from a handshake or embrace will be found and can provide something more to go on."
"I can follow up with the lab," Lori offered. "See if I can prod some faster results."
Jess flashed her a smile. "All right, then. Officer Cook, you'll continue to assist the lieutenant. I'll go back to Vestavia Village and poke around."
When everyone else had gone, Lori asked, "You reinterviewing some of the residents?"
Jess shook her head. "Nope. You and I are going to see the body and talk to Dr. Baron."
Lori dug her keys from her purse. "You worried Prescott's still keeping tabs on you for some reason?"
"Without a doubt." Jess reached for her bag. "We both know that's how Captain Allen knew my every move during the Lopez case." That bad feeling she got every time she thought of the man scrambled up her spine. "And look what happened to him."
"You better watch out," Lori teased. "That could be construed as a confession."
Jess decided to get the real confession part over with. "If I went with my gut instinct, I'd have to say that whatever happened to him just might be related to me or something I did. I don't know what it is or how it connects to anything. But that guardian angel message from Lopez keeps nagging at me." Another knot tied deep in her belly. "I don't like that feeling one little bit."
_Jefferson County Coroner's Office, 11:39 a.m._
An autopsy, even a partial one, was an excellent tool for an investigator. Oftentimes it was the results of the tests conducted by medical examiners that turned around a case going nowhere or, worse, in the wrong direction. Jess was banking on the story Scott Baker's body could tell to help clear Frances and point them in the direction of the real killer.
Baker lay on the cold steel table, his arms at his sides, his naked body a somber gray. Before this day was over, every inch of him would be tested in one way or another. The tiniest speck of trace evidence could make the difference in finding the identity of his murderer.
"The CT scan revealed depressed fractures right here." Sylvia Baron indicated his left temple where the visible gashes were located. "His attacker hit just the right spot and he hit it hard. Two distinct blows. The first may have knocked the victim off his feet, but it was the second one that got the artery and caused a massive bleed. The worst I've seen that didn't involve a vehicle or a bullet."
Judging by the visible tissue injury, Jess would have thought he'd have had a concussion, a bad headache and little more. Unfortunately, Mr. Baker hadn't been so lucky. But Sylvia's conclusions confirmed the theory that Frances Wallace couldn't have been the one wielding the murder weapon.
"It's rare," Sylvia continued, "but I'd say he was dead in under five minutes. The good news is he may have died happy." Her lips quirked. "There were significant traces of semen and vaginal fluid in his boxers."
So Frances Wallace wasn't the only female visitor to show up at Scott Baker's office on the night of his murder. "No wonder he turned his surveillance system off."
"When the cat's away the rat will play," Sylvia said with a sour glance at the victim.
Couldn't exactly blame her. She'd lost her husband of ten years to another woman.
"Too early for any toxicology?" Jess knew better than to ask but she couldn't help herself and it felt like a good way to move on from Baker's indiscretions.
"Just the BAT," Sylvia offered. "Point-oh-five. Under the legal limit of intoxication for operating a vehicle but the man definitely had a drink before that wallop to the side of his head. Which didn't help his survival odds. Apparently it didn't help his morals either."
"There was no alcohol in the office or in his car." Jess resisted the urge to frown and add to the wrinkle population already residing on her face. "I guess the killer opted not to leave that behind."
"He did, however"—Sylvia indicated the gash in Baker's temple again—"leave you the murder weapon."
"The trophy?" Jess had thought as much.
Sylvia nodded. "I spoke with the detective overseeing the analysis at the lab. Whoever cleaned the trophy last used a wood polish on or near the base. It sat on the desk—maybe the polish came from the desk." She smiled. "There's just no way to think of every little possibility when you're trying to commit the perfect murder, especially if one's thought processes are still hazy after orgasm. At any rate, the desk was cleaned recently and furniture polish was used liberally. Maybe the killer missed one of his or _her_ prints as well in the wipe-down. The lab's still working on that aspect."
"There's always one more thing the killer should have thought of," Jess agreed.
"I don't want to get your hopes up," Sylvia went on, "but a trace of the victim's blood was discovered between the marble base of the trophy and the miniature brass statue of a businessman. So the wipe-down wasn't as thorough as the killer likely intended."
"Sounds less and less like a professional job." In Jess's opinion, the killer didn't have murder on his—or her—mind when he walked into Baker's office. Just another reason to rule out the widows' involvement in any capacity.
The key to this case was finding out who had reason to want or need Baker out of the way. Every act of violence was prompted by motive. Motives were rooted in emotion. Emotions ensured mistakes. It was a no-win situation for the killer.
All Jess had to do was find the motive and the mistakes. It looked as if she had a new avenue. _Infidelity_.
"And more like Baker pissed off the wrong person," Sylvia agreed. "A person shorter than him, by the way. The angle of the blow appears to have come from an upward slant."
That might not be as significant as she'd hoped since the victim was over six feet. Lots of folks, female and male, would be shorter than him. "All I need now is a usable print or DNA sample and I can set out just like the prince in Cinderella to find who it belongs to," Jess said, only half kidding. That was the thing about DNA evidence and even prints—there had to be something to compare that kind of evidence to. If there wasn't a match in one of the many criminal databases, then she had to pound the pavement and find it.
"There's something else."
Jess's instincts perked up.
Sylvia drew back the sheet and tapped Baker's right hip. "I have no idea what it means. Some fraternities have symbols but this isn't one I've seen before."
The tattoo was a set of five small circles intertwined with a number five in the center. The ink was black, faded a little as if he'd had it for a while. "Looks like a brand." Jess met the doctor's gaze. "The way ranchers mark their livestock. Maybe it's a family thing." But Baker had only three siblings, not four. Jess studied the tattoo a moment longer. "No gang or business affiliation I recognize." She fished for her cell and snapped a picture.
"I looked it up," Sylvia told her. "It's a Celtic five knot. Represents earth, wind, fire, water, unity." She surveyed the victim. "For now that's all I can give you."
"I appreciate it." Jess readied to head out. "How's Leslie working out?" Leslie Chambers was the teenage sister of the key witness in the homicide case Jess had worked last week. Sylvia had pretty much taken the two kids under her wing. She was funding Leslie's college and the younger brother's attendance at a private school for autistic children. Sylvia had also gotten the girl an internship here at the coroner's office. The lady had truly gone above and beyond.
"She's a fast learner and a hard worker." Sylvia tidied the sheet on the victim. "She's a terrific kid."
"She's lucky to have made such a good friend." Jess didn't expect the other woman to acknowledge the compliment. For a woman who seemed so arrogant and full of herself, Sylvia Baron didn't take real compliments well.
Before Jess was out the door, the ME called after her, "My family has their annual Labor Day barbeque coming up. Check your schedule—if you don't have plans already, you should come. Bring Dan along."
Jess hoped her surprise wasn't showing. "I'll let you know."
So maybe they were friends, or at the very least on the road to becoming friends. The jury was still out.
Jess caught up with Lori in the long corridor outside the autopsy room, and the detective tucked her phone into the pocket of her trousers and gave Jess a look that warned she wasn't going to like the news.
Before Jess got any more bad news—she'd had more than her share last week—she needed to pass along a revelation of her own. "Let Harper know that Baker was definitely having an affair." Harper was digging around in the victim's personal life. This news would give him a direction. "And our perp is in all probability shorter than the victim."
"Okay." Lori sent the text, then settled her attention back on Jess. "That was the chief."
Jess expected as much. She didn't have to check her phone to know he'd called her as well. She'd seen the missed call when she snapped the picture of Baker's tattoo. "Do I want to know?"
"He needs you in his office. Now."
Which meant one of two things: either the mayor wanted her reassurance that she would have the Baker case solved ASAP or they had found Captain Allen's body buried in her backyard.
Since she hadn't harmed a hair on the man's head much less planted him anywhere, it had to be about the Baker case.
She hoped.
#
_The Grille, Five Points, Noon_
I can't believe he's dead." Juliette Coleman felt sick to her stomach. She pushed away the menu. This was her favorite lunch spot but there was no way she could eat and have this discussion. It hurt too much.
This wasn't supposed to happen. Agony flooded her being. What did she do now? How did she move past this? Stop the images from flashing over and over in her head?
She shut down that line of thinking. She couldn't go there. Not right now.
"This can't be." Elliott Carson turned his hands up and surveyed the rest of the group seated around the table. "No way. What about his wife and kid? Jesus Christ." He hung his head, obviously stunned and horrified by the news.
He was the one she would have expected to be torn up about this. Elliott had always been the most kindhearted of all the guys. Yet he was the one who had the most reason not to be. With his former celebrity status as a Major League Baseball player for the Pittsburgh Pirates, everyone had expected him to turn into a self-centered ass, but he never had. Instead, after several amazing seasons and a shoulder injury that forced his retirement at the height of his game, he came right back here to Birmingham and started a training camp for young athletes. He spent a lot of time giving back to the community.
Somehow over the years she'd forgotten what a good guy Elliott was... How had they come to this?
_Don't go there, Juliette_.
"What the hell happened?" Aaron Taylor demanded. He had no patience for beating around the bush; he never had.
"You're kidding, right?" Kevin O'Reilly, the son of Birmingham's media mogul Clinton O'Reilly, directed this at Aaron and then spent a long, dramatic moment in silence, staring across the table from one to the other.
Even if they weren't discussing the death of a lifelong friend, Kevin would pull out his whole trunk of theatrics. He'd been a drama queen back in high school and he was still one today. Part of him was probably glad Scott was dead. One less person for Kevin to be jealous of. Juliette banished the ugly thoughts. This was not the time.
God, what was she going to do? Agony welled inside her all over again.
"I warned you this would happen if Todd Penney ever came back," Kevin said knowingly. "Scott should have listened to me. All of you better start paying attention."
"Oh my God." Juliette couldn't believe he'd just said that. Anger overrode the pain and regret. Kevin thought he was the only one who could solve a fucking problem. Worse, he was making this about him! He made her sick.
As if he'd read her mind, he glared at her in warning.
She glowered right back, hoping he saw just how much she hated his guts right now.
"You can't really believe _he_ would do this?" Aaron challenged. "What could he possibly hope to gain?"
_Answer that one, you sawed off little bastard_ , Juliette wanted to scream at him.
Unlike Kevin or Elliott, Aaron was the logical one. It was the attorney in him. Like his father and his grandfather, he had been born to analyze and to challenge. But a courtroom was the only place where he pulled out those sizeable balls of his these days. The cocky football star from high school was as queer as a three-dollar bill but he didn't have the nerve to come out of the closet. Instead he'd taken a fake wife and pretended they were waiting until their careers were established to have children.
Juliette resisted the urge to shake her head. And the gang thought she was the only one who lived a lie. This little family was in for a major wake-up call. As much as she had loved all these guys at one time... there was something rotting away between them. She could hardly bear to sit at this table... but she had to. They'd made a promise. She, for one, intended to see that they all held up their ends of that bargain. She was not going to prison for anyone or anything.
Not even for Scott...
Beneath all the bravado and self-centeredness, they all had one nasty little secret in common—they were cowards. Even Aaron's innate reasoning skill hadn't helped them that night twelve years ago.
A new kind of fear welled so quickly inside Juliette she could hardly breathe. If anyone ever found out... What was she thinking? _He_ knew. And if Kevin was right, Todd Penney was back and wanted revenge for the death of his best friend.
After all these years.
This couldn't be happening. Not on top of everything else...
But it had happened. Her stomach twisted with agony... Scott was dead.
Anger warred with the other emotions whirling inside her. Scott had been a coward too. A coward and a liar.
She bit her lips to hold back an anguished cry. _He's dead_. Scott was dead. She couldn't believe he was gone.
Kevin shook his head at them as if they were all pathetic. "You just don't get it, do you?" He stared directly at Aaron as he spoke. "He's back and Scott's dead. You can pretend it's a coincidence and that what I'm saying to you is ludicrous all you want, but when another of us dies, you'll see."
"Okay." Elliott glanced around the private banquet room they'd paid the waitress a huge tip to get. "When did Penney return to Birmingham?"
"We don't know for certain but within the last week," Kevin said in that I-have-all-the-answers way of his. "He's staying with his mother because he's still a loser just like he was back then."
"So," Aaron said, "you think this big mama's boy loser killed Scott? Listen to yourself, Kev. It doesn't make sense. More likely Scott messed with the wrong guy's wife."
"How can you say that?" Juliette growled like a mother lion. "He was our friend." She knew for a fact that the only wife he wanted was his own. The pain twisting inside her sliced like barbed wire. _He's dead. He's dead. Scott's dead_.
Aaron turned to her, no sign of sympathy on his face. "He _was_ our friend, Jules. You need to get over the idea that you two were high school sweethearts. He dumped you for the minister's daughter, remember? Scott could be an asshole just like the rest of us when necessary. Not everyone can be perfect like you. And none of us have been friends like that in a very long time."
Juliette stood. She'd had enough. This hostile survival-of-the-fittest mentality was the reason this group had fallen apart. "I will not sit here and listen to this bullshit."
Kevin grabbed her hand. "Please, Jules." His plea almost sounded sincere. What an actor he was. An Academy Award–winning performance. "I'll admit right now that I'm terrified. We have to do something about this. We can't just pretend it never happened."
Incredibly, even Aaron didn't have a smart-ass comeback for that assessment. It was almost worth listening to this crap just to see him squirm.
Juliette dropped back into her chair. "Fine, but no more unnecessary remarks." She looked straight at Aaron as she said this.
He held up his hands in mock surrender. "All right, all right. I'm chill."
Juliette suddenly wished it was Aaron who was lying in the morgue instead of Scott. Her chest squeezed. She should feel guilty about that thought but she didn't. After they were done here, she needed to go directly to confession. She'd already been once today.
That was what she'd done that night... a dozen years ago.
The night the five of them committed murder.
#
_Birmingham Police Department, 12:35 p.m._
That's the part that has crawled way up under my skin," Deputy Chief Harold Black insisted when Dan was past ready to let the subject go for now. "Ted has fifteen years with the department. _Fifteen years_. Why go off the deep end now? You're the chief of police, Dan. You've known Ted his entire career— _your_ entire career. Doesn't that theory feel wrong to you? Even with this new and seemingly damning development."
Harold was right on all counts. But the facts, as they knew them at this time, spoke for themselves. If there had been any question that something was amiss with Allen's behavior, the records from his cell phone greatly diminished that doubt.
"Nothing would give me more pleasure," Dan began, hoping to convey just how deeply this tragedy affected him as well, "than to have your division somehow prove that Allen was set up. That dead or alive, he is an innocent victim."
"The truth is, Dan," Harold reminded him, "we can't prove what Allen did or did not do when he entered the department's motor pool that day just before Chief Harris picked up the Taurus."
"I suppose," Dan countered, "that we also can't hazard a guess as to why he may have taken additional steps toward that same end just days later. Any way you look at this, he was up to something that involved Jess."
There was a whole hell of a lot they didn't know but some parts were damned obvious.
"One could say this latest development might indicate Chief Harris knows more than she's saying."
Outrage lit deep in his gut but Dan tamped it back. "Do not take this investigation in that direction, Harold," he cautioned. "If you do, you will not like my response. Is that understood?"
"I'm a little concerned," the determined man persisted, "that perhaps you are right now reacting on emotion rather than logic. Using your position to protect Chief Harris in this matter won't go unnoticed, Dan. It—"
Dan halted him with a deadly look. "We will not go there. Are we clear?"
Harold relented with a somber nod. "Quite clear." He gathered his notes. "You know I'll do my best to solve this puzzle, but I'll be honest with you right now. After talking to Ted's wife, I just don't believe he took off and left his whole life behind. He's got two kids, Dan. This"—he threw up his hands—"circumstantial evidence aside, there is absolutely nothing in his background to suggest a character flaw that deep."
"Stranger things have happened." Dan worked at cooling off. Harold had struck a nerve and seemed to want to just keep tap dancing there. "I do agree this behavior is out of character. That said, until we find him or someone or something that can provide the answers we need, we have no choice but to consider that Allen may have crossed the line."
Jess would be the first to point out that everyone, man or woman, possessed the potential for evil. It was not crossing that thin, often hard-to-see line that made the difference. They could speculate every day, including Sunday, and never know what led to the chain of events that played out those last few days before Allen disappeared. Another of Jess's favorite sayings whispered through his mind. _Find the motive, find the answer_.
"I would be remiss in my duties if I failed to do exactly that," Harold admitted.
In his capacity as division chief of Crimes Against Persons, the task before Harold was a heavy one. Allen was one of their own. A cop Dan had known, as Harold pointed out, for many years. That was the part that made this whole mess so unpalatable. To that end, just as Dan would not permit this investigation to drag Jess more deeply into the muck than speculation had already managed to do, he didn't want questions about Allen's loyalty to the department to play out in the media.
"For now, as far as the world knows, Captain Ted Allen is a victim of unknown circumstances," Dan clarified. "We need the community's eyes and ears on this one without unnecessary scrutiny."
"Someone somewhere saw or heard something," Harold agreed. "All we need is to have that someone come forward."
Unfortunately that didn't always happen. "Put a little more pressure on his closest buddies. One of them may know or suspect something they don't feel comfortable coming forward with just yet." The code among law enforcement officers was strong, as it should be. No one wanted to be the reason another cop's reputation was sullied.
"I'll pursue that avenue personally." Harold stood. "You'll pass this news along to Chief Harris? Or, if you prefer, I can speak with her."
Dan wished there was a way around giving Jess this news. For her own safety, she needed to be kept abreast of where the investigation was on Allen. "She's waiting in my office now." At least he hoped she was. He'd sent word to her via Detective Wells since she opted not to answer his calls more often than not lately.
"I won't keep you, then."
"For the time being," Dan said in closing, "I have no choice but to consider potential interim commanders for the gang task force."
"Schafer's a good man," Black mentioned. "He's worked closely with Allen for more than a year."
"I'll keep him in mind."
Dan followed Harold from the main conference room more frustrated than when he'd arrived half an hour ago, and he would have wagered that was not possible. Allen's vanishing act was troubling on several levels.
The truly unsettling part was the idea that they had just begun this investigation. A very good possibility existed that things would only get worse from here.
His secretary held up a fistful of messages as he passed her desk, but he waved her off. Those would just have to wait.
"Chief Harris is waiting for you," she called to him as he reached his office door.
Dan hesitated and turned back to his secretary. "Thank you, Sheila. I'll take care of those messages later this afternoon."
She smiled. "I'll hold your calls."
Dan returned the smile. He gave himself a mental boot in the ass for failing to show his appreciation of his support staff often enough. Sheila and Tara, his receptionist, kept his office running smoothly. He'd be lost without them. At times like this they only got noticed when they did something wrong and _that_ was wrong.
Jess was waiting. He took a breath and reached for the door once more. Her showing up on time was rare. That was the first good news he'd heard all day.
"I guess turnabout is fair play," Jess announced as soon as he'd cleared the doorway.
She stood in front of his desk, bag draped on her shoulder as if she had been contemplating leaving. She'd had a hell of a long night and day. She had to be exhausted. Just a few hours before she'd gotten called out to a possible homicide they had broken their number one rule, not once but twice. On her bed... on the kitchen counter...
_Get your head in the right place, Burnett_. "I apologize for making you wait." He rounded his desk and took a moment to decide the proper approach for giving her this sensitive news.
As if he'd telegraphed the thought, Jess's gaze narrowed. "What's going on? The only time you stay over there"—she pointed to his position behind his desk—"instead of sitting over here with me"—she hitched her thumb to one of the two chairs stationed in front of his desk—"is when there's trouble."
He'd have to remember that next time. Though generally whatever he'd hoped to recall went out the window when they were alone together without his desk between them. Today, however, it was important that he keep his head on straight. "Let's have a seat and catch up on what we have so far."
She stood there, arms crossed over her chest, for several frustrating ticks of the mega-tense muscle in his cheek. He resisted the urge to work his jaw or reach up and rub at the damned twitch. As if she understood exactly how long she could hold out before he exploded, she finally sat, crossed those long, toned legs, and stared at him expectantly.
For the first time in nearly two hours, he let his guard down and said aloud the words that had turned to stone in his gut. "We found Captain Allen's SUV. It was parked at the Amtrak station over on Morris."
She tried to hide her initial reaction but he saw the pain and worry creep into her expression. "Was _he_ found?"
Dan shook his head. "Just the vehicle."
They had no body. No evidence that Allen had been harmed or kidnapped. He'd simply vanished. How the hell did a fifteen-year veteran of the force go AWOL? Leave his family in the lurch? Possibly try to kill a colleague? It didn't add up. Particularly since none of his credit cards had been used and the money he and his wife had in savings was still there—every dime of it.
"Then we don't know any more than we did," Jess said, sounding disappointed and frustrated. "No way he just vanished into thin air." She seemed to be talking more to herself than to him. "It's a simple matter of physics, mass occupies space."
He didn't miss the hint of hope she tried to cover with the frustration in her tone. Her feelings were understandable. It wasn't that she didn't want Allen's case solved, but until his body was found, there was at least reason to hope that maybe, possibly, he was alive. But in Dan's opinion, they were kidding themselves to hold on to any optimism.
Besides, if Allen was alive, unless he was a prisoner, he had changed sides and was now a criminal. Was that better or worse than the theory that he'd been murdered?
Dan heaved a sigh. He couldn't put this part off any longer. "We also got his cell phone records."
Denial instantly started to cloud her expression. She instinctively understood that this had something to do with her. "Have any calls been made since he dropped off the map?"
"No." Like Dan, she didn't want to deal with the monumental and dark possibilities this case opened up but sadly it was necessary.
The silence hung between them like a black cloud.
"The last time his cell reached out to a tower, it was near your place, Jess. Around four Friday morning."
For another three beats she stared at him. He saw the moment when full comprehension dawned on her. Her shoulders slumped and uncertainty replaced the denial in her expression.
"My Audi was tampered with sometime before I got up that morning... I had to call Lori for a ride and..." She blinked, disbelief widening her eyes. "So he really is the one."
"We can't prove he installed the explosive in the Taurus you were driving last week. He was in the motor pool the day I ordered the Taurus for you. The clerk admitted he'd gone outside for a smoke while Allen was there. As for your personal vehicle, we can only assume that given what happened with the Taurus, Allen intended to do the same with your Audi and was interrupted or ran out of time for some reason. Since we can't prove either one just yet, we're keeping that part out of the media. But we both know how this looks."
"Why would he do that?" Jess shook her head. "I've made a lot of serious enemies in the past." She looked away. "But they're usually the bad guys. Not other cops."
"If Allen did this," Dan said, "he is a bad guy, Jess. Just because he carries a badge doesn't make him immune." He wanted to round this damned desk and hold her. Damn propriety.
As if she feared he would do exactly that, she stood and squared her shoulders. "Anything else?" She smoothed a hand over her skirt to avoid eye contact. "I have a murder case to get back to."
Apparently he had been wrong about which part of this briefing he dreaded the most. This next part had his gut clenching. Or, hell, maybe it was just saying it all out loud to her. "We need to go over your Audi again, Jess. Check for prints and anything else he may have left behind. And your apartment."
Rather than argue as he'd expected, she wiped her face clean of emotion and said, "I'm a person of interest. I understand that. I'll talk to my landlord and set it up. Anything else?"
"You understand how important this is and that it's not about you having done anything wrong. No one's calling you a person of interest, Jess." Not as long as he was chief of police. He searched her face, her eyes, needing to be absolutely certain she was okay with how this was going down. He hated like hell that any part of this made her feel guilty or threatened.
"Of course they are. We all know what constitutes a person of interest. I'm connected to this, Dan. Good or bad, I'm connected. And just because the guy didn't like me and may have tried to kill me and then disappeared doesn't mean I did anything wrong. I'm sure no one thinks that." She laughed, the sound hardly amusing. "My landlord barely knows me but he surely won't think I'm guilty of any wrongdoing. I'm certain he's just wishing he hadn't picked such a troublesome tenant."
He couldn't take it any longer. Dan bolted around his desk. As if he'd intended to grab her and throw her over his desk for an encore of last night's out-of-control lovemaking, she backed up a step, bumped into the chair. Damn it. He stood there, helpless, wishing he could hold her for just a moment, but she didn't want that. She wanted to play by the rules.
Rules he knew better than to break—for all the good that knowledge had done him last night. _Or now_.
"You absolutely did not do anything wrong, Jess," he said, going for soft but sounding rough. "Your landlord will understand. I'll clear it with him if you'd like." He wouldn't mind an opportunity to talk to the guy again. He still had reservations about that setup.
"Not necessary." Jess dug in her bag for her pad and pencil. "Give me a time frame so I can run it by Mr. Louis."
"The sooner the better." Dan forced his body to relax. Harold was actually pushing for today to get into Jess's apartment, but Dan wasn't springing that on her. It was past one now. The man would just have to cool his heels until tomorrow.
Jess made herself a note, then jammed everything back where she'd gotten it inside that bottomless pit of a leather bag she hauled around. "I'll take care of it. Anything else?"
She'd asked that three times already, angling for some indication that the meeting was over so she could get back to work. She was the strongest woman he had ever known.
Despite just how shitty this day had been so far, he felt a smile coming on. She hadn't dried her hair after her shower. Back in college, she had always complained if he tried distracting her before her hair was dry after a shower. Just like back then, that mass of blond locks looked all wavy and sexy. She'd made a halfhearted effort at a ponytail but wisps had worked their way loose. And the glasses. She didn't wear them all the time, but when she did, he couldn't help thinking of that old classic eighties video "Hot for Teacher."
"This is exactly what got us into trouble last night," she warned.
He snapped out of the lust coma and slid his hands into his pockets. "You're right. We broke your number one rule." No point pretending he didn't know what she meant. She was the only woman who had ever made him want to break the rules.
" _Our_ rule, Burnett." She cocked an eyebrow. "We should show a bit more restraint next time, wouldn't you say?"
"We should." He would try. He really would.
"How long will they need my car?"
It took a sec for him to shake off the I-want-you fog wrapped around his brain and to focus on the answer to her question. "You'll have it back tomorrow. You can use one from the motor pool tonight."
"I don't think so." Her laugh was the real thing this time. "I can catch a ride with one of my detectives, thank you very much."
"You could catch a ride with me," he proposed. _Smart, Burnett_. Spend time alone with her in her apartment again tonight. Way to go, idiot.
She smiled and he felt a little twinge deep in his chest. That smile and those lips had haunted him for two decades. God, he was glad she was back where she belonged. _Home_. Close to him even if not _with_ him, officially.
"I should get back to work," she said with a pointed look that told him she had a good idea what was on his mind.
Before he could formulate a response, she gave him her back. At forty-two he shouldn't still have those moments of uncertainty as to what to say or do next, but here he was watching her go with no idea how to proceed either way.
Jess paused at the door. "By the way, we're invited to the Barons' Labor Day party. Mark your calendar, Burnett. I wouldn't miss it for the world."
Leaving him dumbfounded by the announcement, she was gone before he could ask how the hell that invitation had come about.
He heaved a big breath that did absolutely nothing to relieve the frustration banding around his chest. On top of all the rest, apparently between now and Labor Day he would need to explain his past with the Baron family. The _whole_ story.
Something else he wasn't looking forward to. He'd spent ten years trying to put that nightmare behind him.
#
_Vestavia Village, 4:00 p.m._
Jess finished her tea and placed the glass on the elegant crystal tray waiting on the coffee table in the middle of Frances Wallace's unexpectedly opulent gathering room. Not a living room or great room or den, she had explained to Jess. The condos had gathering rooms with mini kitchens equipped for serving cold refreshments. No _cooking_ kitchens or dining rooms. There was no need. The residents' meals were served in the facility's dining hall.
At least this way there was no worry about anyone accidentally burning the place down.
"This won't stop them," Lucille argued. "The construction will continue anyway. Our situation has not changed. _At all_. Why would we want to kill Scott much less bother doing so?" The last she delivered with a look that proclaimed the mere idea grated like broken glass against her delicate sensibilities.
Lucille Blevins was as blunt as Frances and about as delicate as the Glock Jess carried. She was the eldest of the group and made sure everyone understood that detail carried certain privileges.
And the two janitors had called Frances the ringleader. Ha!
Frances sighed loudly. "Mercy alive, Lucille. No one's saying that."
"You said it." Polly Neal lifted her thin chin in consternation. "Said you wanted him dead. I heard you. So did everyone else."
Molly Jones, Polly's twin, nodded adamantly. "I heard it too." She turned to the others. "We all heard it. Didn't we?"
The heads of the other three, Geraldine Lusk, Colleen Sharp, and Pansy Cornelius, moved up and down in frantic agreement. They stole a glance at Jess and stopped abruptly. Then another of those free-for-alls started with everyone assuring Jess that Frances would never hurt anyone. Absolutely not. Not even Scott Baker.
No wonder Frances felt compelled to rally around these ladies despite every last one of them being a tattletale. Well into their eighties, all lacked the actual know-how to dive into a war against the facility's board unless their strategy was to frustrate them to death. The sort of ladies who lived their whole lives with husbands taking care of everything. Nothing wrong with that for those who chose that lifestyle. Had Jess's mother lived, she would have been the same way. Lily's relationship with her husband wasn't that different even now.
Jess could not imagine leaving all that control up to the man in her life—when she had a man in her life.
She supposed Dan was kind of in her life. Sort of.
No one made Jess's decisions for her. The last time that happened, she'd spent from age ten to eighteen in a carousel of foster homes. The day she turned eighteen she made up her mind that would never happen again. Her livelihood and happiness would never depend on anyone else.
She hauled herself back to the present. Following up on the statements made by the widows was nothing more than a formality. Lori had taken each, one at a time, to Frances's balcony and gone over her statement while Jess attempted to explain how the investigation worked and the roles the ladies played in bringing to light the events of the past twenty-four hours. Prescott and Cook had already done the initial interviews but Jess needed to do this. Mostly to reassure herself that she wasn't missing anything.
That was working out just great so far. _Not_.
Bless their hearts. Jess reached for more patience and waited out this latest squabble. They were cute as buttons and for the most part sweet as could be. Except maybe for the twins. Those two were vicious little old ladies from what Jess had gathered so far. Looked as if they were ready to throw Frances under the bus and back up a couple of times.
During a moment of silence as they all caught their breaths and wet their whistles, Frances stared longingly at her tea as if she wished it were something far stronger. "Ladies," she said in a surprisingly calm voice, "I said nothing about killing Scott Baker or wanting him dead. What I said was," she stated firmly when mouths opened to protest, "I hoped to live long enough to see him _eat those words and die_. I didn't mean I wanted him to literally die. I meant he should go to hell."
"You could've just said that," Lucille demanded. "Maybe then we wouldn't be in this hellacious predicament."
A collective round of gasps from the others punctuated the statements.
Frances looked heavenward. "God, help me."
Jess cleared her throat. "Ladies."
All eyes shifted to her. At least she had their attention again. The question was, how long could she keep it?
"None of you are suspects in this case. You are only persons of interest. But your statements are important to the investigation." Jess kept her hands folded in her lap in hopes of presenting a calm, cool demeanor. She sure didn't need any of these ladies having a stroke or a heart attack. Try explaining a scene like that to the press. "Anything you remember beyond what you've shared in your statement could be useful in finding the person who did this awful thing."
Molly and Polly shared a look. "You mean we're not in any sort of trouble?" the latter asked.
"No, ma'am," Jess assured her. "We only needed to go over your statements regarding where you were last night and to discuss whatever you might know about any enemies Mr. Baker may have had."
"You mean beyond every single soul he met?" Lucille challenged.
"Do you know of any specific person or persons with whom Mr. Baker had trouble?" Jess tried again.
"Scott Baker was a very savvy businessman, Jess," Frances said. "He told me once that he'd never met anyone he couldn't charm when it came to negotiations." She lifted her glass in a salute. "Besides me, of course."
"No one other than the seven of you were against this new construction?" Jess tried a different tactic.
Heads wagged. "They're all too afraid to speak up," Lucille explained.
"Why would anyone be afraid to speak up?" That was the first time she'd heard that one.
The widows clammed up as if she'd asked which one lost her virginity first.
"We pay well for this luxury," Frances spoke up when no one else would. "But there are rules. Opening hours for the dining room and the little movie theater we all love so much. He made it a point to learn our habits, what we enjoyed, and then when we crossed him about this, he took the things we cared about away."
"Give me an example," Jess prompted, her dislike for the deceased mounting.
"I have dinner with my daughter's family on Monday nights. Afterward I come back here and enjoy a cup of tea in the dining room with my friends before retiring for the evening. He instructed Ms. Warren to stop serving tea after eight." She waved her arms to indicate her lovely home. "We're not allowed to cook in our condos, not even with a microwave. We can't even have a coffeemaker or a teapot."
"He fired my hairdresser," Polly said. "I won't let anyone else touch my hair." She patted her curly gray locks. "From the day the salon opened, Deidra was my stylist. He fired her. I can't make arrangements to go to the new shop in town where Deidra works since one of the occupancy rules require we use the on-site salon."
"I'm addicted to hot fudge pie." Lucille wrapped her arms around her waist as if the confession drew everyone's attention to her healthy middle. "As soon as I signed that petition to stop construction, the dining room stopped serving my pie."
Jess leaned forward, outrage kindling in her belly. None of these instances were exactly torture tactics but the man was strong-arming these old women. No, he was bullying them. "Have you contacted attorneys to have your contracts reviewed?" There had to be a law against this mistreatment.
"It's all in the fine print," Frances announced, the weight of the battle she'd been waging showing on her face. "Baker was a brilliant businessman. He may not have charmed me but he certainly outmaneuvered me."
"No enemies to your knowledge, other than the residents such as yourselves who were unhappy with him?" Jess should get this interview back on track. "No one in particular who came around that stirred your interest in what he might be up to?" This was as close as Jess would get to outright asking if the man was having an affair. She wanted these ladies to give her information, not the answers they thought she wanted to hear.
"No one I can recall," Frances said first.
Lucille shook her head.
Jess tried a different tactic. "No problems with his deputy administrator or his secretary?"
"They're having an affair," Polly said in a stage whisper.
Now they were getting somewhere. "Mr. Baker and his secretary?" Jess asked.
"Oh no!" Molly laughed. "Baker was too boring for that. Mr. Clemmons and the secretary are having an affair."
Everyone in the room started tossing out the latest gossip they'd heard. Jess held up her hands to quiet them. "We need facts, ladies. Just the facts." Whatever the deputy administrator was doing, Scott Baker had sex with someone before his murder.
"If Baker was having an affair," Frances said as if she were the final authority in the matter, "he was very discreet. I've never heard a rumor like that about him."
Jess waited for her to go on. As did the others, fortunately.
"Scott loved his wife. He loved his son. He loved his life." For a bit Frances looked as if she might weep. "I despised his business tactics but"—she drew in a deep breath—"he would never have hurt his wife or any other woman like that. He wasn't that kind of man. He worked. He went home to his family. That's it."
"How can you be so certain?" Lucille demanded, her gaze narrow with suspicion.
"I hired a PI." Frances gave a little half shrug. "So sue me. I figured if I could find some dirt on him, we could be rid of him. Maybe if there was evidence he'd used his position in some inappropriate manner to manipulate the Your Life corporation coming in and taking over, then we could undo this mess. What I discovered was that he was a cutthroat businessman. He lied to us at every opportunity and, worse, he stole the peace we all deserved."
"And paid for," Polly added for good measure.
"A private investigator?" All the frustration and impatience Jess had been holding back whipped out of her on those three words. "You have a background investigation and surveillance reports and you didn't think to mention that?"
Frances heaved another big sigh. "I didn't want to look any guiltier than I already do. Hiring a PI is a little extreme. I recognize that now. But I was flustered and it seemed like a good idea at the time."
"I'll need those reports immediately," Jess warned. "As in right this minute."
"You can have them." Frances got up from her camel-back sofa and walked over to a table near the door. "But the reports are full of nothing." She crossed back to Jess and handed her a pathetically thin manila folder.
Jess stood. "Thank you, ladies." She surveyed the group. "I appreciate your cooperation." She smiled and just for the devil of it said, "Now don't y'all be leaving town until I give you the go-ahead."
She strode toward the door with Frances hot on her heels and the other six whispering loud enough for folks in the next condo to hear.
"Jess, you know I didn't mean any harm keeping that from you. I forgot, that's all."
She wanted to be upset with her favorite teacher but that just wasn't possible, so she whispered back, "This better be the only thing you didn't tell me about."
"I swear." Frances held up the two fingers signifying Scout's honor.
Jess opened the door but decided to give Frances one last counsel. "Keep your widows under control." Then she was out of there.
This widows' club didn't know a thing that would help the Baker investigation. Jess was confident of that assessment. Still, as a cop, the truth was that the only thing preventing Frances Wallace from becoming a full-fledged suspect was Jess's certainty that the killer had been far stronger and faster than her.
Lori waited in the courtyard, her cell phone pressed to her ear. Judging by her exasperated hand gestures, she was not too happy with her caller. She and Chet Harper had just moved in together. Was there trouble in paradise already? Chet had a three-year-old son. Lori was worried about whether the child liked her or not. Maybe that was the real issue.
Jess wished she could make the younger woman understand that these things took time and patience. Something she'd never had enough of. That was why, at forty-two, she was alone unless you counted her off-the-record affair with her boss.
The man she was supposed to have married twenty years ago.
Another hard lesson learned about not relying on others or love or money.
Jess booted the past back to its place deep in the nether regions of her gray matter. She had a homicide to solve.
Lori looked up as Jess drew nearer. She quickly ended the call but there was no speedy way to banish the mixture of emotions from her face. She was worried and frustrated. Jess was confident her frustrations had nothing to do with the widows.
"That was Harper."
"Everything all right?"
Lori joined her progression toward the parking area. Jess put her hand on her arm and stopped her for a moment. "Just look at that view." She admired the calm water of the lake. The birds dipping down for a drink with the breeze playing with the lovely ornamental grasses nestled around its rocky shore.
When the sun dropped amid the trees in the distance, it would be a breathtaking sight. No wonder the board was anxious to squeeze more out of this view. According to the plans she had seen in Baker's office, the new condo tower would be far taller and larger than the one Frances and her friends occupied. Leaving them absolutely no scenic view whatsoever.
Jess moved on. "You were saying Harper called?"
"Mrs. Baker is back home and she wants to speak to the person in charge of her husband's case." Lori hit the clicker to unlock her Mustang. "Like right now."
That was generally Jess's line. Since the wife had been out of town and the mayor had been keeping word of her return under wraps, Jess was glad someone wanted to help with this investigation rather than hinder it.
"Let's hope there's something she can add to the investigation." Maybe Mrs. Baker knew what her husband was up to when she wasn't home.
Jess fastened her seat belt and waited as Lori maneuvered off the property. If she chose not to talk about whatever was going on between her and Harper, Jess would understand. She hoped their relationship wouldn't damage the SPU team. She wanted both Lori and Harper working with her. Keeping their personal lives separate from the job wasn't going to be easy. Jess knew that firsthand.
She opened the manila folder Frances had given her to have a look at the PI's report.
"He doesn't want me in his father's house."
The words burst out of Lori as if a dam had cracked. Jess turned to her. Her profile told the rest of the story. Lori Wells was on the verge of tears. That was way out of character for the tough-as-nails lady who had survived days on end as the hostage of a ruthless serial killer.
"Give it time. It's too soon to expect a child so young to accept you." Jess wished she had advice more immediately comforting. At three, Chet's son was old enough to be fearful and standoffish with strangers. And yet too young to understand that his father had a new friend he wanted to keep around.
"I don't know." Lori's lips trembled. "He doesn't want to be in the room with me. He stays hidden behind his father and he doesn't want me close. At all. Maybe I shouldn't be there when he comes over. I could go to my place. Make things simpler."
"No."
Lori braked for an intersection. She turned to Jess with a question or hope amid the despair on her face.
"If you give him that," Jess promised, "you will never become a part of his new normal. You have to stay the course. Be strong and steady. Be there. Keep smiling and trying to interact. He'll come around in time."
"From your mouth to God's ears." She tightened her grip on the steering wheel and took a deep breath as if needing the cleansing effect. "Your friend is a character."
Jess smiled. As much as she wanted to shake Frances right now, she still adored her. "Yeah. I know." Speaking of Frances, Jess turned her attention back to the manila folder. She scanned the first report. "Do you know a private investigator who calls himself or his business _Tracker_?"
"Tracker?" Lori glanced at her. "Are you serious? I mean, _the_ Tracker?"
Jess rifled through the four pages in the folder. "That's the only name on the reports."
Lori grinned. "Tracker. I can't believe it. I think you're going to want to talk to him. Maybe even before we talk to Mrs. Baker. What time is it?"
Jess checked her cell. "Five-twenty."
Lori got one of those aha looks. "I know where to find him. He's like clockwork. Rumor is every day at five he lands on the same barstool with a beer in his hand."
"Who the hell is this guy?" What in the world was Frances doing dealing with someone who spent that much time in bars? Frances Wallace epitomized etiquette and principles—most of the time anyway.
"Some cops would call him a lowlife scumbag if you could even get them to say his name out loud. But"—Lori paused, seeming to choose her next words carefully—"others say he's a damned good investigator when he wants to be. I was curious. I read up on him. Until a few years ago, Buddy Corlew was a legend in the department."
"Did you say Corlew?" No way. "Forty-something?" Jess snapped her sagging jaw shut.
"That's him," Lori confirmed. "You know the guy?"
Jess leaned back in her seat, almost anticipating the opportunity that had fallen into her lap. "Let's just say that I knew him once."
_The Garage, 10th Terrace South, 5:12 p.m._
Jess had to hand it to her old friend. If he was going to spend his evenings hanging out in a bar, this place definitely had some charm. From the rusty sign out front to the wisteria climbing over the iron gate and garden statues, a welcoming atmosphere just reached out and enveloped anyone who got close. Inside, there was more of the same. Lots of friendly conversations at the rustic bistro tables and along the bar, even for a Tuesday night.
One man sat alone at the far end of the bar, a vacant stool separating him from the rest of the patrons. Buddy Corlew was an island. The only thing here that could touch him was the lively music blasting from the speakers.
While Lori melted into the crowd, Jess made her way to that unoccupied stool. He didn't look up as she settled in next to him. Just as well. Gave her a moment to study his profile. Not much had changed. The threadbare jeans and T-shirt and cowboy boots had always been the mainstay of his wardrobe. He still sported that trademark ponytail. Only the slicked back hair was more salt than pepper now. Crow's-feet had made themselves at home. He'd filled out a little around the middle. Definitely no longer quarterback material but then she had no room to talk. It was hell getting older.
"If you're that interested," Corlew suggested without turning his head to meet her steady gaze, "I'm happy to buy you a beer and give you my number."
"I got your number twenty-four years ago, Corlew," she advised, "the night you tried to talk me out of my panties."
He turned to her, the lopsided grin that had broken many an innocent heart making an appearance. "I don't expect I'd be any more successful now than I was then."
Jess smiled. "I don't expect you would."
"I heard you were back in town."
"I'm pretty hard to miss." Considering she'd been all over the news, that was an understatement.
"You and Dan back together?"
"He's my boss," Jess skirted the question.
Corlew grunted. Could mean anything or nothing at all.
"I hear you've got your own shop now," she prodded, since he didn't seem inclined to launch into conversation.
Corlew had gone straight from high school to the Marines. It was either that or do jail time for busting too many heads. Back in the day, Buddy Corlew was the badass of Birmingham—a tough guy who rode a Harley and stole the prettiest girls from the rich boys in town.
But there had been one girl, hard as he tried, he hadn't been able to steal away from the rich boy she loved. Jess shook off the foolish thoughts. _God, that was a long time ago_.
"That's right." Forearms braced on the counter, bottle of beer in hand, he turned to Jess. "After I lost yet another battle with Burnett four years ago, I decided I was better off working for me instead of the establishment."
On the way here from Vestavia Village, Lori had explained how Buddy Corlew had achieved the status of veteran detective with nearly a dozen years under his belt at the Birmingham Police Department. As the story went, he'd had his own way of doing things and spent more time stepping on toes than following the rules. He'd butted heads with Burnett one time too many. When Burnett was appointed chief of police, Corlew was out of there.
There was more to the story, Jess suspected. Eventually she would get the rest from Burnett.
"Frances Wallace hired you to find the dirt on Scott Baker. According to the reports she showed me, you didn't have any luck."
He bunched up one shoulder, then let it relax in an indifferent shrug. "You can't find dirt that doesn't exist. Besides, you know I can't discuss a case with you."
Jess reached into her bag for her badge, then placed it on the counter. "In case you haven't heard, Scott Baker is dead. Murdered. It's my case. Frances gave me the file you provided. You have a question about that, you can call her. Otherwise, I have a few questions, Mr. Corlew. You want to answer them here or you want to take a ride downtown?"
He downed the rest of the beer and pushed the empty longneck aside. "Scott Baker was squeaky clean, _Chief Harris_. Not even a parking ticket. His wife too. Hell, I even checked out that swanky retirement facility he runs—ran. Nothing shady there either except a slick businessman determined to make his daddy proud." The waiter grabbed the empty bottle and plunked down a replacement in a passing swoop.
Corlew gave the waiter a nod, then carried on with his story. "They're building another swanky joint called Windswept Village down in Orange Beach. These guys aren't interested in murder. They're too busy making money off folks like Frances Wallace and her wealthy friends."
Jess stowed her badge and fished out a business card. New ones that no longer listed her as a special agent for the FBI. She'd picked them up on her lunch break yesterday. "If you suddenly remember something you believe relates to my case, I'd appreciate a phone call."
He gave the card a thorough perusal as she slid off the stool. "If I don't remember anything relevant," he asked, "can I call you anyway?"
Jess suppressed a laugh. Same old Corlew. "You can try."
Just like twenty-four years ago, she walked away without looking back.
#
_Woodwind Circle, Hoover, 6:00 p.m._
As Lori slowed for the turn into the Baker driveway, the barrage of reporters camped at the street shouted questions at Jess. The onslaught lasted until the security gate opened and they rolled through, leaving the more unpleasant noise of a higher social status behind. Already Cook had notified Jess that she'd made not only the midday news but the five o'clock as well.
Apparently the most popular trend in the local media was whether Birmingham's elite could handle Jess Harris's brand of police work.
Funny, when she'd hit the road after high school graduation, the city's elite, beyond the Burnetts, hadn't a clue who Jess Harris was. Now she was a regular household name.
Whoop-de-doo.
The home Scott Baker, or his daddy, had bought for his family was a multimillion-dollar masterpiece of European design. The place was ten thousand square feet in size if it was two. What in the world did a couple with only one child need with a house this size?
His wife, Trisha, dressed modestly. Her slacks and blouse were your everyday generic garments found at any department store. The contrast between her wardrobe and the decadent silk brocade sofa where she chose to sit was almost distracting. The lady flaunted no French manicure. Very little makeup. Chances were she would have cried that off by now anyway. A trusty box of tissues sat next to her on the fancy sofa. The woman wasn't at all what Jess had expected. Totally unpretentious.
The in-laws, on the other hand, were exactly what Jess had anticipated. Scott's father had threatened to call the mayor if Jess excluded him from her interview with his son's wife. His own wife had taken their six-year-old grandson into the kitchen to make cookies. When Jess refused to be bullied by the overbearing man, he finally agreed to leave the room. Lori was taking his statement. That appeared to appease him. Jess reminded herself that the elder Mr. Baker had lost his son. Maybe under different circumstances he would have been more cooperative.
"I apologize for my father-in-law's temper," Trisha said as Jess settled in the chair across from her. "We're all just devastated and not at all at our best. Scott's brothers haven't gotten into town yet. I'm hoping they can help _him_... with this. Scott's mother can't do anything with him. She and I are... in shock and just trying to muddle through."
"That's completely understandable," Jess assured her. Trisha was likely still in the denial phase. Her husband's death didn't feel real yet. This was a good time to interview her—before the inevitable emotional crash and burn. "Mrs. Baker, I don't want to keep you from your family, so I'll get right to my questions if that's all right."
She nodded and Jess readied her pencil. "Do you know of anyone at all, a friend or relative or a colleague, who might have felt ill will toward your husband?"
Trisha glanced at the closed doors.
"No one in your family," Jess offered, hoping to set her at ease, "will have access to your statement."
Trisha's fingers knitted together in her lap. "My husband spent a lot of time at work. He didn't really have a life." She smiled a little but her lips trembled with the effort. "My father-in-law's demands on his sons are so harsh and unforgiving that failure is just not acceptable. It's all about who can achieve the biggest deal. Scott was about to get his trust fund. Finally. Then his life would have been more his own." Her shoulders rose and fell with the agony she clearly felt. "I don't want my father-in-law to do that to my son. Scotty would never be able to tolerate that kind of treatment."
"Do you feel this competition between Scott and his brothers may be related to his murder?"
Trisha shook her head, then glanced at the door once more. "Before Scott reached thirty, there was only one way his trust fund would transfer to me and our son with no strings attached to his father. And that was if he died. He worried a lot about that."
A new layer of tension started to work its way through Jess's muscles. "There's less than a week to go before his thirtieth birthday. Why would that be a problem now?"
"I'm not certain." Trisha swiped at her eyes, struggling valiantly not to break down. "Lately Scott has been saying that even after he got his trust fund his father would never let him go. He worried that our son was doomed to the same fate. He asked me to take our Scotty out of town." She moistened her lips. "That was last Friday. He said I should go and stay put until one of two things happened: I heard from him or... it was over." Her eyelids fluttered wildly to hold back the tears. "I tried to get him to tell me what was going on and he wouldn't say." She dragged in a big shaky breath. "He just kept telling me our son's troubles had shown him how wrong he'd been and now he might have to pay the price."
"And you have no idea what he meant?" Jess wasn't getting the point here. "Is your son ill?"
Her head moved side to side and tears spilled down her cheeks. "Scotty's in first grade. He's small for his age and painfully shy. Some of the boys make fun of him. He comes home from school crying almost every day. My husband couldn't bear it. I think that's why he began staying at work later and later. He said this was his penance."
"Was your husband bullied or a bully himself growing up?"
"That's what's so crazy about this." She cleared her throat, tried to dry her eyes with a wad of tissues from the box she now clutched like a trusted friend. "Scott was one of the popular boys. Everyone loved him. He was a star lacrosse player. President of his senior class. He was a good guy. I never heard anything about him hurting anyone."
"And you?" Maybe he was protecting her somehow. "Did you have any issues in school? Or perhaps now?"
"I was a wallflower in school. I went to a private Christian school and he went to Brighton Academy. We rarely crossed paths. Once in a while at sporting events when our schools competed. He was the only boy who ever really noticed me." She attempted a smile but her lips didn't want to cooperate. "Not much has changed there."
"Let me be completely honest with you, Mrs. Baker," Jess said. "I can find your husband's killer a lot faster if I know about any problems you were having. Marital or otherwise." Scott had sex with someone just prior to his death. And that someone was not his wife, since she had been out of town. If there were problems in the relationship, Jess could damn sure use a firsthand account.
"We didn't have any." The new widow lowered her head for a moment before meeting Jess's gaze once more. "Other than the worry he had about something he thought he did wrong in the past and it somehow impacting our son, our lives were as close to perfect as anyone could hope for."
Jess absorbed the ramifications of what Trisha's statements implied. She would come back to that in a moment. "Can you tell me the significance of your husband's tattoo? The number five?"
Trisha blinked as if she didn't understand the question; then she pressed her hand to her chest. "The _Five_." She laughed. The sound was painful to hear. "When Scott was in high school, he and four of his friends formed a kind of secret club—the Five." She made quotation marks in the air. "They intended to rule the world. But he said they had to settle for Birmingham." She stared at her hands where she ripped at the wad of tissues. "Now it's too late for Scott."
"I know this is very difficult, Mrs. Baker, but could you give me the names of the other members of the Five?"
"Kevin O'Reilly and Juliette Coleman. Those were the two Scott talked about most. There's Elliott Carson and Aaron Taylor."
Only one of the names was familiar to Jess. _Coleman_. She wondered if Juliette was related to Birmingham's beloved reporter Gina Coleman. "These other members of the Five still live in Birmingham?"
"They all left for college with big dreams, except Scott and Kevin," she said sadly. "Their lives were plotted out for them right here so they all came back eventually."
That story sounded way too familiar to Jess. Had she been back home more than a month now? Didn't seem possible. She'd left for college with those big dreams too.
"Do you think any of those friends would have some idea why Scott was so worried about whatever it was he felt he'd done wrong in the past?" There were a lot of things that could explain Scott Baker's guilt. An affair? Maybe he had another child somewhere that he had ignored.
"I suppose it's possible," she confessed. "I'd never heard him talk like that until Scotty's problems at school started."
Jess glanced at her notes. "You said that he asked you to take Scotty to Mobile and for you to stay until you heard from him or it was over. Do you believe he had a meeting planned with someone?" Scott Baker had met with someone—his killer. And whoever killed him had known him. Maybe even intimately.
"I wish I knew. While Scotty and I were in Mobile, my phone conversations with Scott were normal, as if nothing was wrong. If I asked him if everything was okay, he would suddenly need to go."
"Did he give you the impression that you and your son were in danger?"
"No. He..." She looked away again, her hands wringing together as if the words were far too unbearable to say aloud.
"Mrs. Baker, we need your help on this," Jess urged. "Whatever you know or think you know may make all the difference."
The grieving woman drew in a shuddering breath and met Jess's gaze. "I think something very bad was about to come out—something he felt was connected to him or his family somehow. So he did what he had to do to protect our son's future."
The grim certainty in the woman's eyes had Jess's instincts screaming. "What is it you think he had to do?"
"The only way to protect our son's financial future was for him to die."
"But your husband would have gained control of his trust in a few days. Wouldn't that have achieved the same result?"
"I just don't know. But with him dead, the trust fund goes to Scotty with me in control." Her lips flattened into a thin line of fury. "And then I'm taking my son and I'm going as far from here as I can go. I'm never coming back."
No wonder she hadn't wanted to talk in front of her father-in-law. "But your husband was murdered. How does that play into what you're telling me?"
"Scott's family is Catholic. Suicide is unforgivable."
What the hell kind of family were the Bakers? More important, was she saying what Jess thought she was saying? Holding her breath, Jess waited for Trisha to say the words. She could not put them in her mouth.
"I think he hired someone to kill him," Trisha said. "He sacrificed himself to save our son."
With that stunning statement ringing in her ears, Jess thanked Mrs. Baker and did the best she could to smooth over things with the father-in-law. He wasn't happy that some lesser cop had interviewed him while his unimportant daughter-in-law had gotten the deputy chief. He'd promised to inform the mayor of her treatment.
Oh well. Mayor Pratt was the one who'd suggested her for this case. She suspected he was not going to want to hear this scenario. As off the wall as it sounded, Jess had no choice but to give the wife's suggestion of suicide by murder a proper look.
Outside the palatial home, Lori fired up her Mustang and sent Jess a look. "I hope you got more than I did."
"I certainly got one hell of a theory to chew on." She gave Lori the condensed version.
"It's not totally impossible," Lori offered with a look that said _Yeah right_.
"Scott Baker was in to something," Jess agreed. "Something he wanted to hide from his family and that ultimately cost him his life. An affair? An illegal business scheme?"
Who knew? Jess ignored the reporters as they exited the property. Luckily none bothered to follow. They were far more interested in what the Bakers would do next than what the police would do.
Lori laughed, the sound a little strained. "You're not going to believe this but I think we have a tail."
Jess resisted the urge to turn around and stare out the back window. "Anyone we know?" If Dan had her under surveillance again, she was going to... thank him and let it go. That war was getting old. Lopez's messenger had assured her she had nothing to worry about from that former empire, but taking the word of a gang lord as gospel wasn't exactly her style.
Uncertainty stirred when she considered another possibility. Nah. Eric Spears, the serial killer who had turned her life upside down and who had gotten away, was far too brilliant to make a move using such a pedestrian tactic.
"Navy or black four-door sedan," Lori said. "It's old. Maybe a Corolla."
"Unless he makes an aggressive maneuver, just let him follow us."
"You don't think it's any of Lopez's former allies?"
She pulled down her sun visor and had a look at the car via the mirror there. "I don't think even the low man on the Lopez totem pole would be caught dead in a ride like that." The last time she'd gotten a visit from Leonardo Lopez and his clique, they'd been driving high-end SUVs.
"The economy's bad all over," Lori reminded her.
"That's why my house is still languishing on the market," Jess grumbled. As long as the house in Virginia didn't sell, she couldn't look for permanent housing here. Cutting her Realtor some slack, it had been only a month. Maybe the place would find a new family soon. Someone who would actually be home occasionally. Unlike her. When she'd worked at Quantico, she'd spent most of her time at the office or on the road.
Lori took a right. A block later she made a left. "He doesn't seem to mind that we've obviously spotted him."
They could continue playing this boring game or, "Let's find out what he wants," Jess announced.
Lori shot her a look. "You want me to stop."
"I do." Jess braced for her move. "Maybe we can get his license plate number when he goes around."
Lori let off the accelerator and then eased down on the brakes. Tires squealed in protest but the Mustang came to a smooth stop in the middle of the road.
The dark sedan careened to a stop far enough behind them that making out the driver's face was impossible. Jess turned all the way around in her seat to stare at him. She wanted him to know he was caught.
He did nothing. Just sat there. A horn blew as a minivan drove around.
"Well, aren't you just full of yourself," Jess muttered.
"What now?"
"Start backing up. He won't have any choice then."
The instant the Mustang was in reverse and the backup lights flashed a warning, the driver of the other car backed up, then spun around and raced off in the direction they'd come.
Jess committed the first three numbers of his California license plate to memory but that's all she got. "What're you doing so far from home, Mr. Corolla?" She turned and settled back into her seat.
"You want me to follow him?"
"That won't be necessary. If he has something to say, he'll find us again."
"Home or the office?"
Her Audi was at the lab. "Do you mind dropping me at my place?"
"No problem. So what's the deal with Corlew?" She glanced at Jess. "You two looked pretty tight in there."
Jess had wondered when Lori would get around to that question. "We went to high school together."
"Was he pre-Burnett?"
"I knew Corlew first, if that's what you mean. He and Burnett were mortal enemies. Their football rivalry was legendary. Burnett was the rich kid from the right side of the tracks and Corlew was his opposite in every way." Except that they were both devastatingly handsome and too sexy for any female's good. That part she would just keep to herself.
"You and Corlew had a thing?"
Jess considered how to put the answer. "We had a _moment_. That moment is dead and gone. I had known Corlew for years and I can't deny having fantasies about him. Any girl breathing at the time would have admitted the same. But he never paid any attention to me until Burnett and I became an item. Then he wanted to take what belonged to Burnett." As young as she'd been, she hadn't been stupid. "It wasn't really about me. It was the rivalry between those two."
"But you had a moment," Lori reminded her.
"The night before the homecoming game of our senior year, I was angry at Burnett for something. We were always fighting and then making up."
"Does that ever stop?" Lori sent her a look. "I mean, really, do you ever outgrow that need to best each other?"
Jess wasn't so sure she could give Lori an answer she wanted to hear. "I don't know. I'm still waiting for that to happen."
Lori groaned. "So you were mad at Burnett," she prompted.
"I guess word got around that we'd had an argument and lo and behold, who shows up at my door on his big sexy Harley?"
"He took you for a ride."
"He did." Jess would never forget that night. The wind in her hair and the absolute terror as he raced down a long dark stretch of highway. She'd held on to him for dear life. At some point they'd ended up at one of his hangouts and he'd tried every way in the world to seduce her.
"Earth to Jess," Lori teased.
"We kissed. That's it."
"Does Burnett know about that night?"
"If he found out, he never mentioned it."
"The chief might need to worry," Lori noted. "I saw the way Corlew looked at you. That moment might still have a little life left in it."
"I don't think so." Jess shook her head.
"So you and Burnett made up after that _moment_?"
"He climbed into my bedroom window sometime after midnight. My foster mother was out of town. Gambling in Mississippi with her old lady friends, if I recall correctly."
Lori laughed, a rich deep, guttural sound. "I can't see the chief climbing in through a bedroom window."
"We were young and in love. The only thing that mattered was the moment."
They'd had other moments... like ten years ago when Jess had come back to Birmingham for Christmas with her sister and her family. She and Burnett had run into each other at the Publix supermarket.
They hadn't seen each other in ten long years and somehow they'd ended up at his place... tearing each other's clothes off.
Jess didn't know whether to laugh or cry at the idea that Burnett had somehow managed to invade every decade of her adult life.
Maybe it was a sign.
#
_9911 Conroy Road, 7:55 p.m._
Jess waved to Lori, then turned to face her garage apartment. She had to start remembering to leave a light on inside. Mr. Louis had added a sensor to the outside light on her landing so that it came on at dark. Still, no matter how old she got, there was just something unnerving about going into a dark house.
This evening, though, she was too beat to work up any real misgivings. Wasn't that always what happened with the characters in horror flicks? They were either too tired or too distracted to pay attention.
"Just go up the stairs, Jess," she grumbled to herself.
"You're home."
Jess jumped, made one of those silly sounds those characters in the movies she'd just been thinking about make. Her landlord stood at the corner of the garage wiping his hands on a small cloth or hand towel.
"I didn't mean to startle you." Louis gestured to the garage. "I was just cleaning my paint brush. But I was hoping to catch you."
"Well, you caught me," Jess assured him. She put her hand to her chest and ordered her heart to take it easy. "I was trying to convince myself to climb those stairs." When a seventy-plus-year-old man could sneak up on her like that, it was time to polish up those old basic awareness skills.
"I painted your railing." He gestured to the iron railing leading up the landing outside her apartment. "It was looking a little weathered. We can't have rust setting in."
The deep bronze color did look a little browner but it was difficult to tell with dusk setting in. She was glad she hadn't touched it.
"I was about to have dinner. Come along, you can join me. Give yourself a rest before you have to climb those stairs."
Jess almost cringed. She had a long hot soak and a glass of wine on her mind. "I couldn't impose."
"It's no imposition. Dinner is done already." He motioned for her to follow. "I insist you join me."
How did she say no? "If you're sure."
Besides, she really needed to have that talk with him about her door. Last week she'd come home late, like now, and found him slathering a fresh coat of paint on her door. It wasn't that she didn't appreciate a well-maintained home, but she suspected there was more to that decision than the sudden urge to spruce things up. After the message she'd been left in her apartment by an intruder before her locks were changed, she had a feeling that same intruder had left her an ugly message on her door.
Maybe Louis was OCD and couldn't bear to put things off. She'd need to make him understand that he couldn't go cleaning up what might be connected to one of her cases.
She had a feeling he was so going to wish he hadn't rented this place to her.
He opened the door and waited for her to go in first. She opened her mouth to thank him but the most amazing aroma short-circuited her ability to speak. The scent of cloves and paprika hung in the air.
She finally found her voice. "That smells amazing."
"Why, thank you." He ushered her inside.
She really should feel guilty imposing like this but he looked so excited at the prospect of having her company, and her appetite was doing somersaults at those incredible scents. She did have questions for him. The least she could do was spend a little time with a lonely old man.
And taste whatever smelled so freaking heavenly.
This was her first time in her landlord's home. The craftsman architecture of the century-old house carried through to the interior. The living room was neat and sparsely furnished. The lack of efficient lighting left the room a little dark for Jess's taste. She hadn't once seen the heavy drapes open on any of the windows except the kitchen. Nothing wrong with preferring privacy.
"I hope you're not a vegetarian." He motioned for her to follow him. "The kitchen's this way."
"No, sir," Jess said in response to his comment as she trailed after him. "No reason to ignore any food group, the way I see it."
"The pork's been cooking all day." He pulled out a chair for her at the oak table that stood in the middle of his kitchen. "The sauce is a family recipe."
Barbeque pork. Jess couldn't remember the last time she'd had a barbecue sandwich. Or attended a cookout. She needed a life. As soon as this case was solved, she would make a concerted effort. Starting with the Baron Labor Day cookout. That was as good a beginning as any.
With a twisted ulterior motive.
She needed therapy. Serious therapy. She wondered what a shrink would say about her fascination with Burnett's exes.
While Mr. Louis readied their plates, Jess considered how to broach the subject of the paint job on her door without offending the elderly gentleman. She guessed he was about the same age as Frances. Jess didn't have a clue whether or not he had any family here in Birmingham. As independent as she was, she understood how difficult it would be to reach his age and be alone. Proof positive that her brain was done for the day. She needed that glass of wine and long hot soak.
"I saw on the news that the administrator of that nursing home was found murdered."
"Retirement home," she corrected. Considering those feisty widows, the Vestavia Village was definitely not a nursing home. "It's more like luxury condos for those who don't want to cook and clean for themselves."
"I see." He crossed to the table and set a plate before Jess. "Water? Iced tea?"
Too bad beer hadn't been one of the offerings. She loved beer with barbecue. "Water would be nice."
He delivered a glass of tap water on ice and a linen napkin for Jess before preparing his own plate. Then he sat down across the table from her and waited expectantly.
So this was awkward. Jess propped a smile into place. "Do you want to say grace?"
"You may, if you'd like." He adjusted his eyeglasses.
She smiled. "Why don't we just eat?"
"Yes." He nodded. "Let's eat."
She picked up the sandwich with both hands and took a small bite. The flavors filled her senses and she moaned before she could stop herself. "This is delicious," she managed around the chewing. "The pork is so tender."
"Hours of basting."
Louis went on and on about how he'd prepared the meat. Jess tried to listen. She really did but mostly she just ate. By the time she'd finished off the sandwich, she felt like the hog she'd eaten. "I am absolutely certain I've never had barbecue that amazing." She was also certain she'd never devoured anything in front of a man who watched her every move so intently unless they had either just been intimate or were about to be.
"I'm pleased you enjoyed it." One of those rare smiles lit his face. "There's plenty more."
Jess held up both hands. "No. No. I couldn't."
Silence stretched a second or two too long. She couldn't keep putting off discussing the subject of her door... or of the search Burnett wanted forensics to do of his property.
"So you're investigating that murder?"
She nodded. "Yes, I am."
"I'm certain you'll get the bad guy." He cleared his throat and looked around the room as if he wasn't sure what to say or do next.
_Just ask him, Jess_. "The other evening when I came home, you were painting my door. Had someone written something ugly there? Maybe a message for me?"
He reached up and adjusted his glasses again. "What sort of message do you mean?"
There it was. The averted eyes. The monotone. Guilt. "I investigate some very bad crimes, Mr. Louis. Sometimes the folks who commit those crimes or maybe just some who don't like me very much get a kick out of saying or doing things they think will scare me."
He cleared his throat again and glanced at her. "You mean like threatening that you're going to die or something like that?"
So it was that kind of message was it? Her heart felt heavy at the idea. "Yes, that sort of message."
Still not looking at her, he nodded. "It was very ugly," he said softly, his voice growing lower with each word. _"Kill the bitch."_
A similar message had been left at the crime scene she'd worked last week. "I apologize that you had to see that," she offered. "And I do appreciate your trying to protect me from the unpleasantness. But the message may have provided clues to the case I was working on. I need to see any and all messages that come to me by whatever means."
He stared at the table for a moment. Jess felt like a total jerk for scolding him. She didn't like it at all. He'd offered her a place to live and she made him feel awkward in his own home.
"Mr. Louis, I'm sorry. I feel terrible even having to bring this up."
He lifted his gaze to hers. Whatever he felt he'd erased it from his face. "Don't apologize. You're right. I should have asked you first. I wasn't thinking." He swiped his palms across the crisp white tablecloth as if trying to smooth invisible wrinkles. "I was taught to respect and protect women. It's difficult for me to see such things. But I do understand."
Relief flooded her tense muscles but she still had one more favor to ask of him. "You remember on Friday my car had to be towed because someone tried breaking into it?"
He nodded but he didn't look at her. "That's very unusual. We don't generally have break-ins in this neighborhood."
There it was. Further proof that she'd brought nothing but trouble to his door. "I'm certain you don't. We believe the person who did this was after me." Jess moistened her lips. "The forensics techs, the folks who gather evidence at crime scenes," she explained, "would really like to have a look around if that would be okay with you."
He stared at the tabletop some more, smoothing another wrinkle only he could see. "I suppose that would be all right."
Jess wanted the floor to crack open so she could disappear. "I appreciate your patience, Mr. Louis. You've been so kind and I've been nothing but trouble."
He stood abruptly. The table shook. "Really. It's no trouble."
Jess decided that was her cue to go. She gathered her bag and followed him to the front door.
"I'll have to return the favor sometime." She gave him her brightest smile. "I'm not nearly as good a cook as you but I am fabulous with takeout."
He nodded. "That would be very nice, but no Chinese. I don't eat Chinese."
"All right, then." More awkward seconds ticked off. "Good night, Mr. Louis." She turned to walk out the door but his voice stopped her.
"George." He cleared his throat. She had decided that was his nervous tic. "You're to call me George."
"George," she repeated. "Well, good night, George."
"Good night, Jess."
The night air wasn't much cooler than it had been before the sun went down. Sometime next month the heat would start to lose its ferocity. She couldn't wait.
Taking her time, she strolled across the yard toward her place. Mostly she worked at shaking off the creepy feeling she felt guilty about having. The man was just trying to be nice and she couldn't stop analyzing him and his nervous habits long enough to truly appreciate his generosity.
At least she didn't have to worry about dinner tonight.
Careful not to touch the railing, she climbed the steps to her door. As soon as she'd had that soak she'd promised herself, she intended to open a bottle of wine and relax in the glider that waited just outside her door. Another kind gift from her landlord. Lord, she felt like a total shit.
It was cool inside her place. She turned on the light, then, out of habit, locked the door and left her bag on the table. Grabbing her robe, she headed for the bathroom. If she had ever been this tired, she had no recall of the event. No sleep at all last night had taken its toll. Thank God Lori had done all the driving today. She opened the valves to fill the tub. Deep and extra hot was how she wanted it.
Jess thought of that dark Corolla that had followed her and Lori today. First thing in the morning she would put Chad Cook on trying to run down the possibilities with that partial plate number she'd gotten.
A rap on her door stalled her efforts at opening a bottle of white wine she wished was chilled but wasn't. She hoped Louis hadn't decided that he couldn't deal with all her issues and had come to give her notice of eviction. Or, worse, Harper was here with the report of another murder. Nah, he would just call.
That left only one possibility. She peeked at her visitor. _Dan_.
She opened the door and stared up at him. "This is not a good time, Burnett. You're getting between me and my two best friends—wine and a long, hot bath."
"I wanted to let you know that your Audi will be ready tomorrow around lunch."
"You couldn't call?" There was more to it than that. "Is there something new on Allen?" Surely not since noon today.
"Nothing new. Did you speak to Mr. Louis about a search of his property?"
"Yes, I did. He agreed. You just need to set up a time."
"Good."
There was more. She waited. He stood there. This part always drove her nuts. "You're here for what reason, then?" They were not having sex tonight. No way. No how. She refused to even be tempted, which required that she stay annoyed at him. They had bent that rule completely out of shape already this week. And she was exhausted. Totally, dog tired.
"Pratt called."
Jess laughed. "I should have known." She turned around and headed back to that bottle of wine.
The door closed, locks engaged, and Burnett joined her. "You need any help with that?"
"No, sir." She twisted the corkscrew harder, taking her frustration out on it.
"Mr. Baker complained about your tactics interviewing his daughter-in-law. He claims she was in no emotional condition to be interviewed."
The cork came loose with a distinct _pop_. Jess didn't say a word until she had poured a hefty serving and downed a significant portion of it. "She called and asked to speak to me as soon as possible. Ask Harper and Wells if you need verification. Besides, when exactly are family members of homicide victims in a suitable emotional condition for interviewing? Should we put the investigation on hold until whatever time that is?"
"I know." Burnett's shoulders sagged. "I don't need verification, Jess. I'm just here to let you know that feathers are ruffled. I smoothed things over but you'll need to proceed with caution. We talked about this."
"That's _your_ job." She snagged the other stemmed glass she owned and passed it to him. "You're the chief of police. You keep things smoothed over. I"—she waved her glass—"on the other hand, ruffle things, including feathers."
Burnett splashed some wine into his glass and sipped it.
She poured herself another serving. "That's what you do for all your chiefs, right?"
He nodded. "That's what I do for all of them, yes." This time he downed the meager serving he'd allowed himself.
"You show up at Black's or Hogan's door like this when they step on toes?" She stared straight at him and waited for an answer.
"You know the answer to that."
"That's what I thought." Another gulp of wine for fortification. "It's been almost a month, Burnett. At some point you have to stop treating me differently than you treat the others."
He stared at his glass as if he wished he dared drink more and then drive home. _Because he was going home_. There would be no sleepovers during the workweek.
"That might not be possible."
At least he wasn't still denying that he was treating her differently. "We'll have to work on that," she suggested. "If it makes you happy, I will try not to tick off any more of Pratt's uppity friends."
"Have you heard from Duvall since he returned to LA?"
Now there was a question out of left field. "He called to say he'd arrived safely." She shrugged. Wasn't about to discuss the rest of what her ex-husband had said. "I haven't heard from him since. Probably won't unless he learns something from Lopez that we need to know about Captain Allen's disappearance."
"He wants you back." Burnett placed his glass on the table and shoved his hands into his trouser pockets. "You still sure that's not what you want?"
Where the hell had that come from? "We talked about this already. I'm happy here and now. I'm not looking to go backward."
He fixed that blue gaze of his on hers and grinned. "See. That's how I feel every time something else about one of my exes comes up. Like this Baron cookout. You only want to go because you're curious about Nina."
Well he had her there.
"I have to turn off the water in the tub." She hurried to the bathroom before he could say more. The steam rising from the water as she shut off the valves had her considering just forgetting about Burnett and climbing in. But she couldn't do that.
Resigned to hearing him out, she padded back to where he waited. "You could save us both a lot of trouble and just tell me the deal on Nina. Is she anything like her sister?" Jess liked Sylvia. She was brash and a total smart-ass, but she was tough and determined and far more fragile inside than she was outside.
"Good night, Jess." He headed for the door.
That he refused to come clean with her about this Nina woman bugged the heck out of her. "I saw Corlew today."
Daniel Burnett stopped dead in his tracks. He turned back to her. "How?"
"He's a PI now."
"I know what he is," he said with a sharpness she seldom heard in his tone.
Well, well. The two hated each other just as much now as they had back in high school it seemed. Why was it men didn't see how petty and immature that was? Women didn't walk about with chips on their shoulders like that. They found a way to get even.
"He did a background search and some surveillance on my vic." She shrugged. "I needed to follow up with him."
Burnett held up both hands. "Don't tell me, you found him in a bar."
"How'd you guess?" Jess refused to rise to the bait. "We had a nice little reunion. According to my sources, his services are highly sought after these days."
"Watch him, Jess," Burnett warned, anger simmering in those baby blues. "He's not the same man he used to be. He's cold and calculating and he'll do anything to win."
Jess frowned. "That's funny. He sounds exactly the same." Those parts of his personality she remembered vividly.
Clearly exasperated, Burnett changed the subject. "You need a ride to the office in the morning?"
"Lori's picking me up."
Apparently satisfied, he reached out and squeezed her arm. "See you tomorrow."
She cautioned him not to touch the railing and then she watched him go before locking up. At least the wine had her feeling a little more relaxed, despite his annoying warnings. Tread carefully with the mayor's friends. Don't trust Corlew. If she were totally honest with herself, she would have to admit that he used passing along the mayor's comments as an excuse to stop by when he could have simply called. He was still worried about her safety. Maybe she should be a little more worried herself. But she had to find a way to make him see that he could not continue to single her out from all his other deputy chiefs. Doing so made her look incapable and cast a bad light on him. How long would it take the others to notice Burnett was playing favorites to some degree?
The absolute last thing Jess wanted was for her return to Birmingham to damage his career. She had to make him see what others undoubtedly already had. He was hovering like a helicopter mom.
"I can take care of myself," she muttered as she snagged her Glock and headed for that nice, long soak. She placed the handgun on the little table that sat next to her tub. Thirty seconds later her clothes were on the floor and she was neck-deep in nice, warm water. A little draining and then a lot of adding heated things back up, had the steam rising again.
She closed her eyes and allowed the images and voices of the day to filter slowly through her head. Scott Baker's wife was convinced that her husband had wanted to be murdered. The concept was a little too far-fetched in Jess's opinion. More likely Trisha Baker was in deep denial and talking crazy. Jess would need a lot more than her emotional plea to put much stock in that scenario.
The poor woman needed some rationale that her husband was dead and this made him a hero. He was protecting their son. Delusional or not, there could be some truth in the part about Scott Baker sending his wife and son out of town. Since Baker likely knew and anticipated his killer's visit, perhaps he felt that he and his family were threatened by this person and he wanted to ensure his family was safe.
Maybe the other woman had pulled a _Fatal Attraction_. If that were the case, why go through with the meeting without arming himself or having some manner of backup? Why not call the police? And why the hell did he turn off the security system?
The only logical reason for his decisions was that he had something to hide.
Jess groaned as her tense muscles started to melt.
If Baker had a secret, why didn't Corlew find anything? Even the best-kept secrets were never really safe. There was always someone somewhere who knew something.
Maybe Corlew had been paid to find nothing. By Scott perhaps. The Baker family was rich and powerful. If the son had troubles, they could certainly have made them go away without him ending up dead.
That was the part that didn't make sense.
The grind of metal on metal forced her eyes open. Jess held her breath and listened. Was someone at her door? The sound came again. She was out of the water and wrapping a towel around her body before the air released from her lungs. She claimed her Glock and eased to the bathroom door. She'd left it open a crack so seeing into the rest of her apartment was easy.
She slipped out of the bathroom and checked the door. Locked. One by one she checked the view out the windows. No vehicle in the driveway. No fleeing would-be intruder.
Just to be sure, she checked the lock on the door again. That grinding noise had sounded like the workings of a lock rubbing against each other.
Had to be Mr. Louis doing something downstairs in the garage.
Satisfied that there was no one about, she cleaned up the mess she'd made. She'd tracked water everywhere. Then she finished her bath and climbed into bed. To hell with drying her hair. She'd forgotten to ask if the electrical problem had been resolved.
Just now she was too tired to care.
Her eyes drifted closed and her cell made that irritating sound that told her she had a text message.
Probably Burnett saying good night.
She reached for her phone.
Not Burnett.
_Tormenter_.
Eric Spears. The serial killer who'd gotten away. The one who'd tortured and murdered dozens of women. The one who'd gotten close enough to destroy her career at the Bureau and then followed her to her hometown. The sick son of a bitch who had killed a federal agent right here in Birmingham and almost killed Lori and Dan.
She'd gotten a smart-ass remark from him on Saturday. Something about Burnett having won this round. He'd taunted her about her ex showing up. She'd ignored him. Maybe not a smart move. But his game was getting old.
Just something else for her to feel guilty about. Originally her plan had been to try and lure him into reacting so she could get another shot at taking him out. That had likely been foolhardy or just doomed from the start. Whatever the case, she was just too tired to play tonight.
But then if she didn't... what would his next move be? To start a new game with someone else? An innocent victim her actions might have saved?
"Just do it," she muttered. She swiped the screen, opening the text from him. Her lips tightened as she read his message. Just one word. _Cheers_.
Her attention settled on the empty wine bottle and glasses on her kitchen table. He couldn't be here... watching her.
_Impossible_.
Her feet hit the floor, Glock in her hand. Again, she went from window to window and checked the perimeter for as far as she could see in the moonlight.
Nothing.
She ordered her heart to slow. The undeniable fear he had prompted dissolved and outrage roared in its place. "Show your face, Spears." Her fingers tightened on her weapon.
Let him come.
The next time he showed up in her life, she planned on being the last thing he ever saw.
#
_Laurel Drive, Hoover, 9:20 p.m._
Elliott Carson studied the newspapers he had saved for more than a decade. His gut had turned inside out and then twisted into knots.
BIRMINGHAM HIGH SCHOOL SENIOR FOUND DEAD
Images from that night flashed like lightning through his mind. The seven of them seated in a circle on the roof with only the moon and a single candle for light. They had been drinking... a lot. Elliott and Juliette had smoked weed but the others had snorted coke. It was the first time any of them, to his knowledge, ever did drugs. They'd bought a whole load of shit. They were going to par-tay.
Look what it had cost them...
What had they been thinking?
Elliott braced his head in his hands and read the headline that had appeared in the _Birmingham News_ a week later.
BIRMINGHAM TEEN'S DEATH RULED SUICIDE
He closed his eyes and prayed fervently, his lips moving frantically to keep up with the words pouring from his heart. How could they have done this awful thing? How could they just cover it up and pretend nothing had happened?
They had taken a life... the five of them. All this time they'd pretended. They had gone on with their lives as if _his_ hadn't mattered. Every day of every one of those years had been another he had not been allowed to enjoy because they had robbed him of that future.
It was time they made this right. Scott shouldn't have had to die for them to see how wrong it was to continue this lie. If Elliott hadn't been such a coward, he would have done the right thing long ago.
He was a coward. He had a boy of his own now. Just like Scott did... _had_. How could he expect his child to make the right choices in life if he didn't? Sweet Jesus, when his wife and son found out... his whole family would be devastated.
Scott's family would be further devastated.
They would all be devastated. Elliott's jaw hardened. He had no sympathy for the others. But their families were a different story. Their one mistake was going to cost so many so very much.
Elliott picked up the pages. Handwritten pages torn from a diary or journal someone had left stuck in his door like a religious pamphlet. Thank God his wife hadn't been home to find this ugliness.
Kevin was right. _He_ was here and he wanted them to know he hadn't forgotten what they had done...
March 15
It was always the same. We ran into them at the mall. Probably wasn't a coincidence. Love did things to a guy. Made him stupid.
The Five were in the food court showing off. Ha! They thought they were celebrities or something. Thought their shit didn't stink. Avoiding the phonies would have been the best thing to do. Not so lucky. He had to sit as close to them as possible.
No point trying to save him. He was a lost cause. But a friend didn't leave a friend no matter that he was being a dork at the moment.
Elliott scrubbed at his eyes, his heart pounding, but he couldn't stop reading.
Hot Scott, that's what all the girls called him, was the leader of the Five but it was that smart-ass Elliott Carson who took a turn today. That's what they did. They took turns making other people feel beneath them. Using those less fortunate for their entertainment. It made him so angry... and still he took it because his friend was a sucker in love.
It was the stupidest move. If those assholes were smart, they would at least come up with more original ways of making everyone else look like idiots. Elliott asked him to go grab him another Coke. He'd even buy a round for our table. I told him not to listen to just ignore them. But he didn't. Poor bastard took the money and rushed to fill the order.
When he reached the table with the tray of Cokes, Elliott tripped him. Made a hell of a mess but mostly it hurt. Everyone stared at him and laughed. Maybe one day they would both get used to the humiliation. Not!
Life just wasn't fair sometimes. But he figured the Five would get theirs one day.
Elliott crushed the pages in his hand and pushed out of the chair. He remembered that day as if it were yesterday. He'd just been fucking around. He hadn't meant any real harm.
Goddammit! He walked around his desk to pace the room. His room. The private office and getaway he'd needed after his career-shattering injury had brought him back to Birmingham a lesser man. His wife had overseen the building of this big-ass mansion and getting them settled while he'd brooded, feeling sorry for himself. Eventually he'd gotten over it and started his new life—the one that didn't include baseball.
At least he'd had a life... The man he'd helped murder hadn't gotten that. All he'd ever gotten was laughed at after being made the butt of a joke.
How many times had Elliott been the one to initiate that kind of pain?
God, he didn't want to think about it.
Tonight, Elliott had sent his wife and son to her mother's. He needed some time alone to figure this out. A decision should have been reached by now. There was no excuse for this waffling back and forth. He knew what he had to do. If he'd had any doubts, receiving the pages from this journal had reminded him. All he needed was one ally in this mess.
Juliette was the most likely one he could count on. Kevin and Aaron would never go along with the idea of coming clean about that night. Both were too fucking selfish.
What they'd done back in high school was wrong.
His blood ran suddenly and completely cold. Would they get the death penalty for what they had done?
The law might decide to make an example out of them. Bullying and shit like that was on the news all the time now. All those generation Xers and Yers who whined about it now were the world's worst at belittling and bullying when they were in high school. Just like him. What a crock.
Okay. He had to make this right. Do this the proper way. The PI he'd called hadn't called him back and Elliott couldn't take the waiting any longer. He had to act. He could call that lady cop who was investigating Scott's murder. All he'd have to do was call the nonemergency line and get a message to her. She'd call him back when she got the message.
Elliott exhaled a big breath, let the tension flow out of him. Making that decision was a tremendous relief. He wished he'd made it years ago instead of listening to the others.
He touched the screen of his cell and pulled up the keypad. He tapped the first few digits. Something in his peripheral vision captured his attention. He stared at the wall above the credenza for two, then three beats before the reality of what he was seeing fully registered. His lucky bat was missing. His wife kept his trophies in a case in the family room, but that bat was extra special to him. He kept it here, in his home office.
Where the hell—
"Batter up!"
Elliott pivoted to face the person who'd shouted those two words. The ski mask and gloves concealing the intruder's identity registered, telling him nothing but stealing valuable time.
The bat swung.
Elliott saw it coming... but it was too late for him to duck. He'd been too startled, too stunned, too busy trying to figure out why someone in a ski mask would steal his lucky bat while he was in the house.
The bat slammed into his skull.
As he dropped to his knees, his lucky bat connected with his head again and the lights went out.
#
_Parkridge Drive, Homewood, 10:00 p.m._
Lori stayed in the bathroom as long as she could without risking Chet figuring out what she was doing.
She and Chet Harper had been living together less than a week and already they'd had their first major fight. He was angry because she pretended to have something else to do this weekend, which prevented her from going to the zoo with him and Chester. He couldn't say for sure she wasn't telling the truth. He _suspected_ she wasn't because she had been up front with him regarding her reservations about his three-year-old son.
Little Chester hated her. End of story. He couldn't stand to be close to her. He clung to Chet whenever she was around. Nothing she said or did made any difference. The kid simply did not like her. Why would she make herself and the kid and Chet miserable by going to the zoo with them on Saturday afternoon?
Let the two of them enjoy the day and they could be miserable with her that evening. Because until the kid went to sleep that night, he would be miserable with her there. His father would be miserable because little Chester was miserable and Lori would be miserable at the whole idea.
She'd get her sister Terri to cover for her with some excuse of plans the two of them had with their mother. It shouldn't be a big deal. Except it was. Chet saw right through her.
He knew what she was up to.
She couldn't exactly hide in here all night.
Lori draped her towel over the side of the tub and secured the sash of her robe. Before making her exit, she ran her fingers through her hair once more, checked her teeth. She walked to the door that separated her from the confrontation waiting in her otherwise perfect relationship with a totally awesome guy.
The sound of the door latch echoed like a shotgun blast through the silent room. He'd already gone to bed. He was definitely upset with her if he didn't want to say good night.
The lights were out except for the one in the hall. She tiptoed to the bed. When the lump in there didn't move or say anything, she understood that he was through arguing for the night.
She would have liked to clear the air but Chet would prefer to avoid the problem. That concept made her angry all over again. Why the hell couldn't he understand her position? He was a father. He'd gone through the pregnancy with his wife and spent three years playing the part of daddy. She hadn't done any of that stuff. Yes, Chester was a precious little boy but he wasn't _her_ little boy. She hoped one day they could be comfortable around each other but there was no way to rush the bonding.
Not for the child and not for her.
She yanked off her robe and tossed it aside before crawling beneath the sheet. This was exactly what she had feared. Before they had moved in together, the concept of becoming a pseudomother was just that—a concept.
Maybe she wasn't mother material.
Chet had no right rushing her into that step.
Something she obviously should have discussed in more detail with him before she'd moved into his home. The one that had a bedroom for his son—a point she had made when they had been contemplating the idea of moving in together.
What an idiot she had been! A child wasn't a piece of property. She should have given more weight to the reality that when she got the man, she got the kid. She couldn't love Chet without learning to love Chester.
She wanted to! She really did. But she needed time.
"I was wrong."
His deep voice flowed through the darkness and skimmed her bare skin like warm silk. She couldn't hold back the shiver the sound prompted.
Lori rolled to her side. He did the same. It was too dark to see his face or eyes, but she already knew both by heart.
"I want to do this right, Chet." She hoped her voice conveyed just how deeply she meant those words. "But you're pushing your son and me to form a bond when we both need time. I can't make him trust me much less love me."
For a few moments they lay in the dark, the silence widening between them.
"I love you, Lori."
She couldn't bear it. She reached out, traced the strong line of his jaw. The dampness there made her breath catch. "I love you." She hadn't meant to hurt him... she'd made the strongest man she knew _cry_. Her heart squeezed in agony.
"I love my son too," he murmured. "I want you to love him... I want him to love you."
Her lips trembled into a smile. "It takes time. I will love him a little more each day just like I do you. But it'll take longer for him to love me. He doesn't understand."
"I know. I didn't mean to push too hard."
She moved closer to him, pressed her lips to his damp jaw. "I know. We're both finding our way."
"Chester and I will go to the zoo on Saturday. You go relax with your mom and sister. We'll catch up at dinner."
Lori made her decision then and there. "No. I'm going with you and Chester."
"I don't want you to do anything you're not ready to do," Chet urged gently, but she could hear the hope in his voice.
"Chester needs consistency. If I'm with you sometimes but not other times, he might get confused. I was wrong to be such a coward." That was the truth. Jess had advised her to be consistent. Lori was a grown woman. It was ridiculous for her to be afraid of a child. She and Chet were making a life together.
That life included his son.
"I need consistency too."
Lori frowned but he couldn't see her in the dark. "Is something else wrong?" How else had she screwed up? Oh, man. This was worse than she thought.
He rolled her onto her back and burrowed between her thighs. "I want to make love to you every day for the rest of my life. Missing a day doesn't work for me."
"Who said we were going to miss a day?" She couldn't think of anything she'd rather do than spend her life making love with this man.
He pushed into her. Her whole body tensed with anticipation.
"I want to kiss every part of you." He started at her forehead and began a methodical path over her face... but it was his hips grinding into hers with each firm thrust that had her unable to catch her breath.
"Here," he murmured as he nuzzled her ear.
Her leg muscles tightened as she lifted her hips to meet his.
His mouth covered her breast... her fingers tangled in his hair as the waves of orgasm began. He cupped her bottom, pulled her harder against him as his own urgency drove him steadily toward that pinnacle of sensations.
Afterward he held her tight until her heart stopped pounding.
As she drifted off to sleep, she wondered how she would ever survive if she lost this man.
She hadn't wanted a relationship like this... but she hadn't been able to stop herself from falling so deeply in love with him.
How had this happened so fast?
#
_Birmingham Police Department, Wednesday, August 11, 8:05 a.m._
Jess had gotten to the office early. She and Lori had updated the case board with what they'd learned from Baker's wife. The possible scenarios, such as an angry business partner and an obsessed mistress, had been added to the board. Alibis for six of the widows had been confirmed. Frances, dear, sweet, Frances, was the lone unsubstantiated person of interest among the group.
Buddy Corlew, the Tracker, had been added as a person of interest.
At Jess's request, Harper and Cook had made a run to the department's forensics garage to pick up her Audi. To finish clearing the SPU office, she sent Prescott to do some follow-up interviews with the two janitors at Vestavia Village who had discovered Baker's body. Lori was tracking down fresh coffee.
Jess had maybe ten minutes before any of her team returned. She waited with mounting impatience for the call to connect. She'd intended to have this conversation with Supervisory Special Agent Ralph Gant, her former boss at the Bureau, before she left for work. But Lori had shown up earlier than expected and since she had been Jess's ride to work, that was the end of that.
"Gant."
Finally. "Good morning," Jess said with all the perkiness she could muster. "How are things with you?"
"Has _he_ contacted you?" Gant cut straight to the chase without even a hello. Tension thickened his voice.
Jess made a face. Couldn't the man ask how she was or at least answer her question? She was the one who needed answers. "I'm calling to see if you have anything new on Spears?" She held her breath, hoped her little maneuver would work.
"We haven't picked anything up on him since he left the country. Wherever he is, the bastard's flying way under our radar. I don't know why I'm surprised—that's his MO. I just don't like it, that's all. He killed one of my best agents, not to mention one of Birmingham's. I want that bastard."
Jess didn't like it either. She turned to stare out the window behind her desk. What if he was out there? Watching her every move again? To say good night at a time she was most likely in bed was one thing. Even to know when her ex-husband showed up in Birmingham wasn't outside the realm of easily obtained knowledge. Reporters had been all over the place the night her motel room was vandalized. Wesley's face may have shown up in one of the shots. But last night's text was a horse of a different color. How had he known she was having wine?
She shook off the troubling thought and decided there was no way to ask this question that wouldn't rouse Gant's suspicions but she had to know. "What are the chances that he has slipped back into the country without detection?" She braced for a deluge of questions, though her query was perfectly logical. Despite the very best efforts, people slipped through the tightest security measures every hour of every day.
"I knew it," Gant fairly shouted. "He has contacted you. How the hell am I supposed to conduct this investigation if you don't keep me up to speed?"
_Get around that one, Jess_. "I received a text from him. That's it. Short and sweet. Last night before midnight." That was about as vague as she could get without being obvious. If he found out about all the other text messages, he would come unhinged on her. Gant might not be her boss anymore but he was in charge of the Spears investigation. He could make her life miserable if he suspected she was in any way impeding that investigation.
"What did he say? Did he threaten you in some way? What?" Gant demanded, his frustration loud and clear.
She grimaced in advance. This was not going to bode well. "Cheers."
All ten seconds that elapsed before he spoke again throbbed in her brain.
"Does that mean something in particular to you, Harris?"
Harris, not Jess. The frustration had been kicked aside in favor of an attempt at intimidation. Had he forgotten already that those tactics just didn't work with her?
"It means nothing." Her sister would tell her she was going to hell for lying but Jess was pretty sure that particular sin was way down on the list of her transgressions. A fact she had no plans to point out to her sister. "I mean, I did have wine last night but there's no way Spears could have known that."
Gant didn't bother pointing out that somehow Spears had obviously known she was having wine.
_Oh God_. She rubbed at her neck. Why did this have to be so complicated? If he was after her, why didn't he just bust through her door? One more shot at him was all she needed.
"I'll need access to your phone records."
Gant didn't trust her to give him the whole story. And he was pissed. Well, hell, why had she even told him? "No need to go through all that red tape. I can tell you the number he used—if it was even him and if he hasn't dumped the phone already. I doubt checking it out will be worth your trouble."
The chances of tracking him on a throwaway cell were slim to none but she liked throwing that remote possibility in Spears's face every chance she got.
"Why don't you let me be the judge of whether it's worth the trouble?" Gant demanded.
"Fine," she snapped. "Feel free to access my cell phone records, Agent Gant."
_Grudges are not attractive accessories, Jess_. Just because Gant hadn't backed her up when the shit hit the fan a couple of months ago and her Bureau career had been crumbling was no cause to be a bitch now.
"Text me the number too." Gant heaved a put-upon sigh. "He may have someone local watching you. You need to be careful, Jess. This guy has a dangerous fixation on you. You know how this could go the same as I do."
"That's why I'm calling." No one comprehended the situation she was in any better than she did. She had two options. Ignore Spears and keep her fingers crossed that he was too afraid of getting caught to return to this country or bait him in hopes of nailing him if he did come back. She'd chosen the latter. Problem was, she couldn't share that with Burnett or Gant because all they wanted to do was shove her into protective custody. "He made contact. I'm notifying you."
"I'll let you know the instant I have anything new," Gant assured her.
"Thanks. I appreciate it." Jess ended the call. She stared at the pedestrians on the sidewalks below rushing to get to their offices. Spears could be out there. Or one of his henchmen. He could have someone watching her. He liked playing games. They didn't call him the Player for nothing.
She had let her guard down to some degree. Whenever she had a case, she lost track of all else. Between work and finding a place to rent until her house in Virginia sold, she had been a little preoccupied. Maybe Burnett and Gant were right. She needed to be more careful. She'd made at least two too many enemies.
Eric Spears she understood. For months she had studied the Player. She had known what made him tick even before she learned his real name. She knew what he wanted. He wanted her. To play with for a while and then to torture and kill her. That was his MO. She felt some degree of confidence that the way to stop him was to lure him back into a game with her. An up-close-and-personal game.
She needed him close... close enough to kill.
Captain Ted Allen was an unknown factor. He was supposed to be one of the good guys but that was up in the air now. He wanted revenge against Jess for screwing up his big case. At least, she presumed that was what he wanted. Everything else was a variable. Where was he? Who knew? What was his actual intent? No clue.
One thing was certain: she had good reason to watch her back.
Jess banished the thought and forced herself to relax by admiring the picture Devon Chambers, the key witness in last week's investigation, had drawn for her. At only eight years old, Devon was quite the little artist. He'd captured Jess, along with her bag and badge, on a perfect sunny day beneath a blue sky. She only wished she was as slim as the golden haired stick figure he had drawn.
"It took me a minute," Lori announced as she breezed into the large conference space the Special Problems Unit used as a communal office. "I had to brew a fresh pot."
The scent that floated from the cups she carried had Jess meeting her in the middle of the room. "That smells great." She accepted a cup and cradled it in both hands so its warmth would chase away the lingering chill brought on by thoughts of Spears and Allen.
"It's all in the wrist." Lori made a scooping motion with her free hand. "Some of these guys make it so weak you can see through it. I'm here to tell you that ain't coffee."
Jess tested Lori's theory. The brew was every bit as delicious as the stuff the detective made at home. "If you ever decide to give up police work," she told her friend, "you could teach Starbucks a few things."
Lori smiled but it looked a little overdone. "I might not be the motherly type but I can bring down the house with my coffee-making skills."
Jess felt her eyebrows rear up in surprise. "Still worried about Chester, huh?"
Lori shook her head. "I understand I have to give him time, but this is tough." She shrugged. "I feel like my entire life is on hold because a person less than three feet tall doesn't like me. By Friday I'm dreading Sunday and no sooner than we take Chester home on Sunday I'm already worried about Wednesday."
Before Jess could scrounge up a witty answer, her cell phone clanged that vintage sound she loved to hate. "Hold that thought," she told her friend; then she laughed. "Or maybe let it go for now."
"That would make being around me a lot easier," Lori assured her.
Jess checked the screen, didn't recognize the number. "Harris."
"Well, good morning, sunshine."
_Buddy Corlew_.
No matter that she didn't want to, she heard Burnett's voice in her head warning that Corlew might have his own revenge on his mind. The two had been rivals back in high school but she'd had no idea about the troubles since.
Jess elbowed Burnett's warning aside. "What can I do for you, Mr. Corlew?" She said his name with a pointed look at Lori.
Lori smirked. She didn't have to say the words. Jess knew what she was thinking. _I told you so_.
"I watched the news about your vic, Baker, last night and I remembered something from my dirt search on the guy that might prove useful to your investigation."
"Really? And what would that be?" Like he hadn't remembered this whatever it was when she spoke to him yesterday. Maybe Burnett was right. Maybe Corlew wanted to play games. Well, she didn't have time for games. Unless he had the name of someone who wanted Scott Baker out of the way or he knew who Scott was having sex with besides his wife, then Corlew was wasting Jess's time.
"Not over the phone. Meet me at Cedar Hill Cemetery in Bessemer. Say in half hour? I'll give you the big break you need on this case."
"Cedar Hill Cemetery?" The call ended before she could demand a better explanation. She stared at her phone and bit back a slew of curses.
"We taking a road trip?"
Jess savored a sip of her coffee before surrendering to the inevitable. "Yes. We are. Corlew is going to hand us the big break we need to solve this case."
Lori grabbed her cell and purse from her desk. "I knew he had the hots for you."
"We'll just see about that, Detective."
_Cedar Hill Cemetery, Bessemer, 9:01 a.m._
Lori turned into the cemetery, rolling past the gates. Thankfully there were no services or service preparations going on this morning.
"That's him." Jess leaned forward and studied the man leaning against the black Dodge Charger. He'd pulled over to one side of the main thoroughfare that cut through the landscape of headstones. "What're you up to, Corlew?"
Lori pulled over behind him and shut off her Mustang. "I guess we're about to find out."
Corlew pushed off the muscle car and strode toward them. "Nice wheels," he said to Lori.
She acknowledged his compliment with a nod. "Thanks. Yours aren't so bad either."
"Got the Hemi engine to back it up too."
Jess resisted the urge to step aside and give them plenty of space for a pissing contest. "You said you'd remembered something useful to my case."
"Follow me." He turned and swaggered into the cemetery proper.
Cedar Hill had been a part of Birmingham history for more than a century. The grave markers spread for acres and acres. The best she recalled someone famous was buried here. A baseball or football player.
They were deep in the cemetery when her patience ran out. "Corlew, where the hell are we going?"
"Right here." He stopped at a marker and gestured to the name engraved there. "This is your lead."
_Lenny Porter_. Died at eighteen, just twelve years ago.
"I don't really need another dead man, Corlew." Jess propped her hands on her hips. "I hope you didn't waste my time dragging me out here."
"Twelve years ago, Porter was poised to graduate with honors. He was headed to MIT with a full scholarship. Instead, the night before graduation, he walked off the roof of the old _Birmingham News_ building. His death was ruled a suicide but there were those of us who believed otherwise."
"What does his death, suicide or homicide, have to do with Scott Baker?" _Other than the obvious_ , Jess kept to herself. The year of his death was the year Baker graduated from high school. "Were Porter and Baker classmates?"
Corlew shook his head. "They were miles apart. Like a couple other guys I once knew. Baker was the rich, popular kid and Porter was the nerd who spent his high school years glued to the wall wishing he had a life."
Jess motioned for him to go on.
"Porter takes a nosedive. No one really cares but the police have to investigate, it makes the news, then fades away. Except"—those gray eyes of his glittered with mischief—"his burial expenses were paid for by a certain wealthy Birmingham family you might know... the Bakers."
"That's not so unusual," she argued. "The family likely heard about the tragedy and wanted to help. Folks do that down here."
"And Scott Baker himself brought flowers out here every year on the anniversary of Porter's death. Every year. This was a kid Baker had no reason to know. None. Nada. And yet, he did somehow."
Jess turned her hands up. "This is all very interesting but I don't see the big lead you promised."
"Baker's old man, the Samuel Scott Baker, has written a check to Porter's mother for the sum of two thousand dollars every month since his death. Do the math—that's a sizeable chunk of change."
Now he had her attention. "Was there an affair between Samuel Baker and Mrs. Porter?"
Corlew shook his head. "No connection whatsoever until her son's death."
"The mother's still alive?"
"And getting that check every month," Corlew confirmed. "Funny thing is, the day before your vic bit the dust, Mrs. Porter boarded a ship in New Orleans for a seven-day cruise. The first one of her entire life. I did some checking around and seems Scott Baker sent her on this luxury vacation. Made the arrangements just a week ago."
Baker sent his wife and son out of town as well as the Porter woman. Interesting. That deep hum that signaled she was onto something started to vibrate inside her. "Where's Porter's father?" Whether this was a lead in her homicide case or not, she wasn't sure. But it was definitely an interesting twist she needed to investigate.
"Not listed on Porter's birth certificate. Never in the picture as far as I could determine."
"Sounds like maybe Samuel Baker had himself an illegitimate son." Seemed the most likely scenario. But why did the mother only demand help after his death? Had Porter confronted Scott? Maybe the money was to prevent a scandal. And why send her out of town now?
"I was still in the department when Porter took that dive. I didn't catch the case but I heard rumors."
"What kind of rumors?" Now she saw where this was going. "Who did catch the case?"
"Funny that you ask," Corlew said, "but I believe you should ask Burnett for specifics. I think it was his friend Harold Black's case."
Jess didn't like the idea that Corlew's goal could be to make Burnett and the department look bad, but if anything he had to say led her to Baker's killer, she wanted to hear it.
"I will ask him," she guaranteed the cocky guy. "Meanwhile, don't yank my chain, Corlew. I have an investigation to conduct. What kind of rumors did you hear?"
"That a group of teenagers, all rich kids, were involved in Porter's death. A friend of his, a guy by the name of Todd Penney, told the police he and Porter had been invited to a private party by Scott Baker and his friends. But Penney later recanted the statement."
"Did Baker and his friends have an alibi?"
Corlew laughed. " 'Course. They had each other. The _Five_ they called themselves. These were the richest, most popular kids in Birmingham. The Five. Untouchable. Going places."
The tattoo and the number five. Well, well, it appeared there was more to this little group of high school friends than met the eye. That feeling—the one that started deep in the pit of her stomach and wouldn't let up until she saw something through—started to build.
"We'll pull the case file. Check it out." That was all she intended to say on the subject. If getting even with Burnett was the agenda here, she was having no part of that.
Her gaze settled on the headstone that proclaimed this plot as being home to Lenny, no middle name listed, Porter. If there was any truth whatsoever to Corlew's conjecture, Lenny deserved her attention.
Her cell clanged with an incoming call. "I appreciate the heads-up, Corlew. I'll let you know if I find anything."
Jess turned and retraced the path they'd taken through the cemetery. She didn't look back to see if Corlew followed. He'd handed her more trouble. That was what he'd done. She'd already ticked off most of the department with her brash methods and her less-than-subtle way of doing business. Now she was going to go digging around in an old case and maybe have to suggest her biggest competition in the department, Deputy Chief Harold Black, needed to lick his calf over.
Oh yeah, this was going to go over like a lead balloon. She'd gotten a taste of the blowback when she cast the shadow of suspicion on a cop last week. But she had no choice but to see this lead through.
By the time she dug her phone from her bag, it had stopped ringing and Lori's had started. Jess's caller had been Harper, as she suspected Lori's would be.
Jess kept moving toward Lori's Mustang as she listened to the one-sided conversation.
"We'll be right there." Lori ended the call and tucked her cell into the pocket of her slacks. "That was Harper."
"Has he found us a real lead?"
"I don't know about that but we have another body."
"Another homicide?" Jess didn't mean to sound surprised, but after the trouble she'd had with Black over who got what case, to get two in a row so close together was totally shocking.
"You got it. Male, age thirty, same graduating class as Baker, same type of fatal head injury. _And_ , another member of the Five. Elliott Carson."
The information Corlew had just passed along suddenly jumped to the front of Jess's priority list.
"You ladies decide you needed to properly show your gratitude and maybe take me for coffee?" Corlew asked, catching up since Jess had stalled to consider this news.
"Sorry, Corlew, but we got a call. You remember anything else you think is relevant, you let me know."
"Will do." He tapped his temple. "Mind's like a steel trap."
The man was incorrigible. "I guess all those years of fast women and cheap booze didn't do any damage after all."
He ignored her jab. "So you got another murder?"
He'd hear about it soon enough. She might as well get his reaction. "Elliott Carson."
"Damn." Corlew looked away.
"Damn what?" Jess demanded. If there was more he wasn't sharing, he was not going to like her bad cop side.
"Carson called me last night. Left a voice mail saying we needed to talk. I called him back but I didn't get an answer."
"I guess now we know why."
#
_Laurel Drive, Hoover, 11:20 a.m._
Elliott Carson had apparently done well for himself despite the early demise of his Major League career.
"This is some place," Lori noted as they parked amid the barrage of official vehicles already on the scene.
"I Googled him on the way here," Jess said as she prepared to climb out of the vehicle. "His work with underprivileged youth has garnered him several big-time sponsors. Doesn't hurt that his wife is the daughter of a Texas oil baron."
"That would explain the massive house." Lori shoved her door closed and met Jess at the hood of her Mustang. "Texans take big to another level."
"That's what I hear." Jess surveyed the home of the latest victim. Funny thing was, why the hell didn't these rich guys hire bodyguards if they anticipated trouble coming? Where was their sense of self-preservation?
_Probably the same place as yours when you playgames with Spears and complain because Dan feels the need to protect you_.
_Point taken_.
Now there was something new. She was carrying on a conversation with herself.
Not a good sign. Maybe the department shrink was right when she suggested Jess needed additional counseling.
"News hounds picked up the scent," Lori noted.
Jess snapped to attention and glanced back at the street. Three reporters hustled from their vehicles.
"Let's get a move on," Jess suggested, mostly to herself. She had nothing to give the hungry reporters just now.
A curving stone staircase led from the sidewalk up to the porch. By the time they reached the door, she was cursing the four-inch heels of her new shoes. She'd lost everything when her place was destroyed a week and a half ago. Even her shoes had been beyond salvaging, save one pair that didn't match her new spiffy suit. She'd just bought these lovely new heels that did. Trouble was they were far from broken in.
"Remind me never to buy a house on a hill," Jess grumbled as they reached the porch. After donning gloves and shoe covers, she smoothed a hand over her taupe pencil skirt and checked that the matching waist jacket wasn't riding up. Those reporters would be getting video feed, if not comments, for late-breaking news. It was bad enough to have them dissecting her every investigative step. She had no desire to have her appearance ripped to shreds as well. "Let's get this done."
The towering double doors of the front entrance opened and Harper greeted them with, "I put in a call to the coroner's office to let them know this case might be related to the Baker murder. Dr. Baron is on her way."
"Thank you, Sergeant." Jess appreciated his quick thinking and the confidence to take the steps he deemed necessary.
"And your Audi is waiting in your reserved parking space downtown."
"I have a reserved spot?"
"You do. Right next to Deputy Chief Black."
"Nice." Now she had no excuse for not saying good morning to him every single day. Until she started questioning one of his old cases and a new war started. _Great_.
The Carson home was as ostentatious inside as it was outside. From the marble entry hall floors to the soaring ceilings, the home spoke of style and wealth. Evidence techs moved in and out of rooms like bees searching for pollen.
"Who discovered the body?" Jess settled her attention on Harper.
"The wife. She and their son spent the night at her mother's home last night. This morning she dropped the boy off at baseball camp and came home to find her husband dead in his study."
"I thought her parents lived in Texas." That was what she got for relying on Google.
"They do but the mother keeps a home here so she can spend more time with her only grandchild."
"Did the wife say why she spent the night at her mother's last night?" Jess fished for her glasses and tucked them into place.
"She says her husband asked her to. Said it was important."
"I think I've heard that story before." Scott Baker's wife had stated that he'd asked her to take their child and go away for a few days. Could be a coincidence, but considering both victims were members of this _Five_ , she was thinking maybe not.
"Prescott and Cook are interviewing the neighbors," Harper went on. "The wife is in the family room."
"Detective Wells," Jess said to Lori, "interview the wife again. See what she knows, if anything, about the Five and any of her husband's friends. Does she have some idea why her husband wanted her away from home last night?"
Lori gave her a nod and looked to Harper. "Straight ahead," he explained. "The family room is at the back of the house next to the kitchen."
Harper led the way to the study. An evidence tech was videoing the room. He lowered his camera and nodded to Jess. "I'm done in here, ma'am. I'll just get out of your way."
Jess thanked him and waited until he'd left the room before asking her next question. "No indication our perp was after anything? Money? Jewelry?"
Harper shook his head. "I didn't find anything disturbed anywhere in the house. I asked the wife if there was a special place they kept valuables or a hidden safe. She showed me the safe in the master bedroom but nothing had been touched. Other than this room, the place is clean."
"We can certainly rule out robbery." From what Jess had seen so far, this place would be a burglar's lucky strike.
"Found these wadded up in his pocket."
Harper passed her two evidence bags containing pages torn from a notepad not unlike the one Jess carried. The handwritten pages were dated March, twelve years ago. As she read the victim's name, her breath stalled.
"The author's reminding him of why he had to die." That cop instinct had kicked in hard. Had they overlooked something like this yesterday? "When we're done here, go back to the Baker scene. Check his home." She passed the evidence to him. "If these murders are connected, there may be more of these."
Jess turned her attention back to this murder. She surveyed the elegant study. Richly paneled walls lined with bookcases along one side. Another wall was corner to corner windows that filled the room with bright morning sun. Heavy drapes of red velvet were gathered on each end of the ornate rod that extended the full width of the generous room. A third wall featured framed photos and certificates from the victim's sports career. An organized desk and credenza sat in front of that wall. Directly above the credenza was a mounted rack that sported the slogan _Lucky Wood_ but whatever the rack had held was missing. She frowned, but Harper had said nothing was missing.
"The bat's on the floor next to the victim." Harper gestured to where the victim waited for Jess's attention.
"No sign of a struggle," she noted, mostly to herself. Carson lay on the floor next to the wall of windows. His lucky bat at his side. Blood had accumulated on the floor beneath his head. The blow or blows had left him with a considerable gash.
"Lividity indicates he's been lying in that position for several hours. He's in full-on rigor. Been dead for a while."
Like Scott Baker, Elliott Carson had been tall and athletic. Seemed strange that someone had overtaken him with his own bat without him putting up a fight.
"No sign of forced entry at any of the exterior doors?" The house surely had several points of entry. She supposed one could have accidentally been left open.
"Every door in the house was locked," Harper confirmed. "The only one left unlocked when the first officers on the scene arrived was the one coming in from the garage but the wife had unlocked it when she arrived home."
"Was the security system set?" No need to ask if they had one. They would have one.
"She said he usually sets the alarm before he goes to bed each night. That didn't happen last night."
Jess tried to visualize how the attack took place. "He either knew the perp or the perp was here waiting for him." She turned all the way around, looking for a good hiding place.
"I guess he could have hidden under the desk," Harper offered.
"Too difficult to get into position without the victim noticing." Jess looked from the door to the desk. "If the perp had attacked as Carson came into the room, he would have fallen here." She indicated the floor near the door. "We need to check for blood spatter there. Our killer may have tried to clean it up."
"What about behind the drapes?" Harper asked as he walked to the window. He shifted the full reams of fabric and hid behind it.
The drapes fell to a generous puddle on the floor. Jess had never understood this particular decorating trend. Just something else to move when you vacuumed. "That could be our hiding place," she agreed.
"I'll make sure the glass is checked for prints."
Jess looked from the curtains to the victim. "Still seems to me that if our guy stepped out from the curtains, bat in hand, that Carson would have turned to him in surprise. Wouldn't he have fallen more here than there?" She pointed to a spot perpendicular to where he currently lay on his back.
"You think the perp moved him. Positioned him for some reason."
Jess looked back at the door and then to where the victim lay on the floor, feet aimed at the door. "I think our perp didn't want it to look as if he'd come up from behind his target. He wanted us to believe he'd come through the door."
"A coward attacks from behind," Harper suggested.
Indeed. "Let's see if we can find any evidence that confirms our theory."
"You know that murder weapon is worth some bucks."
The victim's apparently famous bat lay on the floor next to him, discarded as if it were worthless. "Proves our point that this wasn't about money."
"Please," a female voice said from the door, "everyone knows that ultimately everything is about money."
Jess turned to the newest arrival. "Good morning, Dr. Baron."
Sylvia breezed into the room, her form-flattering dress an understated tangerine color that complemented her tanned skin. Speaking of money, Jess would bet a million bucks that beneath those tacky shoe covers the doctor's toenails matched perfectly manicured fingernails that sported the same sassy color as her dress.
How could any woman who spent most of her time with the dead look so elegant and classy? Did she sit up nights with her own private salon and spa staff? Jess was lucky to get a bath and shave.
Sylvia paused next to Jess and surveyed the victim. "Oh my. I'll have to tell Daddy to mark him off the guest list for the Labor Day barbecue."
If Jess didn't know that Sylvia's brash brand of humor was more about concealing her own vulnerabilities than anything else, she would be offended for the unfortunate victim. Sylvia immediately set to the task of determining approximate time of death and making a preliminary call on manner of death, not that it wasn't glaringly obvious. Only this time the killer hadn't bothered to clean the murder weapon.
Had he gotten careless or changed his strategy?
"I'll give the lead tech our punch list," Harper offered.
Jess pulled her attention back to the present. "Thank you, Sergeant." The sooner the techs could wrap up this scene, the sooner this family could try and resume some sort of normalcy in their lives. That wouldn't happen before late today. Jess preferred two rounds of evidence collection. Two rounds was SOP when it came to large scenes with multiple victims. For one as clean as this and with only one victim, some might say once was enough. Not in her opinion.
"You and Dan are coming, aren't you?" Sylvia asked while she made a small incision for inserting a thermometer into the victim's liver. "To the barbecue?"
"We'll be there." Burnett hadn't actually said yes but he hadn't said no either.
"Good. My father wants to meet you." Sylvia sat back on her heels and studied the thermometer. "Your vic died between eight and eleven last night. The manner was certainly homicide."
Jess made a note of the time frame.
"You might want to brace yourself for trouble," Sylvia said as she examined the damage to the left side of the victim's skull.
"Why is that?" Beyond the fact that both her victims were high-profile Birminghamians whose forefathers were the city's founding fathers, which meant the press was sure to pick the investigation to pieces in the news. What could be worse?
"When I came inside, there was a little storm brewing out there." She jerked her head toward the wall of windows that looked over the grand driveway and stairs that fronted the home.
"I expected the media to show up in droves." Jess would have preferred to be on her way before the flock got too thick. Dealing with the press when you had nothing to give them was like getting your picture taken for the DMV. It never turned out well.
Sylvia looked up at her then. "It's worse than that," she warned. "Buddy Corlew's out there demanding to be allowed inside."
What in the world... The last thing she needed was for him to go running off at the mouth to any reporters.
"Thanks for the warning, Dr. Baron," Jess said as she headed for the door. "I'll catch up with you later."
At the moment she had to put out a potential fire.
"That man is trouble," Sylvia called after her.
He was trouble all right. But right now he was mostly a pain in the ass.
On the porch she ran into the man in question, escorted by one of the officers charged with guarding the perimeter. At the street, no less than a dozen vans and cars representing various local media outlets lined the perimeter. Powerful lenses swung toward her. Jess could feel them zeroing in.
"Chief, Mr. Corlew says you sent for him."
She glared at Corlew. And there went that mischievous twinkle in his eyes again. "Thank you, Officer Ashby." She gifted the young officer with a big smile, then turned to Corlew. The smile disappeared and she gave him what she hoped was a murderous glare. "Follow me, _Mr. Corlew_."
Jess marched back inside. As soon as the door closed behind the man, she rounded on him. This was as close to the crime scene as he was getting. "I know we were friends once," she snapped, "but this—today—is not about friendship. This is about murder. If you have some real input that can help with this investigation, I'm all ears. Otherwise, stay out of my way, Corlew."
He stared at her for a moment before he spoke. "You finished reaming me a new one?"
Jess was too furious to respond.
"The reason I rushed over here," he said finally, "is because I just learned a major newsflash I think you're going to want to be aware of."
She regained enough of her composure to speak. "This better be good."
"Remember I told you the dead guy from twelve years ago, Lenny Porter, had a friend who swore Lenny was with the Five when he died? But no one believed him," Corlew kept going, giving her nothing new, "because he didn't come forward for nearly a week after his pal took a nosedive off the _News_ building."
Other than the timing, she'd heard all this. "What took him so long?"
"He was in detox. Seemed he'd been on a trip. Didn't lend credibility to his story."
"What makes this newsflash any more relevant than it was an hour or so ago?"
"That's the part you're going to want to hear. Todd Penney, the friend, rolled back into town a few days ago. Drives a 1999 dark blue Corolla."
Now that was worth listening to.
She considered the description of the guy's car. The one that had followed Jess and Lori from the Baker residence last evening had been a dark blue Corolla. Apparently Mr. Penney still had something to say. Jess glanced toward the room where Elliott Carson's body lay on the floor with his skull bashed in. Or maybe he'd already said plenty and no one had been paying attention. She wanted to talk to this Mr. Penney and she needed a handwriting sample.
As if he'd read her mind, Harper appeared. The guy had uncanny timing.
"Sergeant, track down Todd Penney for me. Caucasian"—she looked to Corlew for confirmation, and he nodded—"approximately thirty years of age and drives a 1999 Toyota Corolla." She flipped through her notes and gave Harper the first three numbers she'd gotten from the license plate of the vehicle that followed them last night. She'd intended to have Officer Cook look up Corollas this morning but she'd gotten distracted. "And, Sergeant, since Mr. Corlew has offered his invaluable insights into the case, you can take his official statement."
"Yes, ma'am," Harper said with a smile of satisfaction. "It would be my pleasure."
Lori had said Corlew was a legend in the department. Problem was, it wasn't in a good way and apparently most of the cops who knew him disliked him.
When Corlew started to argue, Jess cut him off. "If you'd rather wait and go downtown with me to give your statement, that works too."
"That's the thanks I get for trying to help." Corlew executed an about-face and headed for the door.
"Watch him," Jess murmured to her detective.
Harper smiled. "I'm going to enjoy this."
Later, when she had the time, Jess needed the whole story on Corlew and his legendary status in the department.
Her cell clanged, pushing her curiosities about Corlew aside.
_Gina Coleman calling_.
"Great." The woman didn't want to wait for a statement. Fact was, Jess still owed her a favor. She might as well make good on that. The sooner the better. "Harris."
"We need to talk. _Now_."
"I don't have anything I can release just yet," Jess told her flatly, "but the moment I do, you'll get it first." That seemed fair enough.
"I'm not calling for a sound byte," Coleman said sharply. "I'm calling about my sister. I need your help and you owe me, Harris."
"Has something happened to your sister?" Jess wasn't even aware the woman had a sister.
"We can meet at your office in fifteen minutes."
"Hold up, Coleman. I'm at a crime scene," Jess informed her. "I can't just leave." Jesus Christ! Just because Birmingham's hotshot reporter had Burnett and the mayor at her beck and call didn't mean Jess was there, too, even if she did owe her one.
"My sister thinks she knows the killer," Coleman said. "She says he isn't finished yet."
Hold on a minute. "Is Juliette Coleman your sister?"
"She's one of the Five," Coleman said. "Juliette is terrified that this guy isn't going to stop until he gets them all."
Just went to show that Birmingham wasn't so big after all. It would have been nice if Coleman had announced this part first. "Keep an eye on your sister while I finish up here. Meet me at my office at one-thirty?"
"We'll be there."
Jess ended the call and went in search of Lori. She found her in the kitchen. "I have a meeting in the office at one-thirty. If we're not finished here, I'll need you to handle the rest without me." The words were hardly out of her mouth when she remembered that she didn't have her car. Damn it!
Sylvia Baron's husky voice demanding that someone should get out of her way echoed all the way to the kitchen.
Perfect timing. "I can catch a ride with Dr. Baron."
"Works for me," Lori said. "Mrs. Carson's mother is on the way. I'm having her come in through the alley."
"Good idea. They'll be taking the body out the front any second."
"When things are wrapped up here, I can try to round up the others for lunch. Give you some privacy at the office," Lori offered.
"That would be very helpful." At some point SPU was going to need different accommodations.
After meeting with Gina Coleman and her sister, Jess needed to visit all remaining members of the Five. If Penney was the killer and he was out for revenge, chances were Gina Coleman's sister might be right—he wouldn't stop until he was done.
Two down, three to go.
#
_9911 Conroy Road, 12:15 p.m._
Dan knocked on Mr. George Louis's door. Jess's landlord had been exceedingly cooperative considering the short notice Dan had given him. The man hadn't asked any questions. Instead, he'd acted almost giddy at the idea of having cops crawling all over his property.
Strange man.
In any event, the search was necessary. This was the last location at which they had been able to track Ted Allen. Anything he may have left behind could prove useful to the investigation into his disappearance.
The evidence techs were scheduled for half past noon, but Dan wanted to stop in for a brief visit first. His excuse was that his visit was the proper thing to do but actually he wanted an opportunity to get a better overall assessment of the guy.
The door opened and Louis stared at Dan through the thick lenses of his eyeglasses. "Chief Burnett, come in."
"I wanted to stop by and thank you again for your cooperation," Dan said as he followed the man into his living room. "This is a serious and somewhat sensitive situation."
"Of course," Louis said with a nod. "I understand."
His home was clean and well organized. The walls were bare of photos and decorative items. Like the man, his home felt quiet and sedate. Yet there was something about him that unsettled Dan. Maybe just his overeagerness to protect Jess. That was what she would call it anyway.
"You're welcome to have a look around inside as well," Louis offered.
Dan had only asked for a search of the grounds. Seemed logical that Allen hadn't come inside the home or the garage since Louis hadn't noticed anything out of place or any locks that had been tampered with.
"That's not necessary," Dan said with reluctance. That was exactly what he wanted to do but that would be overstepping his bounds.
"I insist," Louis urged. "I'll feel much better if you're convinced that there is nothing untoward going on in my home."
Obviously Dan was a lot more transparent than he'd realized. "I would be happy to assess the security of your home if you'd like but otherwise there's no reason for me to look around inside."
"I have dead bolts on all the doors," Louis explained as he led the way into the kitchen. "The windows have been painted shut for years. It would take quite an effort to open one of those."
The old man regaled Dan with vivid tales about how different life was now than when he was Dan's age. Jess had said her landlord was like a hermit. Maybe he had an identical twin, 'cause there was nothing withdrawn or quiet about this guy.
"Would you like to see the basement?" Louis almost seemed excited at the idea of showing off his basement.
He'd seen everything else. What the hell? "Might as well finish the tour."
"They don't build houses like this anymore," Louis said as he showed Dan to the basement staircase.
Like the rest of the house, the basement was neat, organized. Not a single thing to prod suspicion.
"Would you like some tea, Chief Burnett?" Louis asked when they arrived back in the kitchen.
"Thank you, Mr. Louis, but I should get back to the office. You let me know if there are any issues with the crime scene unit. They shouldn't be here more than a couple of hours. Again, I appreciate your cooperation."
He showed Dan to the front door. "Don't worry about Jess," he said. "She's very safe here."
Outside Dan had a word with the search commander before heading out. As he turned around, he noticed Mr. Louis watching him from an upstairs window.
His assurance that Jess was safe here hadn't helped to alleviate Dan's concerns in the least. He'd already done some digging into the man's background. So far, Louis had come up clean.
Yet that nagging sensation deep in his gut just wouldn't let go.
There had to be something Dan was missing.
Birmingham Police Department
Dan rifled through the stack of messages his secretary had left on his desk. His fingers stilled on the one from Special Agent Wesley Duvall.
_Call ASAP_.
Jess's ex wouldn't have left a message if it weren't important. He enjoyed talking to Dan about as much as Dan enjoyed talking to him—not at all. But Duvall was investigating the Lopez case. If he had learned anything on Allen or Jess via that connection, Dan needed to be briefed. Things here were going nowhere. Allen had basically vanished.
Harold Black's suggestion of investigating Jess's activities around the time Allen was known to have been close to her apartment elbowed its way into Dan's thoughts. The outrage he'd felt when Harold put the scenario on the table reignited even now. He'd had enough of Jess's peers in the department picking at her methods and grumbling about her.
Maybe Jess was right and he was overreacting. But he had persuaded her to take this position and it was his responsibility to see that she was treated with the respect she deserved. He knew firsthand how hard she had worked to rise above the hard knocks of her childhood to become the woman she was today.
"What now?" he grumbled as he thumbed through his contact list. He tapped Duvall's name. He waited through three rings and had decided he was going to get the guy's voice mail when a breathless, "Duvall," echoed across the connection.
"This is Dan Burnett returning your call, Agent Duvall."
"Thank you for getting back to me so quickly," Duvall said. "I had a lengthy discussion with Leonardo Lopez this morning. He claims his people had nothing to do with your captain's disappearance. He went so far as to put out feelers among his associates and no one seems to know what happened to him. Any new leads on your end?"
As much as Dan wanted to scoff at the word of a high-powered drug and gang lord like Lopez, he couldn't ignore the possibility the man might be on the up and up about this. There were no legal repercussions for him to fear. Lopez and the Bureau had a deal. He would keep them abreast of certain activities and his daughter would get house arrest instead of prison time. There was no reason for him to lie.
In Dan's opinion the man had better watch his back. His daughter was schizo.
"We're still chasing our tails," Dan admitted. "We got nothing."
"I presume your investigation is more focused on finding a body at this point rather than a rogue cop."
"Frankly we don't know what to expect." No need to sugarcoat the facts.
"There is a tremendous amount of money to be made in the drug business, Burnett. Put your best cop on a case like the Lopez one and opportunities invariably present themselves. Greed can be a strong motivator."
Dead air hung between them for a long moment. Dan knew what the other man wanted.
"How's Jess?"
And there it was. "As hardheaded as ever." Dan suspected Duvall wouldn't be surprised by that news. "She refuses my efforts at protection." For the life of him he had no idea why he was telling this man a damned thing about Jess and his frustrations with her. Evidently his desperation meter had maxed out.
Or maybe it was just because he and the other man shared something neither one could ignore. Each wanted Jess. They'd both had their shots and blown it. At least Dan had walked away before the walk down the aisle. Not to mention he had youth as an excuse. He'd been twenty-two and stupid.
Duvall couldn't cite either of those excuses.
"She prefers to take care of herself," Duvall noted. "Jess is fiercely independent. I'm confident she sees your hovering as challenging that independence."
Hovering? Jess had tossed that at him too. There was a lot Dan could say to that but he chose to keep the conversation civil. "I prefer to consider it watching her back."
"Unfortunately, you may be more right to take that strategy than you know."
A new kind of tension tightened Dan's gut. "You have additional information that involves Jess?"
"I received a call from Agent Gant just before lunch today."
That tension that had gripped his gut was suddenly at Dan's throat. "Something new on Spears?"
"Gant says there's no confirmation he's back in the country but Jess has been receiving text messages from him or from someone he has watching her."
What the hell? She hadn't said a word to him about this. "How long has this been going on?"
"Gant couldn't confirm the exact number of times Spears has contacted her but he believes she's keeping the information close to the vest in hopes of luring Spears into some sort of trap. She wants to get that bastard, Burnett. More than either of us fully comprehends, I suspect. Until he is caught or eliminated, she won't rest. Likewise, she won't be safe."
The idea that she would keep this from him had an emotional hurricane twisting inside Dan. Or maybe it was the glaring fact that Duvall knew and he didn't. Be that as it may, he appreciated getting the heads-up from whatever source necessary. "If you learn anything else, I hope you'll keep me advised and I'll do the same."
"I take it she hasn't shared this information with you either."
"She has not." That admission was like a sucker punch to the gut.
"Watch her, Burnett. She's way too smart and far too determined to let this thing with Spears go. I'll do what I can from here," he vowed.
The call ended. Duvall was right. Jess had no intention of playing it straight with him or anyone else when it came to Spears. The bastard was the one black mark on her record. A killer who didn't deserve to live. And she wanted him. Wanted to get him badly enough to avoid telling Dan the truth.
To prevent him from getting in her way.
A knock on the door yanked him from his frustrating thoughts. Lieutenant Valerie Prescott waited at his open door.
"Your secretary's away from her desk. May I have a moment of your time, Chief?"
"Sure." Dan cleared his head and gestured to one of the chairs in front of his desk. "Have a seat, Lieutenant."
"I'd like to request a transfer, sir. I thought I could handle the situation but I can't."
"I was hoping you would see your way clear on this." Prescott was a good detective. But she couldn't compete with Jess. Few could.
"I've tried," Prescott assured him. "I really have. I realized when I was working with the gang task force on the Lopez case that my loyalty just wasn't with Chief Harris. I feel we'd both be better served if I transferred from SPU."
This was a prime example of the sort of disrespect Dan would not tolerate.
"I appreciate your honesty, Lieutenant. Captain Allen's disappearance has left us with a hole in the department. I'd like you to consider moving permanently to the gang task force since you were happy there."
"That would be my first choice in assignments, sir. I'm up for captain, you know."
"Yes, you are, Lieutenant." Dan gave her a moment to gloat before lowering the boom. "But in light of recent events, I feel your teamwork skills are lacking. For now, Lieutenant Schafer will serve as interim commander of GTF. You're to report to him ASAP."
Prescott's jaw dropped.
"I'll see that the proper paperwork is rushed through." Dan turned his attention back to the messages on his desk. "That'll be all, Lieutenant."
She'd made it all the way to the door without saying a word when she stalled and turned back to him. "Maybe I shouldn't mention this, but I'd feel disloyal if I didn't." Her voice was tight, her face flushed with anger. "Just before I left the scene at the Carson home, Buddy Corlew showed up demanding to see Chief Harris."
What the hell was that guy up to? Dan had no doubt as to the lieutenant's intent.
"Chief Harris looked none too happy but Corlew managed to get into the scene just the same. He's like that, you know. He keeps on until you let him have his way just to shut him up. I'm sure you of all people remember how he can be."
With that parting remark, Prescott left. She would need a state-of-the-art GPS to find happy again.
"Join the club," Dan muttered.
His cell vibrated and he suffered a twinge of guilt until he confirmed it wasn't Jess calling. She wouldn't be happy that he'd transferred Prescott out of SPU without discussing the move with her first.
Sylvia Baron's name flashed on his screen.
Dan exhaled a big breath that failed to help with the frustration he couldn't seem to ditch. "Sylvia, what's up?"
"I don't know about you," she jumped right in without as much as a hello, "but I'm rather busy with all these dead bodies your newest deputy chief keeps piling up, so I'll get right to the point. I'd like you to visit Nina with me on Sunday morning."
Caught off guard by her request, he hesitated. Images and voices whispered through his mind. The weapon in her hand... the screaming... the pounding of his heart.
When he failed to recover quickly enough, Sylvia went on. "Before you come up with a more than worthy excuse to beg off, hear me out."
He worked at keeping an open mind despite the tension coiling in his chest. "I'm listening."
"They can't do anything else for her here, Dan. Once she's settled in at the new clinic in New York, she may never be back to Birmingham. If there's any chance at all my sister's in there somewhere, I want her to know you're not holding what happened against her."
"Christ, Sylvia, you know that's not the case." He dragged a hand down his face. How could she think that?
"I know it," she agreed, "but the point is that she knows it. Please, Dan. It would mean a great deal to me."
Nina had suffered too much already. He couldn't bear to be the reason she might suffer more emotional pain. A moment was required for him to find his voice but he was certain of what he had to do. "What time?"
"Ten, if that works for you. I assume you're still a heathen like me and don't attend church services."
"I'll be there."
"It's the right thing to do, Dan."
Those words reverberated inside him over and over for long minutes after the call ended.
Dan pushed out of his chair and stared out the window. He hadn't visited Nina in years. There hadn't seemed any point.
Truth was, it was easier for him to sleep at night if he could close his eyes without seeing her face.
With every fiber of his being, he was certain the Nina he had known was gone. If he had been wrong about that... God he couldn't even go there.
For years he had tortured himself about what he might have done differently. After all, he must have done something wrong or that day wouldn't have happened. How could this beautiful woman he had married turn into a raging force of anger and hatred in the space of a day without some sort of event that caused the change?
_Schizophrenia_.
Her family had explained that the illness had always been there. But sweet, beautiful Nina had somehow managed to triumph over those demons. She'd finished law school, had a thriving practice.
Then she'd met Dan. They'd been so happy at first.
He'd let her down. He'd spent too many hours at work. Had too many commitments that didn't include her.
He hadn't been there when she needed him most.
He'd let her down just like he did Jess after college.
Now all these years later he had a second chance with Jess. He wouldn't let her down again.
But he would never forgive himself for letting Nina down.
#
_1:30 p.m._
Jess had the office to herself for the meeting with the Coleman sisters. As promised, Wells had coordinated lunch with Harper and Cook to discuss the similarities in the two murder cases and what they had on each so far. Hopefully Harper had something on Todd Penney's whereabouts as well as Scott Baker's personal life. Prescott had dropped back by the office long enough to prepare her report from this morning's canvassing of Elliott Carson's neighbors. Just when Jess was sure she would need to ask the detective to find someplace else to work for an hour or so, she had promptly informed Jess that she needed the rest of the afternoon off.
Now, if her luck would just hold out for the next hour, Burnett wouldn't show up demanding an update or answers as to why she had been cavorting with Corlew. Lori had already warned her that pictures of her and Corlew in front of the Carson home had made the breaking news. Speculation as to his involvement in the investigation would soon be rampant and Burnett would not be happy. In light of his nasty break with the BPD, most likely no one in the department would be happy.
Gina and Juliette Coleman now sat in front of Jess's desk, one looking as terrified as the other appeared determined.
"We started hanging out as a group our freshman year," Juliette explained. "We'd known each other our whole lives and"—she shrugged—"somehow we just ended up as close friends. We got the tattoos when we were seniors."
"Was there ever any trouble between the five of you?" Jess asked. They were taking this from the beginning. She needed a good handle on the dynamics of the group.
Juliette shook her head. "Not at all. We backed each other up. We kind of made a pact that we would always be there for each other. You know, take over the world." She laughed, a sad, bittersweet sound. "We still try to get together when we can but everyone's busy. When we do, we share photos of kids and partners. Brag about our accomplishments."
"I'm aware of Elliott's and Scott's accomplishments. What about the others?" Juliette was a political analyst with the local CBS affiliate. Her family had major connections all the way to the White House. No wonder Burnett and Gina Coleman had clicked.
_Stop, Jess_. This meeting wasn't about Burnett's sexual conquests.
"O'Reilly Enterprises was started by Kevin's great-grandfather. The company owns several newspapers and magazines in the southeast, including the _Birmingham News_. Kevin is the CEO. Aaron's father is an Alabama Supreme Court justice, as was his grandfather. The hope is that Aaron, who is a very successful attorney, will follow in that same path." Juliette looked to her sister. "Did I miss anything?"
Gina shook her head. "You covered it, sweetie."
"Impressive." The mayor and every other uppity-up would be breathing down Jess's neck on this one. On top of that, with Carson a national celebrity figure, the case would be followed by national news. Complicated things, but there was no help for that.
"You and your friends met for lunch yesterday, you said?" Jess confirmed, making a note on her pad.
Juliette averted her gaze, squirmed a bit in her seat the way folks who didn't want to answer questions always did. "Yes. Kevin was worried that Scott's death was somehow related to Todd's return to Birmingham."
Juliette Coleman was scared to death and still she was keeping some aspect of the reason to herself; otherwise she'd have no trouble with direct eye contact. The woman worked in the limelight; she wasn't shy.
"Why would Todd's return have anything to do with Scott or any of you? Was there some sort of trouble with him before he left town twelve years ago?"
Juliette picked at her cuticles to prevent making eye contact. Certainly that fresh French manicure she sported didn't require any further attention. Her older sister stared at her and still the awkward silence dragged on.
"Tell her, Juliette," Gina pressed.
"We were there," the younger woman said. "That night when Lenny Porter jumped."
"Why don't we start from the beginning? Again," Jess said firmly. "Only this time let's start with that May night twelve years ago. How did you and the other members of the Five end up on the _Birmingham News_ roof?"
Juliette glanced at her sister.
"If there's anything you'd prefer not to say in front of your sister," Jess suggested, "I'm certain she would be happy to take a walk."
Juliette cleared her throat, as if she needed to get past the emotion clogged there. "No. It's fine. I told her the whole story when I heard about Elliott."
"And how did you hear about Elliott?" Jess had still been at the scene when Gina Coleman called. Seemed some of Juliette's sources had gotten the word to her even before an announcement had been made to the press. Either that or the woman had a friend in the department.
"Kevin told me. He received a call from one of the paper's investigative reporters who has a source in the department."
How nice for Kevin. All cops hated leaks unless they were the ones doing the leaking. "All right, then. Tell me about that night. It was the night before your high school graduation?"
She nodded. "Seniors didn't have school the next day, so we decided to have a private celebration. Since our parents were watching us like hawks—you know, a lot of seniors end up never seeing graduation because of last-minute celebrations that get out of control."
Jess understood what she meant. Far too many seniors ended up in the morgue the nights before and after graduation. "So you took your party to a place they wouldn't think to look." How clever.
"We got together up there sometimes." She smiled, apparently recalling fond memories about those days. "When we were up there, we felt like we were on top of the world. That anything could happen."
Something else Jess knew a little something about. She and Dan had a place like that as teens. They went back to Sloss Furnaces just a couple weeks ago. Her stomach quivered at the memory. How had so much time flown by when they weren't looking?
"We had a few beers. Talked about our futures and just chilled out."
Jess waited for her to continue. From the distant expression on her face, she wanted to linger among the memories of that night before going on.
"Lenny Porter showed up." She looked away. "Kevin was mad as hell. Apparently Aaron left the door open when he went down to the parking lot to get more beer. That's the only way Lenny could have gotten in."
"The roof couldn't be accessed via some exterior means? A fire escape maybe?"
Juliette shook her head. "You had to come through the building, take the elevator or the stairs to the top floor and then the maintenance access door to the roof."
"Was there any way Porter could have known you were going there?"
Juliette stared at her hands again. "He sort of had a thing for me. He followed me around. Left me notes. Sat in the street in front of my house. It was sweet but"—she shrugged—"it got a little creepy the last couple of weeks of school."
"Creepy how?"
"He started coming to my door at home. I tried to be nice but he just wouldn't leave me alone. So the guys gave him a talking-to."
"Did this talking-to include a physical confrontation or public humiliation?"
"I don't think so. Scott was my boyfriend at the time and he wasn't like that. He wouldn't have hurt anyone."
"That still doesn't answer my question about how Porter found out where you were that night," Jess countered.
"Don't you think it's obvious that he followed her?" the elder sister demanded. "I was already living in my own apartment, but Juliette mentioned that she had a stalker. She laughed it off. Thought he was harmless."
Jess gave Gina Coleman a patient smile. "Why don't we let Juliette answer the questions?"
Gina crossed her arms over her chest and glared at Jess.
"She's right. I believe he followed me there."
"The five of you were just hanging out and he appeared?" How convenient. Jess wanted to reach across her desk and shake the woman. Maybe what she'd read in those journal pages was making her less objective. Either way she wasn't letting Juliette off the hook. Jess needed the truth before someone else ended up dead.
"We were sitting in a circle on a blanket, drinking beer and just talking. He showed up, looked at me for a moment while the guys were demanding to know what he thought he was doing. Then he walked over to the edge of the roof and jumped."
"Did any of the guys make a move toward him or threaten him in any way?"
She shook her head adamantly. "No one even got up. We were all kind of in shock."
"Did he appear to have been drinking or using drugs? Was he high?"
"I don't know. The papers said he was on drugs. The rumor was he was dropping acid."
"Was he a drug user, to your knowledge? You said he hung around you all the time."
"Not that I know of. He was like a genius. He and his friend Todd Penney were the top nerds at Carver."
"Where was his friend Todd that night?" Jess kept firing the questions at her. She wanted to see the woman's emotions—her true emotions. Two of her friends were dead for Christ's sake.
"He was in the car... I guess... waiting for him. He claimed to have tried to talk him out of coming but Lenny wouldn't listen."
"So his friend had no idea Lenny had come to the roof to jump?"
She shook her head and shrugged. "I don't know."
"Did Todd Penney come to the rooftop?"
Juliette hesitated before answering. Her gaze flicked around the room, looking for some place to light. "No. He didn't."
More evasive answers. "Despite having not witnessed any actions made by you or your friends, he blamed you for what happened."
Juliette nodded. "But the police didn't believe him. They believed us."
Of course they did. These were the offspring of Birmingham's movers and shakers. No one was going to call them liars without serious evidence. "Scott must have felt guilty over the incident. His father paid for Lenny's burial and has paid his mother two thousand dollars every month for all these years. I find that curious."
"Scott thought that maybe something he said to Lenny pushed him over the edge, so to speak. He felt guilty about that night until the day he died. I'm certain he thought that was the right thing to do. That's the kind of guy he was."
"He never mentioned to you that he was worried about Penney's return? He gave you no impression that he believed Penney was a threat to you or anyone related to any of you?" Jess pushed.
Juliette shook her head. "No."
"Yet his wife stated that he urged her to take their son and leave town. That's why she wasn't home when he was murdered. He also paid for Lenny Porter's mother to go on a cruise so she would be out of town as well. Scott never mentioned he was worried about his family?"
"No." Juliette looked puzzled. "I'm not sure I believe he said any such thing to his wife."
"You and his wife aren't friends?" Jess didn't give her time to get a deep breath.
Disdain flashed on Juliette's face before she could stop it. "Not really."
"In fact, you never married," Jess mentioned. Scott had sex with someone who wasn't his wife just before he died. Corlew claimed he'd found no evidence the guy was cheating. Juliette could be the reason why. They were already friends. As long as they were discreet, who would know? "Were you and Scott still involved?"
"That's out of line," Gina Coleman snapped. "Juliette is trying to help with your investigation and you ask a question like that. I don't like your tone and I damned sure don't like your innuendoes. Do you want her help or not? We can end this right now."
"Yes," Juliette announced, shutting down her sister's protests. "We got together occasionally. But no one knew. Neither of us wanted anyone to be hurt. I was perfectly happy being the other woman that no one knew about."
"Oh my God." Gina wrapped an arm around her sister's shoulder and hugged her. "Why didn't you tell me?"
Juliette stared at her hands some more. "It was too painful to talk about."
At least she was honest about her relationship with Baker. "Did you see Scott the night he was murdered?" Jess would just see how honest she intended to be.
Juliette squared her shoulders and looked Jess in the eye. "Yes, I did. We usually got together at his office. He worked late almost every night so no one would be the wiser if we met there."
"What time was this?" Jess made a few more notes on her pad.
"At seven. I brought wine and cheese. We shared the bottle and had sex. I left around eight-thirty and... that was the last time I saw him." Her voice trembled on the last few words.
Gina Coleman was speechless. That had to be a first.
"Did Scott mention having any other appointments that night?"
Juliette shook her head. "He had work to finish up and then he was going home."
"I assume he always turned off the security system, specifically the surveillance system, whenever the two of you... had your private rendezvous?"
"Yes, I believe he did."
Jess would need to come back to this. "You stated that after Scott's murder, Kevin called a meeting of sorts to discuss the possibility that Todd Penney was back in Birmingham for revenge."
"Yes. Kevin got really nervous when Scott told him Todd Penney was back in town. Kevin had been warning us that we should be careful but no one paid any attention. We were cleared of any wrongdoing twelve years ago."
"Maybe so," Gina spoke up, suddenly finding her voice, "but I told you that neat little closures like that rarely happen when emotions are involved. If Todd Penney believes the five of you had something to do with his friend's death, he may only now have devised a plan to see that justice is served. Isn't that right, Chief?"
"That's a possibility, yes," Jess agreed. "But there are others. There may be additional motives at play. If someone else was somehow responsible for Lenny Porter's death, he or she may be attempting a frantic cover-up before Todd starts digging around or stirring up interest in the case."
If Elliott Carson hadn't turned up dead this morning, Jess would most certainly have considered Baker's wife a suspect, considering what Juliette had just shared. She couldn't have done the job herself since she was out of town, but she could have hired someone. With Carson's murder, the entire focus of the case shifted from Scott's enemies to the enemies of the Five.
She'd have to let the widows know they were no longer persons of interest in this case. Frances would be relieved. Jess was relieved. That was the only good thing to come out of this mess.
"There couldn't be anyone else," Juliette argued Jess's reasoning. "There was no one else there that night but the five of us."
"You said yourself that Porter didn't say anything. He just showed up and jumped. Either he was making a point, to you most likely, or he was coerced somehow. Maybe by his friend Todd. Maybe by Scott or another of your friends. Until we know what really happened to Lenny Porter, we won't know what happened to Scott or Elliott. Understanding the killer's motive will lead us directly to him." That was Jess's experience in the business of investigating homicides. This investigation was following that same pattern.
"She just told you that none of them said anything to Porter that night," Gina argued, none too happy with Jess's slightly aggressive interrogation.
"How did Scott know Todd was back in town?" Jess asked Juliette, ignoring her sister's comment for the moment.
Juliette shrugged. "I don't know. Kevin said he knew. You'd need to ask him."
"Do you remember this incident?" Jess placed copies of the handwritten journal pages in front of Juliette. "Whoever wrote this was talking about you. I'm thinking since you stated that Lenny Porter was infatuated with you that his friend Todd Penney is the author."
She read the pages, her sister reading over her shoulder. This time when Juliette looked up, she met Jess's gaze. "Yes. I remember."
"Oh my God, Jules. How could you let them do this and say nothing?"
"I said things," the younger woman argued. "I told them to stop or I would leave."
_How noble_. Jess wanted to throw up.
"This was two months before Lenny took that leap." Anger unfurled inside Jess. She tapped the first of the two pages. "How often were your friends torturing Lenny Porter like this?"
Juliette shook her head. "It was a joke. Something everyone did to someone at one time or another."
Jess's long simmering anger built to a boil. "Maybe Lenny decided he'd had enough. Maybe you and your friends were too inebriated to remember what really happened on that roof."
Juliette shook her head and held up both hands. "No. No. I had a couple of beers. Nothing more. I know exactly what happened. I'll never forget it."
"She came here to help," Gina reminded Jess. "If she was guilty of some wrongdoing, would she be here right now?"
Gina Coleman would be surprised how many murderers came forward to provide assistance to the police. It gave them a feeling of power. Maybe Juliette liked the power. Her friends obviously had enjoyed it.
"If you remember anything else, be sure to let me know." Jess needed to interview the other two members of the group. The sooner the better. What she didn't want was Juliette sharing her version of that night's events with the others. Though she suspected that had happened a long time ago.
"Juliette will be staying with me until this is over," Gina said. "I don't want her alone."
"I think that's wise," Jess agreed. "Two of your friends are dead, Juliette. Murdered. If the killer is someone from your past who's out for revenge, he may have gone over the edge. He's killed twice using the same MO. We have reason to believe he's not finished. Until we've stopped him, you and your friends are all targets."
"What if you can't stop him?" Juliette looked from Jess to her sister. "I swear I didn't do anything to hurt Lenny but Todd might come after me anyway. What am I going to do?" She burst into tears. The older Coleman sibling hugged her close.
Somehow Jess was having trouble mustering any sympathy for Juliette. But then, she was prejudiced when it came to snobby rich kids. She'd endured enough of their crap in high school herself.
"We will stop him, Juliette," Jess promised, cutting her some slack. "As long as we have your full cooperation and the cooperation of your friends, you can count on it."
Juliette swiped at her eyes. "Thank you. If there's anything else I can do, please let me know."
Jess had just shown the sisters to the door when Lori, Harper, and Cook returned from lunch. She was itching to start fleshing out what they had on a case board. The sooner they got the details hammered out, the more quickly they could stop the killing.
Within half an hour they had the timeline established with photos printed from the victims' and persons of interest's DMV photos. Not the most flattering shots, but no one cared.
"I confirmed that Todd Penney is driving a 1999 Toyota Corolla with California plates," Harper said, dragging Jess's attention back to the here and now. "His mother, Ramona Penney, who lives in Homewood, says he's here but she hasn't seen him since Monday. We've issued an APB in hopes of locating him."
"He's a big-shot game developer now," Cook threw in. "The man needs to upgrade his wheels."
Harper sent the younger man a look that warned he wasn't finished.
Cook held up his hands. "Sorry."
"Former Lieutenant Corlew swears he knows nothing about Scott Baker except what's in the case file from twelve years ago. He stands by the reports he prepared for Frances Wallace and the information he passed along to you." Harper added the picture of a vintage Corolla to the case board beneath Penney's photo.
Jess was pretty damned sure her old friend Corlew was lying through his teeth. One way or another, she intended to find out. She considered the photo of Baker's wife, Trisha. "Detective Wells and I will follow up with Baker's wife. I want to rule out the possibility that she learned about his ongoing affair with Juliette and hired someone to murder him while the trust fund would still transfer to her son."
"Doesn't Carson's murder rule out that possibility?" Lori asked.
"Perhaps," Jess allowed. "But the journal pages set the two murders apart in a significant way. My instincts are telling me they're connected but we don't want to overlook the other scenarios. The story is still a little too cloudy to call it one way or the other."
"Mrs. Baker agreed to a search of her home. If the journal or pages from the journal are in the home, we'll find them." Harper added the necessary notes under Trisha Baker's photo.
"Sergeant, I'd like you and Officer Cook to track down O'Reilly and Taylor since we haven't been able to get either one on the phone. I'm confident someone in this illustrious group knows more than they're telling. We need their statements and need to ensure they understand the potential danger to them from Penney or whoever is killing off their friends."
"Do I get to play bad cop?" Harper asked with a grin. "I think I could get them to talk."
"Works for me," Cook said as he pushed back his chair. "I prefer the good cop role."
Jess wasn't about to mention it to the young man but he was far better suited for that role. He wasn't much taller than Jess and a little on the thin side. And with that all-American fresh face, she doubted anyone would ever see him as a bad guy. Harper, on the other hand, adapted to the role of bad cop extraordinarily well.
"Detective Wells and I will interview Mrs. Penney. We need Todd's side of the story and since we can't locate him, we'll try to get it from the next best source. I think the variable Penney represents takes precedence over the affair and the possibility that Baker's wife had found out."
There were always two sides to every story. This one would be no exception. In fact, Jess suspected she might come closer to getting the truth from Todd Penney than any one or all of the Five. That bunch had far too much to lose and that was never conducive to getting the truth.
When Harper and Cook were gone, Jess paused before following them out the door. "Let's take my car. If Penney is watching for us, he'll remember your Mustang."
"No doubt," Lori agreed.
Opting for the stairs instead of the elevator, Jess was grateful to escape the building without running into Burnett. Her cell clanged and she checked the screen. Corlew. If he had new information, he would leave her a voice mail. Let him stew. She wanted him ready to talk by the time she hauled him into her office. Whatever game he was up to, she didn't have time to play. And he was playing a game. Doling out tidbits like he was taunting a hungry pup.
A shiver went through her at the thought of players and games. She already had one game too many in her life.
Even now, Spears could be back. Watching her.
Wasn't that what she wanted? Another chance to take him down for good?
Her cell called out to her again. If Corlew thought blowing up her phone would get him the attention he wanted, he was wrong. But it wasn't Corlew. She frowned and immediately scolded herself for doing so. _Sylvia Baron calling_.
"Harris."
"I don't have anything for you on Carson yet," Sylvia said, getting straight to the point. "But I did notice something you may find interesting."
"What's that?" Her curiosity was piqued.
"Mr. Carson had the same tattoo as Baker, as you anticipated. Even had it in the same spot. But he'd had his altered in an attempt to cover it up. Looks like a baseball now but you can just see the numeral five and the lines of the other circles beneath the red, white, and blue ink used to fill it in."
Had Elliott Carson felt guilty? Or maybe his motive for attempting to cover the mark was resentment since his big career had stalled and the other four of the five seemed to be continuing to climb. But why didn't he just have it removed? Juliette admitted to having the same tattoo. She also admitted to having an affair with Scott Baker, something Corlew had missed in his investigation.
Or had he simply opted not to mention it?
"There's one other thing. Seems a little odd but it might not mean anything," Sylvia went on. "My assistant discovered a folded piece of paper in one of Baker's socks. It may or may not be relevant to your investigation but it reads like a confession of sorts."
"I'll be right there."
_Jefferson County Coroner's Office, 3:40 p.m._
It took some doing to figure out all the words since sweat had blurred a few here and there. But between Lori, Sylvia, and Jess, they finally put it all together.
April 1
He cried tonight. I'd never seen him do that. He received flowers and balloons at school. He was really excited when he saw the big heart-shaped balloon. The note was an invitation to a movie. She was supposed to be there. I told him not to go, but he was too excited to be reasonable.
He went to the theater, bought his ticket, and went to the seats where she was supposed to meet him. The back row, way in the corner. No one who came to watch the movie ever sat there. It was for making out and doing other shit you don't want anybody to see.
Finally he admitted defeat. She wasn't coming. When he started to get up to leave, he couldn't. That bastard Baker had spread tubes and tubes of Superglue on the chair. The legs of his jeans were stuck. He was stuck since cutting off his pants in a theatre filled with people was out of the question. The fucked-up Five were just a few rows down. They started laughing and whipped out their cameras. People crowded around, pointing and laughing.
The pics were everywhere the next day.
I hate Scott Baker and his friends. I hope they die screaming.
"Apparently Baker and his pals had an ugly side," Sylvia observed.
Jess tamped down the outrage. "Looks that way to me."
Lori had bagged the page. The handwriting was the same as the other.
"We'll get this dropped off at the lab." Jess prepared to go. What she wanted more than anything else right now was to find Todd Penney or at least a sample of his handwriting beyond his DMV signature.
"I'll let you know when I have more on Elliott Carson."
Jess thanked her and headed for the door. "Let Harper know we have the journal page," she said to Lori. "And let's see if my Audi will move like your Mustang."
"Let me drive," Lori offered, "and we'll find out."
_Pansy Street, Homewood, 4:50 p.m._
Ramona Penney's home was modest but well kept. She had offered tea or soft drinks but both Jess and Lori had declined. According to her DMV records she was only forty-five which meant she'd basically been a kid when she had her son. Yet she looked far older than her years. She smoked two packs a day and according to the story she'd given so far, she had worked two and three jobs until just a few years ago in order to survive.
She claimed her son was only in town for a couple of weeks and that he was off visiting friends. Jess found that excuse for his absence quite odd since the file on him from twelve years ago indicated that Lenny Porter was his only friend.
Maybe he'd made new ones in his detox stint after Lenny's death. Seven days in the psych ward after a bad trip on acid. His first, he had sworn. Jess had no idea if that was the case or not but he certainly had no other police record, here or in California.
Todd was a nice-looking man. Dark hair, dark eyes, and a kind face. He didn't look like a killer but then again few did.
Evil was rarely the expected.
"Todd has really made me proud," Ramona said with a broad smile. "He left here after high school and drove all the way to California in that old Toyota of his. He knew what he wanted to do and he made it happen. Every dream he'd had as a kid is his now. He develops video games for Sony. " She blinked at the tears shining in her eyes.
"He sounds like an extraordinary young man." Jess gave her an understanding smile. "I know you're proud. I hope he's one of those smart people who kept a journal about his journey to the top. Look at Steve Jobs. Your son's story could end up being a movie."
Suspicion darkened the woman's expression. "I don't think he kept a journal or a diary." She shook her head. "No. I'm sure he didn't."
So much for catching her off guard with that one. Might as well get to the point. "Can you tell us about his relationship with Lenny Porter?"
Her face turned as pale as a ghost's. "I'm sorry. I have a terrible headache." She stood. "Migraines, you know. I'll have to ask you to go now." She moved to the door. "Nice to have met you."
Jess and Lori exchanged a look. If the woman refused to talk, there was little they could do. Taking their time, they joined her at the front door.
"Mrs. Penney, I realize this is a sensitive subject, but we desperately need yours and Todd's help. Two people are dead. Murdered. We believe their murders have something to do with Lenny Porter's death."
"I don't know anything about that and neither does my son."
"But twelve years ago your son insisted that Lenny Porter was murdered. Two of the people he claimed murdered Lenny are dead just days after Todd returned to Birmingham. I'm worried about your son, Mrs. Penney. This is a very bad situation. If he refuses to talk to us, that's only going to make him look guilty."
"I have nothing else to say to you."
Before she could close the door in their faces and despite knowing the answer before she brought up the subject, Jess went for broke anyway. "A sample of Todd's handwriting for comparison could rule out his involvement."
"Next time you want to talk to me or my son," she warned, "call our lawyer, Fritz Talbot." Gone was the pleasant attitude and friendly smile. "That's all I have to say."
The door slammed.
Well hell. Jess supposed they would have to try for a handwriting analysis using the signature on his driver's license. "Dammit."
"I guess you can't blame her for wanting to protect her son," Lori said as they strode toward Jess's Audi.
"But is she protecting him or helping him commit murder?" Jess settled behind the steering wheel of her faithful old car. No need for her detective's lead foot now.
Next to her, Lori snapped her seat belt into place. "I can't get right with the idea that Todd would give up all he's attained to get even with the past. Unless he's mental."
"I'm having trouble getting past that one myself. If the motive is revenge"—Jess started the engine—"why wait until you've made all your dreams come true to come back here and throw it all away by committing multiple murders?"
"Maybe he thinks his success and money will protect him the way it protected the Five twelve years ago."
"There's a difference between simply having money," Jess reminded her, "and having money _and_ power. And why wait twelve years? Why not ten or eight or thirteen? What significance does that length of time carry? What happened to spur the killer into action? Every act of murder is driven by something."
"We find that something," Lori added, "and we'll know our killer."
The certainty they were getting close set for Jess. She checked for oncoming traffic before pulling into the street, then glanced at Lori. "We may already know him."
_The Garage, Tenth Terrace South, 6:15 p.m._
Corlew had taken possession of his preferred stool. Lori said he could always be found here. Evidently she was correct. He'd already downed half of at least one longneck bottle of beer and appeared to be ready to knock back the rest posthaste.
"You trying to drown your conscience?" Jess asked. "Or is this just the fastest way to kill the memories of how badly you've always managed to screw over every friend who ever dared trust you?" That was the thing about guys like Corlew. They just couldn't play nice with that massive ego hanging around their necks like a millstone.
"Jess." He gifted her with a big old grin. "Why don't you join me? Let your hair down. You've turned into one of those uptight cops like Burnett and his pals."
Opting to let that comment go, Jess slid onto the stool next to him and waved off the bartender who immediately headed her way. The statuesque blonde was likely another reason Corlew liked this place. He liked his women tall, thin, and big-breasted. Jess had known when he directed that vast charm at her all those years ago that he'd only wanted to rattle Dan's cage. Blond was the only one of those three requirements she had met. And she doubted that particular one was at the top of his priority list.
But that had been a long time ago. This was different. They were all grown up and had real jobs to do. She didn't need his crap and she damned sure wasn't in the mood to play his games.
"Why didn't you tell me about Todd Penney the first time we talked?"
"I had to do a little digging of my own before I was certain that information was relevant." He slid his empty bottle to the far side of the counter and gave the bartender a nod. "Once I figured out Penney was in town, I suspected there might be a connection. That's why I had you meet me at the cemetery. Truth is, I wasn't sure of much until Carson got knocked outta the park."
"But you never told me Penney was in town." She wasn't letting that one go. This case was too big, too important to let him off the hook.
Corlew shrugged. "Am I supposed to tell you everything? I thought you were some big hotshot agent for the FBI all those years. That should have been your first question when I told you about the case."
If he was trying to tick her off, he had a damned good head start. "You also failed to mention Scott Baker's ongoing affair."
Corlew looked Jess straight in the eye then. "I'm not a cop anymore, Jess. I'm a PI. I get paid the big bucks for two reasons." He stuck out his thumb. "Because I'm good at the job." The index finger came out next. "And I'm discreet. I don't tell people's secrets unless it's to save someone's life. The fact that Baker was keeping his pretty little high school sweetheart on the side was a threat to no one."
"Unless his wife found out and hired someone to take care of the situation."
Corlew laughed outright then. "Don't waste your time on that avenue. Trisha Baker is scared of her own shadow. She wouldn't change brands of toilet paper without asking Scott first. You know the kind," he tossed at Jess. "The little wife who does whatever her husband tells her and is just glad he shows up every night."
Jess couldn't deny that Baker's wife seemed to fit that stereotype. The quiet, obedient wife of the rich man. Didn't matter. Jess had an obligation to investigate that possibility, at least until now. Carson's murder pretty much changed everything.
"I'm giving you the benefit of the doubt, Corlew," Jess said frankly. "No one else in the department seems to harbor any warm and fuzzy feelings for you. I'd prefer not to join those ranks. Don't force my hand. I don't play games when it comes to my cases."
He held her gaze for a long moment before he spoke. "Fair enough. Just remember one thing about the rich and powerful in this town, Jess. They will do anything to protect that power and wealth. _Anything_. And you are still not one of them, kid."
#
_Lakefront Trail, Bessemer, 8:30 p.m._
Jess followed her sister back and forth in the kitchen as she cleaned up. Jess had offered to do it for her, especially since she'd gotten fed as soon as she arrived, but Lily insisted on doing it herself.
Lily had always been the most bullheaded, no matter what anyone thought.
"I keep forgetting to stop by Wanda's and pick up that medical history she supposedly compiled." Jess didn't trust their so-called aunt as far as she could throw her. She hadn't cared about them when they were orphaned kids—why would she now?
Oh yeah. She'd gotten religion. Ha!
"I could have Blake go by and pick it up if you'd rather not," Lil said, pausing with a plate in her hand. "Or I could."
Jess made a face. "I will not have you or Blake going to that neighborhood. You remember where she lives." Where they had lived for one miserable year. Putting up with their aunt's men friends and her drug habits.
Lil stuck the plate in the dishwasher and took Jess by the arms. "The Bible teaches us to forgive, Jess. Maybe she has changed her life. We can't be judging her."
Jess made a rude sound. "Maybe you can't but I sure can."
"Anyway." Lil smiled. "You've had a busy week. Don't beat yourself up for not getting around to that or for not calling me every day or whatever. I'm just so glad to have you back home that the idea of seeing you a couple of times a week is a dream come true."
More guilt heaped on Jess's shoulders. She'd stayed gone over two decades. Getting home once a year had been the goal and that hadn't always happened.
"I know. I've missed so much." She gestured toward the photos of Alice and Blake Junior adorning the fridge. "Your kids are all grown up and they hardly know me."
Lil scoffed. "That's not true. I told them stories about you their whole lives. Every case you helped solve. Everything. You're a hero to those kids." Lil pulled her into a hug. "You're a hero to me."
Jess didn't feel like a hero. She felt like a woman who'd run from the past and all the broken relationships—their parents, their aunt, Dan, Wesley. Maybe she was still running. She couldn't get trapped and end up heartbroken if she kept running, at least in the emotional sense.
How was that for a self-analysis? That's what happened when she allowed her thoughts to wander too far from a case.
When her sister finally stopped squeezing her, she asked, "How're you feeling?"
Jess listened through a lengthy monologue of how her sister hated being sick. Hated even worse that everyone treated her as if she were dying. Even her minister was coming by every day or two. She'd had to force both her kids to go off to college on schedule. Alice had been waiting all year for her freedom. Now she was terrified of being away from her mother. Even Blake Junior hadn't wanted to go back to school. At twenty most guys couldn't wait to get back to school and out of their parents' home after summer vacation.
Jess laughed. "The buzzards are circling, Lil," she teased. "Next thing you know, the kids'll be sneaking home and dividing up your jewelry."
They both laughed for a minute... but the laughter faded and silence took its place.
"How are you, really?" Jess said softly, her throat aching with the struggle of restraining her emotions. Lil didn't need anyone else treating her like she was dying.
"It sucks to be me right now," she admitted. "I don't mind all the tests and the feeling like crap. It's the not knowing if or when it'll end—whatever it is—that's driving me crazy. The test results don't come back fast enough."
Jess understood completely. "Dr. Collins will figure this out. Give the old goat time." He would figure it out or he'd send her to someone who could. He and Jess had already had that discussion. She doubted he wanted to hear from her again anytime in the near future.
"Hope so." Lil reached for another plate.
"Is Blake handling everything okay?" He'd been his usual self through dinner. Laughing and talking about work. Always considerate, he'd disappeared into the den to watch TV so Jess and Lil could have sister time.
"You ask that every time we talk," Lily complained. "Yes, he's fine. Keeping his chin up and mine too."
"I guess I'm getting senile," Jess lamented.
They laughed and hugged some more and Jess headed home. She was tired and she needed to let the details of this case she'd learned today permeate.
And then she needed to sleep. She couldn't remember when she'd been so tired. Maybe last night, she mused.
_9911 Conroy Road, 10:15 p.m._
Showered and with her comfiest nightclothes on, Jess curled up on her new-old sofa and cradled her glass of wine and stash of M&M's. She was so glad this day was basically over. There was a long ways to go in solving this case but the pieces were slowly but surely coming together.
If she and her team could find the right answers before anyone else died, she would be a happy camper.
Lil looked good despite the ongoing tests and frustrating symptoms. That was another mystery Jess couldn't wait to see solved.
Speaking of unsolved mysteries, her unsuspecting landlord had suffered through a search of his property today. At least it was done. Maybe things would get back to normal here at least.
She almost choked on a sip of wine. When had her life ever been normal?
Now there was a mystery she didn't even want to try and figure out.
First thing tomorrow she had a meeting with the remainder of the Five—Juliette Coleman, Aaron Taylor, and Kevin O'Reilly—at least she hoped O'Reilly would be there. They hadn't been able to locate him. But he had a voice mail waiting for him on his home, office, and cell phones. Not being able to reach the man under the circumstances had her more than a little concerned. But he had spoken to his secretary twice today—this morning and then later in the afternoon—which alleviated some of Jess's worry and was the primary reason she didn't have an APB out on the man.
What she didn't need was another victim.
Why the hell hadn't Corlew told her about this Lenny Porter business the first time they talked? If he had, maybe, just maybe, Elliott Carson would be alive.
Between the discovery of a second victim, the ill-fated interview with Todd Penney's mother, and the come-to-Jesus session with Corlew, there hadn't been a bright spot all day. On top of all that, she'd gotten back to the office at quarter to seven to find a Post-it note from Lieutenant Prescott saying she had requested a transfer to the gang task force and Burnett had given her the go-ahead.
Apparently he hadn't considered it necessary to ask Jess. She was only the deputy chief of SPU for heaven's sake.
Jess unclenched her jaw and popped some more M&M's into her mouth. Rather than march straight to his office, assuming he'd still been there, and demanding an explanation, she'd opted to take the night to cool off. She'd needed to check on Lily and relax. Better to approach that particular confrontation in a calm, professional manner.
"Horse shit," she muttered.
It wasn't that losing Prescott was such a hardship—far from it. It was the principle of the thing. When was he going to stop lording over her as if he had to protect her from the most mundane decisions?
_Have another sip of wine, Jess_. Then another wad of chocolate. Since she hadn't worked out in weeks, she might as well work out her mouth. _Dumb_. If she kept ignoring her body's needs, she'd end up going up a size or two and then Dan's mother would call her fat the way she had Lily.
How Katherine Burnett managed to invade her thoughts at a time like this was beyond explanation. She had never liked Jess. Thought a girl from the wrong side of town wasn't good enough for her one and only son.
Corlew's words echoed right alongside those frustrating thoughts. _And you are still not one of them, kid_.
She wasn't one of them. Not really. She didn't have the Mountain Brook address or the hefty bank account or the family history and prominence possessed by women like Gina Coleman and Sylvia Baron. Jess could name a dozen more of those in Dan's social circle, male or female. She wasn't one of them, and no matter what she did, she never would be, not in their eyes. That kind of status in Birmingham was bigger than what was in your wallet. It went all the way to the bone, to the very DNA. And those who had it were accepted on a level those who didn't never would be under any circumstances.
Jess had a theory when it came to social acceptance and she'd pretty much lived by that principle since she was a kid. You could spend your life wishing you were one of _them_ or you could decide you wouldn't want to be one even if you could.
Worked really well unless you stupidly let yourself fall in love with one of _them_.
"That's it," she scolded herself. "Time to get out of here."
A leisurely stroll around the yard would do her good. She dragged her sneakers from under the sofa and tugged them on, then marched to the fridge to stow her wine. She'd come back to that. She set the stemmed glass on the shelf and with a bump of her hip knocked the fridge door closed.
She stopped, turned slowly back to the door, and opened it again. She stared at the object on the top shelf right in front of the yogurt she probably needed to eat pretty soon. "What in the world?"
Feeling like she'd suddenly lapsed into slow motion, she watched as her hand reached inside and picked up what looked like a Chinese takeout box. She hadn't picked up Chinese in... days. The box was white. No markings. Same little wire handle like the ones from her favorite takeout joint down the road.
By the time she reached the counter, a mere two steps away, her hands were shaking. A note was written on top of the box. _Are you going to fish or cut bait?_
"Shit." Her heart battered against her sternum.
Backing up, she hit the table, almost knocked over a chair. She needed gloves. Her bag was on the floor by the sofa. She dug out a pair of gloves and her glasses. She shoved the glasses onto her face and tugged on the gloves. Ordering herself to calm down, she walked the few feet back over to the counter.
Very carefully she opened the top of the box.
"Oh... God."
Jess took a breath and looked again, just to be sure.
Red wiggler fishing worms... _bait_.
Two quick raps at her door had her practically jumping out of her skin. She pressed a hand to her chest and blew out a breath. She stuck the box back in the fridge, ripped off the gloves, and tossed them onto the counter.
"Pull it together, Jess."
She swiped her sweaty palms on her lounge pants and walked back to the sofa and her bag. She reached for her Glock. Her pulse seemed to slow as her fingers wrapped confidently around the weapon.
Another knock echoed in the room.
Just as she reached the door, Burnett called out, "Jess?"
Relief weakened her knees. She tucked her gun back in her bag and drew in a deep breath. "Coming!"
She squared her shoulders and opened the door. "Hey."
His gaze swept over her as if he needed to see for himself that she was okay. "Hey."
"What's up?" Now was _not_ a good time. She needed to figure out the worms in her fridge business... without telling _him_. God, that sounded like a totally dumb excuse even to her. But he was already hovering. The whole department was watching. Not only was he making her look bad, but he was also making himself look bad. Somehow she had to get it through his head that she was as capable as Black or any of the others. He had to treat her the same or there would be trouble among the ranks.
The idea of those wiggly worms in her fridge had her shuddering inside instead of focusing on the man at her door.
Couldn't be Spears. But she wanted it to be... didn't she?
Whoever it was... he had been in her apartment. Touched whatever he wanted. The bottom dropped out of her stomach. Oh God.
"Jess, are you listening to me?"
She forced herself to pay attention. "Sorry. What did you say?"
"You going to keep me standing out here all night?"
"Oh... come in. Sorry."
He stepped inside and she closed the door. She tried to decide what to do with her hands. Someone had been in her apartment. _Again_. And she'd had the locks changed after the incident last week. She had to do something to protect herself and her stuff.
"I see you have your homework board already prepared."
Jess jerked back to attention. She turned to the board she'd mounted on the only wall space in her apartment where there weren't any windows or doors. _Say something for Pete's sake!_
"Yeah." She shrugged, gestured to the board. "I do some of my best work in the middle of the night."
He just sort of stood there looking at her then.
Uh-oh. Something was up. She searched his face for a clue as to what he was thinking. "What're you doing here?"
"I need to discuss a couple of issues with you."
If there was one thing that could get her attention in most any given situation, having him show up at her door at this hour with an ax to grind was it. "Now that you mention it, I have an issue to discuss with you too." She turned and walked to the sofa and sat down. "Why don't you have a seat?" She gestured to the chair on the other side of the sofa table.
"O-kay."
Sitting side by side was personal. Sitting across from each other was for business. This was business as well it should be. It was Wednesday after all. Hump day. The middle of the _business_ week.
"Lieutenant Prescott came to my office today."
"I heard. She left me a Post-it note." Jess faked a smile. "That was professional of her. It was even more professional of you to approve her transfer request without discussing it with me first."
"I assumed you would appreciate losing the negativity in your unit."
"You _assumed_ , Burnett. That's the problem. There's a chain of command. You preach to me all the time about ignoring it. You need to practice what you preach."
Let him argue that. He was wrong and he knew it. And she was spitting mad. She needed her glass of wine, except that wasn't possible because someone had invaded her space... had left her a message challenging her to do more than just cut bait. Another of those shudders quaked through her.
What the hell had she done?
"You're right." Dan turned his hands up. "I should have spoken to you first. I apologize for jumping the gun with Prescott. If you or a member of your team knows of a suitable replacement, consider it done."
_Keep talking until you figure this out_. "Prescott preferred GTF over me, huh?"
"She mentioned that she'd enjoyed her time there."
"Was this move a promotion?" If he'd given Prescott a promotion, that would add insult to injury after the unprofessional way she'd behaved.
"It was not."
Surprised, Jess said, "But she has a good record in the department."
" _Had_ a good record," he corrected. "Her disloyalty to you amounted to insubordination. She needs a little more time in grade to reach her full potential, in my opinion."
Inside, where he couldn't see, Jess went utterly still and it had nothing to do with the worms in her fridge. "So you punished her for giving me a hard time."
Recognition flared in his eyes. "No. I did my job. It's my responsibility to ensure cohesiveness in the department. Proper respect for her superiors is something Prescott purposely chose to disregard."
Jess wished she could appreciate his intent but he just didn't see what a hornet's nest he was stirring. "Prescott and the rest of the department won't see it that way, Dan. You punished her because of me. You can't let them think you're playing favorites."
She stood, too wired up to be still, and started to pace the room—the room some stranger had invaded. His actions were exactly the reason she kept the Spears stuff from him. The more he knew, the more he hindered her ability to do her job and the more negative attention he drew to himself. Why didn't he get that?
"What's done is done," he said flatly. "I admit that I should have discussed the move with you but the other was my decision to make."
"Have it your way, then." She hated this part. Why couldn't he see her as just another one of the guys at work?
"Maybe," he offered, his voice suddenly tight, "I wasn't thinking clearly since right before Prescott showed up I'd just heard from Special Agent Duvall that you've been contacted by Spears."
Oh hell. She should have anticipated this was coming sooner rather than later. "I haven't spoken to Wesley since the day after he left Birmingham." She shrugged. That was the God's truth. No matter, judging by Dan's expression, he wasn't buying it. "I don't know where he got his information."
"I do." Burnett flashed her one of those fake smiles. "From Gant. You told Gant and Gant told Duvall. Problem is, no one told me."
Oops. "You didn't tell me about Prescott, so I guess we're even, then." She could hope but she would never in a million years get off that easily. Regret and dread and a couple other emotions had her stomach twisting in knots.
Fury darkened his face. "We are not even, Jess. Not by any stretch of the imagination. It's not bad enough you failed to inform me that you were contacted by the same killer who stuck a knife in my gut and who kidnapped and tortured one of my detectives, but you also showed up on the five o'clock news colluding with Buddy Corlew."
A laugh burst out of her. "Colluding? I wasn't colluding with anyone. He came to my crime scene with useful information about the case. What was I supposed to do? Send him packing in front of all those reporters? I assumed the best route was to stay calm and pretend all was well." Was this Chief Burnett talking to her or Dan Burnett, the guy who still appeared to get jealous at the idea she was talking to his old high school nemesis?
"Is that what you were doing?" Dan shot to his feet, hands on hips, jaw tight with fury.
"When it comes to the case," she snapped right back at him, "I'm not taking chances or playing games." That might not be entirely accurate. She occasionally did both even if she rarely admitted as much even to herself. She did what she had to do to solve the case. "Corlew is involved. He's been involved with this case since Lenny Porter took a dive off the old _Birmingham News_ building." When Dan would have hurled an argument, she stopped him with upheld hand. "Personal feelings aside, I need whatever he's got on this case. I wasn't here twelve years ago and he was."
"I was here twelve years ago." Dan pounded his chest. "I can tell you what he's got. Nothing!"
"You were here but you weren't investigating homicides," she argued, the fight going out of her fast at the disappointment and hurt in his eyes. "Black and Corlew were."
"You know he's going to slant whatever he tells you to make the department look bad." He visibly struggled to calm down. "That's how he operates, Jess. Harold Black did the job right. You can take my word on that."
"I'm sure I can take your word, just as I'm sure Corlew will twist things around." Dammit. She didn't want to hurt him and clearly she was. "But if he's got anything at all that might help this investigation, I need to hear him out. Two people are dead. This is about finding a killer, not about egos."
Burnett held up his hands. " _This_ is getting us nowhere."
"Amen." She stiffened her spine against the war of emotions twisting inside her and said the rest of what she needed to say. "You can't have it both ways, Burnett. You can't insist I follow the rules if you're not going to follow them yourself."
"What the hell does that mean?"
"You want me to keep you fully informed, then you have to do the same. You tell me what Corlew did to turn most every cop in the department against him and I'll tell you about Spears. We have to set aside personal feelings and process what we learn. This isn't about us." She gave her chest a thump this time. "This is about what we _do_. The job."
That muscle in his jaw that flexed when he was seriously angry was going at it now. "As your chief, you have an obligation to keep me informed, Jess."
"Oh ho," she scoffed. "Do as I say, not as I do—is that it? You going to teach me a lesson the way you did Prescott?"
The standoff that followed lasted long enough to make her sweat. Then he broke.
"I only want to protect you, Jess."
There it was—the elephant in the room. She'd heard the words before but it was the fear in his eyes that forced her to see the part she'd been missing. An integral element to their relationship, personal and professional. Daniel Burnett was terrified of losing her. To danger, like the kind Spears represented, of course, but also he was afraid she would leave again. He needed to protect her from danger and those who would disrespect her like Prescott.
Her heart ached with the need to make him see that she was here to stay this time. "I understand." And for the first time, she did. They still had to find a happy medium, but she got it now. "I need you to understand that I'm tougher than you think. I can and will deal with the Prescotts and the Corlews and whoever else gets in my way. I'm not going anywhere this time."
"I plan on holding you to that."
She laughed. "I'd be disappointed if you didn't."
That smile of his that made her heart go pitter-patter appeared and she wanted to hug him. This had been one hell of a day and it wasn't over yet, but they were good where it counted.
"For the first eight or ten years of his career, Corlew was a good cop." Dan shrugged. "He came back from the Marines seemingly matured and with a healthy respect for the rules."
Jess sank back down onto the sofa.
"When he was accepted into the police academy, I worked in the mayor's office." Dan settled in the chair a few feet away again. "Over the next few years we rarely ran into each other. He rose up the ranks and gained a decent reputation."
"But it didn't last," Jess suggested.
"Six years after he started in the department, I came over as the liaison. Everything changed after that. Whether it had anything to do with my presence or not, I can't say. His work got sloppier and he got cockier. There were incidents involving missing reports and misplaced evidence, including money. Mostly, I think to cover up bad police work. By the time I was named chief of police, there were rumblings of evidence tampering and he was drinking. A lot. I ended it. It was the right thing to do."
"I had no idea it got that ugly." Old habits were hard to break, and even when you did, sometimes the reprieve was short-lived. Sounded like Corlew had drifted back into his old habits.
Dan nodded. "There were rumors of him sleeping with the wives of other cops. It was always something. The drinking was the straw that broke the camel's back."
That was too bad. She'd wanted to believe Corlew had changed. No wonder he'd made so many enemies. "Thank you for telling me. Still, he's a person of interest in this case because of his personal involvement twelve years ago. He may know details that aren't in the official case files. I'll need to work with him to some degree just to be sure I don't miss anything."
"I can live with that." Dan leaned forward, bracing his forearms on his knees. "But I can't live with you leaving me out on the other. Spears is a monster. A heinous killer. You can't play this game with him alone, Jess."
"Is that what you and Wesley decided?" Maybe she shouldn't have thrown that barb at him but she couldn't help herself. Letting go of a single millimeter of her independence was more difficult than she'd anticipated.
"What Duvall thinks is irrelevant to me. But I have to tell you that it hurt hearing it from him instead of you."
That was one cold, hard fact she couldn't deny. She should never have told Gant without telling Dan first. Not only was the decision disrespectful on a professional level, it was hurtful on a personal one. "I'm sorry. I didn't want to give you more reason to hover over me."
He straightened, drawing away from her. "Hover?"
"You know what I mean!" She wanted to scream. No matter how many times they went over this, he just wouldn't see her perspective. "I don't want you treating me differently than you do the others. I am a deputy chief. I deserve the same respect and trust from you as Black and Hogan and all the rest."
"You think I don't trust you?"
He wasn't listening! "You don't trust my ability to take care of myself. Every little thing you learn like this diminishes the hope you'll ever see me as capable on all professional levels."
He got up and came to sit down beside her. "Jess, you are the most capable investigator I have ever known. We're all in awe of you. Some don't show it. Hell, maybe I don't. But the one thing I can guarantee you is that no one thinks you are less than capable on any level, professional or personal."
Maybe it was the exhaustion or the realization that he meant exactly what he said, maybe a little of both, but she surrendered.
"Gant can't find any record of Spears coming back into the country. But I get a text message every now and then and he seems to know what I'm doing." As much as she wanted to be with him this close, she resisted falling into Dan's strong arms. She had to get this said. "Like that night at your house my first week back in Birmingham when he seemed to know I was in bed. But he could've been guessing based on the time."
"Have the other contacts been like that?"
She shrugged. "Pretty much. I'm leaning toward the possibility that maybe he has someone watching me. He's too smart to be here himself. He'd send someone, the way he did Matthew Reed."
Reed had murdered an agent. He'd kidnapped Lori Wells and tortured her for days. Still, just because it likely wasn't Spears himself didn't mean there wasn't reason for concern.
"No more holding out on me," Dan said, his tone leaving no room for debate. "I want to know immediately when you hear from Spears or whoever the hell is acting on his behalf."
"I will let you know. I swear." As much as she despised admitting it, he was right. This battle might just be too big for her to wage alone.
Holy hell. Dread swelled, swallowing up the relief she felt at having reached this understanding. If she was going to keep him informed... he should know the rest. Just get it all on the table now.
"I should also tell you that when I hear from Spears, I respond." There. She'd said it.
His posture stiffened. "You respond how?"
"I try to think of something witty," Jess admitted. She'd gone out on that ledge—no point turning back now. "To bait him, like rubbing it in that I'm the one who got away."
"You bait him?" Outrage or something on that ordered flashed in his eyes. "Are you trying to end up a victim of this son of a bitch?"
He was going to love this. "I figure that's the only way to lure him close enough to take him out."
Burnett shot to his feet again, palms up in exasperation. "You can't be serious. Spears has endless resources, Jess. He's disgustingly rich and damned brilliant. You can't possibly hope to think of all the bases he might hit. Baiting him is a bad idea. One that could get you killed just so he can prove a point."
_Okay, Jess, finish it_. "I suppose while we're on the subject, I should tell you that he may have sent me a gift. I can't be sure, of course, but—"
"What gift?" Dan glanced around the room. "What the hell are you talking about?"
"He left me some fishing worms. You know, _bait_. With a note." The relief at getting it all out was immeasurable. She hadn't enjoyed keeping secrets from him.
Burnett visibly struggled for patience. "Where?"
"In the fridge."
He looked from her to the fridge and back; then he stamped over and checked it out.
Without a word to her, he dragged out his cell and made a call. "This is Chief Burnett. I need an evidence tech at 9911 Conroy Road ASAP."
He turned back to her then. "Pack a bag. You're staying at my place until we figure this out."
It felt a little strange not calling him on his high-handedness, but he was right.
Another liberating admission. She was on a roll.
Needing a moment to herself after coming so clean, she ducked into the bathroom and closed the door. She'd pretended for too long that she could handle this alone. She stared at her reflection in the mirror and cursed herself.
"Fool," she muttered.
She couldn't get Spears by herself.
Her cell vibrated in her pocket. She dragged it out and glared at the screen.
**I'm getting bored, Jess. I might just go fishing.**
#
_Parkridge Drive, 10:40 p.m._
Lori set her laptop aside and turned to Chet. "You really believe Corlew was a dirty cop?"
Chet lowered the volume on the local news. "He was damned good at what he did," he allowed. "He worked hard and seemed to be dedicated. I was a rookie. He was always nice to me. The way I heard, he just sort of started this downward spiral."
"But you don't like him." Lori had noticed the grimace that claimed Chet's face every time Corlew's name came up. Not to mention the cocky way he'd handled him at the Carson murder scene today.
"I don't like him."
"Why?" Why was it a woman had to drag this kind of thing out of a guy? Women lived to talk about this stuff. To share and commiserate. Somehow males didn't get that gene or something.
"My first partner was a veteran cop who taught me everything I know. He had twenty years in the department and he was a good guy. Good cop and a good guy."
"Okay..." Lori prompted. She disliked that there was a sadness in Chet's voice as he talked about this but she really needed to know. "This is difficult for you. I get that. I'm still spilling my guts once a week to the department shrink. But you know what?"
He turned to look at her.
"It works." Being tortured by a serial killer for a couple days kind of fucked with one's psyche, but she was working through it. "Talk to me, baby. I need to know."
"My partner's first wife died before I joined the department. He'd remarried. A younger woman who made him very happy."
Lori snuggled closer to Chet. "Nothing wrong with that."
"Except that Corlew set his sights on her and they ended up having an affair."
"That sucks." She'd gotten that vibe from Corlew. Womanizing bastard. Now she was mad and she hadn't even known Chet's first partner.
"Yeah. It sucked all right. But, in time, Corlew got his."
She waited for him to continue, holding her breath.
"He was working a high-profile case involving a homicide victim who turned out to be a big-time loan shark. Internal Affairs got a tip that Corlew was keeping some of the evidence—money—instead of turning it in. A search warrant found it hidden in his home. Corlew denied he'd taken it. My partner's wife left him, filed for divorce, and testified that her husband took the money to get back at her lover. The investigation got ugly and my partner ended up having a massive heart attack. He didn't even make it to the ER."
"Damn. That's terrible. What happened to Corlew?"
"The bastard was cleared but no one looked at him the same after that. When Burnett made chief he made sure Corlew was out of there."
"No one ever bothered to find out what really happened? What about the wife? Did she stand by her statements?"
"She did. So did Corlew. So my partner died with that mark on his record. Even if it was never official. The case was closed unsolved."
"I'm sorry. I didn't know. I'd heard that he was a legendary investigator but that he was dirty. I never had any reason to look into it."
"One of these days the truth will find its way to the surface." Chet draped his arm around her shoulders and pulled her close. "It always does."
They watched the rest of the news. It felt good just to be, especially in Chet's arms.
_And without his son around_.
God, she felt guilty about that. But it was so hard.
_Don't think about that, Lori. Enjoy the moment._ She had to admit that things had gone better tonight. They'd taken Chester to McDonald's and spent an entire hour in the PlayPlace. The kid had actually interacted with her a little bit. The change wasn't groundbreaking but it was something. Progress. Slow, but maybe sure.
That little bit of progress made Chet happy, so it made her happy.
When the news was over, Chet clicked off the television. "You and the chief meeting with the Five tomorrow morning?"
"What's left of them. If they're smart, they'll take her advice about lying low until we figure out what's going on in this case."
"You ready to hit the sack?" The hopeful gleam in his eyes sent warmth rushing through her body.
"I'm ready anytime you are, Sergeant." She kissed his jaw.
"I appreciate how patient you were with Chester tonight." He traced a finger down her cheek. "I know it hasn't been easy."
"I think he's beginning to like me."
"Come with me, Detective," Chet teased, "and I'll show you how much _I_ like you."
"No need to go all the way to the bed." She pushed him back onto the couch and straddled his lap. "Right here works for me."
He wrapped his arms around her and stood, holding her against him. "We should take it to the bedroom. We don't want to get into the habit of doing it just anywhere. We might forget sometime when Chester is here."
"Oh." That definitely trampled her libido. "I didn't think of that."
He nuzzled her neck on the way to the bedroom. "I'll teach you everything you need to know," he murmured against her skin. "There's all kinds of rules when it comes to kids. My ex reminded me of a few I hadn't thought of."
When had he spoken to his ex? _She_ was giving him the rules? He paused at the bedroom door, drew back to look into her eyes. Clearly he'd felt the new tension in her body.
"Did I say something wrong?"
Lori forced a smile. "No way." She kissed him hard. Hard enough to empty both their minds of thoughts of kids and ex-wives.
She would adapt. That was her new mantra. She could do this. She loved Chet. She could do whatever necessary. Chester would learn to like her. She'd find a way.
They tumbled onto the bed. He dragged her panties down her legs and touched the place that ached so for him. She groaned. Nothing else mattered but getting those jeans off him and _him_ inside her.
Back in the living room his cell rang. He stilled.
"If it's work, they'll call your landline." She did not want him to stop. She needed this. She needed him... all of him.
"It might be Sherry. Chester could be sick." He rolled off the bed. "That's another thing about kids," he said as he straightened his fly and zipped it, "if they get sick, it's usually in the middle of the night."
Lori waited for her heart to stop pounding and her respiration to slow. She listened to the low, deep sound of Chet's voice as he spoke to the caller who was obviously his ex.
Maybe the kid wasn't going to be the real problem. Maybe it was the ex-wife.
Or maybe the problem was Lori.
Maybe she wasn't cut out for _this_ yet.
#
_Dunbrooke Drive, Thursday, August 12, 7:05 a.m._
You got everything?"
Jess saddled the strap of her bag on her shoulder. "I do." She tugged at her suit jacket. She really liked the rich red color but the lining was itchy. If she didn't like the skirt so much, she'd take it to that fancy thrift store Dan's friends used and donate it.
Men were the lucky ones. She admired the one fiddling with the coffeemaker. A few classic suits and shirts and the only real accessory they had to worry about were ties. Shoes were black or brown and comfortable. Lucky dogs.
"You want to take a coffee with you?"
"No thanks. I'm ready." This was the part she hated about sleepovers. Her car was at her place. She was basically at his mercy. She liked to get up, get dressed, and get to work. She dragged her coffee with her and didn't care if she ate or not.
Dan, on the other hand, looked over the morning paper with his coffee. Nuked a prepackaged breakfast in the microwave.
She'd been counting off the minutes for half an hour.
"What time is your appointment with the security company?"
"Noon." Inside, she winced at the idea that she was going to have to turn her place into Fort Knox to satisfy Dan's demands.
"Good." He grabbed his briefcase and nifty to-go cup and followed her to the door.
Thank God.
While he set the security system and locked up, she climbed into his fancy Mercedes SUV. It was a nice vehicle, no question. But it reminded her of that big, fat dividing line between Dan's family and hers. His family were Brookies, Mountain Brook residents, the high and the mighty. And she was from way, way across town, the low and the invisible.
He settled into the driver's seat and started the engine. "You sure Mrs. Wallace and her friends are expecting us this early?"
"They're expecting us." Her day was already jam-packed. Meeting with the widows was a courtesy to Frances. A phone call from one of her detectives could have sufficed but she owed the lady more than that. The least she could do was follow up personally.
Frances probably had a lot more to do with Jess and Dan becoming a couple back in high school than she realized. She helped Jess see that the massive chip she carried around on her shoulder was not going to get her what she wanted out of life.
Admittedly, she was still a work in progress, but Frances had set her on the right track.
"I slept better knowing you were right down the hall." Dan backed out of the driveway.
Jess studied his profile. He really worried about her. She'd realized that last night. He worried the way she and Lily worried about each other. In a way, Dan was closer to _real_ family to her than any other man she'd had in her life—not that she'd had that many. Her one marriage to Wesley had ended almost before it started. More her doing than his. She'd pushed him away even before he'd moved across the country.
The kind of connection she and Dan shared also carried far more potential for intense pain. She knew that particular pain too well.
She made an agreeable sound in answer to his statement; then she turned her attention to the passing landscape. Everyone she'd ever had that deep bond with had left her, starting with her parents when they'd gotten themselves killed in that car accident. Then Dan after college.
Maybe she'd been pushing people away ever since. Even Lil. It was easier to be busy up in Virginia than to come home for frequent visits and get too attached. People left... people died.
Jess closed her eyes and wished with all her heart that Lil would be okay. Jess had wasted a lot of time... she didn't want to lose her sister now.
She glanced at the man next to her.
Or him.
That confession, even if only to herself, made her throat ache and her chest tighten.
_Vestavia Village, 7:55 a.m._
"So we're in the clear?" Lucille, the eldest of the widows, asked.
"Yes," Jess repeated. "New evidence has come to light that suggests Baker's murder was not related to the Village or anyone here."
One of the twins, Molly, harrumphed. "He's dead and we're no better off than we were before. Clemmons isn't trying to stop the construction. He's seeing dollar signs."
The widows all started talking at once, which was the norm for this group.
Frances held up her hands. "We will not give up, ladies."
Lucille argued, "We're wasting—"
"Stow it, Lucille," Frances warned. To Jess she said, "Can you tell us anything about the case?"
Jess shook her head. "Sorry. I can't talk about an ongoing investigation."
"It's related to that ex-ball player," Polly said knowingly. "My son is one of his neighbors. He would know."
"Well." Jess stood. "We should be going."
Looking past ready to do just that, Dan stood as well. "Thank you for your cooperation, ladies."
Frances walked them to the door. "I saw on the news that both victims once belonged to this tight little group called the Five. Has someone targeted them for what happened to that young man all those years ago?"
Jess should have realized that Frances would remember the case; she had still been teaching at the time. "We're working every angle, including that one."
She grabbed Jess's hand and tugged her closer. "You two still look good together."
Jess glanced toward the corridor outside the door to make sure Dan was out of earshot. "Frances, he's my boss now. We're friends."
Her too-perceptive eyes twinkled. "Call it what you will, but I know what I see."
Jess must have looked confused because she added, "That young man looks at you the way my Orson always looked at me." She smiled, her eyes watery now. "Until the day he died."
Jess gave her dear friend another hug and hurried to catch up with Dan.
She felt a little depressed at what Frances had said, though she was sure that wasn't her old friend's intent. Frances and Orson had lived the kind of relationship love stories were written about. Lily and Blake were like that. They were so much a part of each other it was impossible to imagine one without the other. As much as Jess loved her independence, she really didn't want to grow old alone. She and Dan had promised each other that if they were still single when they hit sixty, they would get married just to prevent being alone.
But that wasn't the same.
Could Frances be right? Jess stole a glance at Dan. Could he possibly love her that way?
Her heart pounded at the thought of relying on anyone so completely.
Give her a cold-blooded killer to face down any day over figuring out affairs of the heart.
How could she trust anyone else to make the right decisions if she couldn't even make them herself?
It was so much easier to stick with what she knew.
"We need to pick up my car," she reminded him.
"As long as you don't go taking off on your own," he reminded her.
"You're the boss."
He sent her a look.
"Okay, okay. I will take every precaution."
He reached across the console and squeezed her hand. "I know it cramps your style, Jess, but until we know what's going on with the Allen case and have a better handle on what Spears is up to, we need to be vigilant."
Jess smiled at him but inside she wondered if she'd ever be free of Spears again.
She didn't know why she bothered. She knew the answer.
_Not until he was dead_.
_Birmingham Police Department, 11:02 a.m._
Jess waited until the three remaining members of the Five were seated around the conference table. "First, I appreciate your coming." She looked from one to the other. "I know your schedules are busy but I believe this is a serious threat. Two of your friends have been murdered already."
"We're very much aware of that fact, Chief Harris," Kevin O'Reilly said pointedly. "What we don't know is what you intend to do about keeping the rest of us alive."
Jess just didn't see how a woman as seemingly nice as Juliette Coleman could have ever been friends with these two overbearing, self-serving men.
Then again, in some social circles it was more about pedigrees than personalities. Both men were attractive and well dressed. Aaron Taylor was perfectly manicured from his eyebrows to his nails. Not a hair out of place. O'Reilly, on the other hand, was more what she would call money groomed. He had the bucks for the right clothes and the better hair stylist but beneath what money could buy he was rough around the edges. He'd missed a tiny spot when shaving. His striped shirt, though undeniably a designer label, didn't quite match the suit. Then there was Juliette. Like her sister, she had long dark hair and gray eyes. Either could be a supermodel or a big-screen actress. Both had that sexy, fresh-faced beauty that called out to a camera and the fashion sense and dollars to back it up.
That was something else Jess had noticed about the Five. They were all attractive and fairly fashionable while Lenny Porter and his friend Todd Penney were your typical nerds with big glasses and an unkempt appearance. Lenny and Todd had been perfect targets for the likes of these snobs. As hard as Jess tried not to hold what she'd read in those journal pages against the group, it was difficult.
And now, a dozen years later, they were looking at a double homicide. Sometimes the bullied or the downtrodden came back to get even.
"I can only help you, Mr. O'Reilly, if you cooperate," Jess explained with all the patience she intended to bother with. "We're doing everything possible to find the person or persons responsible for Scott Baker's and Elliott Carson's murders but we need evidence and motive. These murders appear to have been well planned and equally well executed."
"What you're saying is that you're stumped," O'Reilly accused. "You have no idea who killed our friends even though we've given you a suspect and his address as well as his motive."
"You know that's not how this works," Taylor argued. "Just because we believe Todd Penney is picking us off one by one doesn't mean the police can just arrest him. They need proof. That attitude is not going to help us," he warned his friend.
The two glared at each other for several seconds. Maybe not such good friends after all.
"Well said, Mr. Taylor," Jess noted when no one else seemed inclined to break the silence. "We have no proof that Mr. Penney has done anything wrong." Other than the journal entries, which may or may not have been written by him, and the fact that his Corolla had followed Jess around that one evening, but the latter wasn't really a crime. He'd have to do it a lot more and venture considerably closer for her to accuse him of stalking. Honestly, she had no idea why the man felt the need to follow her—if Penney had even been behind the wheel.
At this time, the one known aspect of his behavior that cast undeniable doubt on Penney was his refusal to come in to make a statement. He knew the police were looking for him. Only a man with something to hide refused to cooperate when the authorities came knocking.
"What is it you expect us to do?" O'Reilly demanded.
"The best option would be to relocate to some place safe away from your home and usual routine. If that isn't a viable possibility the department will provide a surveillance detail for each of you." With budgets tight all over, those kinds of resources were getting tougher and tougher to come by but Jess didn't see any way around it in this instance. If the mayor complained, she would remind him that she was only taking care of his friends.
"I'm staying with my sister," Juliette said. "Do you think I still need a surveillance detail, Chief Harris?"
Jess opted not to say that her big sister was just a reporter, not a superhero. "I would strongly recommend the detail."
"I'm supposed to just uproot my family because the cops can't do their job?" O'Reilly roared. "No way. And I won't be made to feel like a prisoner in my own home."
The three of them started talking at once—arguing mostly.
_You can lead a horse to water but you can't make it drink_. Jess stood, drawing their attention back to her, which ironically shut them up. "I would advise you to accept my offer or to take the proper precautions as I've outlined. Avoid your routine and keep your eyes and ears open. Call nine-one-one immediately if you feel you're in danger. Do not hesitate. No one is going to complain about a false alarm under the circumstances. If you change your mind about a surveillance detail," she said to O'Reilly and Taylor, "don't hesitate to call."
O'Reilly was the first out the door. No _thank you_ , no nothing.
"I'm sorry for his behavior," Juliette offered. "He's been a wreck since Scott told us Todd was back in Birmingham."
"Stop covering for him," Taylor insisted. "He's always been a jerk. If his father wasn't who he is, Kev wouldn't have a friend on this planet." He turned to Jess. "Thank you for the offer, Chief Harris. My wife and I will go to a friend's lake house. I'm due a vacation anyway." He hugged Juliette. "Stay safe, Jules."
When Taylor was gone, Juliette lingered. "Chief Harris, do you think you can find Todd before he tries to kill another one of us?"
"We're doing all we can," Jess assured her. Rather than leave it at that, she pushed for more reaction from the woman. "I'm just having some trouble reconciling the idea that a man who had achieved huge success on the West Coast would return here to have revenge for the death of his friend twelve years later."
Todd Penney's high school records showed he'd been in counseling for depression and anxiety back then. Harper had found nothing else since. Not even a traffic violation. The night Lenny Porter died, Penney disappeared. Days later he was discovered in the psych ward after a near drug overdose. Beyond his insistence that his friend had been murdered—a statement he later recanted—there was not a speck on his record. His employer gave him a stellar recommendation when Jess called just before this meeting. But then a lack of evidence didn't mean the man wasn't guilty. It just meant they hadn't found his secrets yet.
"It has to be him," Juliette insisted. "There's just no other explanation." She frowned, openly searching Jess's face. "Are you saying he doesn't meet the criteria for cold-blooded murder?"
"All of us are capable of evil," Jess allowed. "It's choosing not to commit an act of evil that separates us from the bad guys. Sometimes a good person can make a mistake and cross the line. Evidence shows that once that line is crossed, it's easier the next time. Even easier the time after that. So, yes, it's possible. Whether it's probable is yet to be seen."
Juliette looked away. She covered her mouth as if she had more to say or ask but couldn't bear to do so.
"If there's something else you need to tell me, this would be the time. I can't help you and your friends unless I have as many of the facts as possible."
Juliette seemed to compose herself and readied to go. "It's nothing. Just something Scott said a long time ago."
"A long time ago meaning shortly after Porter's death or sometime since?"
"It was a few months later. He said that sometimes the universe tests you and maybe we failed the test that night. I think maybe he was right. Maybe we failed the test and this is our fate. Maybe this has nothing to do with Todd. It could just be fate catching up with us."
The lady had watched way too many B-rated movies. "I don't deal in fate, Juliette. But I do deal in facts. And there are still a lot of those missing in this case. Until I know all the facts, none of you are safe. I wish you'd change your mind about staying some place the killer wouldn't know to look for you."
Juliette thanked her and went on her way. Jess had a feeling one or all of the dwindling group knew something—possibly earth-shattering—about the night Lenny Porter died, but none wanted to share with her.
She hoped they wouldn't wait until it was too late to make a difference.
Speaking of late, it was almost noon. Jess was supposed to meet the security system technician at her place at two. If she didn't do something drastic, Dan would never allow her to go home again.
_Don't kid yourself, Jess_.
Spears had scared the hell out of her last night. She'd been more than ready to come clean with Dan and to get out of that apartment. She shuddered at the memory of opening that takeout box and finding a clump of worms. The evidence tech had found no prints, no nothing other than worm excrement. Not that she'd expected anything to be found. Spears was way too smart for that. Nothing would be found unless he wanted it found.
The new dead bolts she'd had installed failed to deliver the security she'd hoped for. In truth, she wasn't naïve. A top-notch thief could open most any kind of lock and then relock it when he was done.
The bottom line was she just hadn't expected Spears to make a move like that... this soon. She had baited him for weeks now. Hoped he would make a move. Show up back in Birmingham so she'd have a second chance to do what she'd failed to do twice already.
And yet she hadn't been prepared. Not by a long shot. She'd turned tail and run like a scared little girl. All the way to Burnett's place.
Spears was getting bored. He'd said so. Regret sank like a rock inside her. Her puny efforts to keep him entertained had been a lost cause.
When the craving started, a serial killer like Spears was hard pressed to ignore those desires. She feared it wouldn't be long now until he would start killing again.
Because she had failed to stop him when she had the chance.
Her cell rang and she jumped. "For the love of God." She had to get a hold of herself. It was just Harper calling. "Harris."
"Chief, I think you're going to want to get over to Easy Storage off Lorna Road. Looks like someone's been planning to take out the Five for a while."
"On my way, Sergeant."
Jess tossed her phone into her bag and dug for her keys. "Damn." Lori and Cook were in the field. Cook was interviewing a distant cousin of Penney's and an ex-boyfriend of his mother's. Lori was following up with Scott Baker's father about the payments to Lenny Porter's mother. Mayor Pratt had warned that Jess should steer clear of the Baker patriarch. But that didn't mean Lori couldn't attempt an interview.
Jess wasn't about to pull those two off task. Waiting for an escort would be a waste of time and resources. It was no big deal. She was driving straight to the location where Harper waited. She was certainly capable of driving herself across town in broad daylight. Dan needed to be reasonable.
Just in case, she took the stairs. The chances of running into him were far less likely along that route. She smiled for the security guards in the lobby and hurried out of the building. Careful to remain aware of her surroundings, she reached her reserved spot in the parking garage in record time. Minutes later she was in her Audi and on the street. She breathed a huge sigh of relief.
It felt good to have her car back. And her freedom, even if only for a few hours. The need for precautions was important but she liked being in charge of her own movements. She hated having a babysitter. Except for last night. She'd been really glad to have Dan with her after finding the gift Spears had sent her. Not only had he called for an evidence tech, but he'd also called Gant. Saved her the grief Gant would have given her.
Looking at the situation in the light of day, she realized that certainly Spears had hired someone to do the job. As Dan said, the man had endless resources. Well, his resources wouldn't do him any good when she got her security system installed.
"Dammit!"
She felt around for her phone and put through a call to the tech who was scheduled to show up at her apartment. There was no way to know how long it would take to go through this storage unit but she needed to reschedule to the latest appointment the man had available today. It wouldn't wait until tomorrow.
She needed her own place back.
Was that idea of staying with Dan really so unappealing? She felt a little hitch in her chest.
Wait. What was she thinking? Of course it was. Their positions allowed no room for flaunting a personal relationship.
That remark Corlew made haunted her again.
Jess had known Dan and his family for better than two decades. Could she be that kind of wife? The one who attended all the right functions on his arm? The one who stood in the background... and applauded his selflessness and success?
Maybe she'd just wait until they were sixty and see what happened.
The twenty minutes she'd needed to reach Harper's location went more smoothly than she'd expected. No pileups or traffic jams. She eased ahead of a poky minivan. As she passed the vehicle, the carload of children, most young enough that they were strapped into safety seats, tossed toys at each other. No wonder the woman was poking along. Her sanity had likely gone out the window several miles back.
Jess made up her mind then and there. If she ever had children, she would not allow them to behave like untamed little beasts. Her children would show respect and have manners.
Not that she'd given it that much thought. Images like the one she'd just passed stuck in her brain and reminded her whenever she had a brief lapse in reason.
Sixty was looking better and better.
As she slowed for her exit, a dark sedan roared up close behind her.
"Almost missed your turn, did you?" She harrumphed. "Probably texting." She hated texting. She hated even worse that people did it while driving. "Idiots."
Jess slowed as she cruised to the bottom of the ramp and made the posted stop before crossing Highway 31 onto Lorna Road. She checked for oncoming traffic, left then right and—
Her Audi bumped forward.
"What the hell?" The car behind her had nudged her bumper. She checked the rearview mirror. "What do you th—"
The driver's face was obscured by the gun he aimed right at her head.
Jess rammed the accelerator.
Traffic on her left registered.
She cut the wheel. Bounced off the shoulder of the road.
Horns blared as angry drivers who had just missed plowing into her whipped and whizzed by.
Heart thundering, she twisted around. The car was gone. She surveyed the intersection of streets around her... tried to recall the color and model. Dark but definitely not the Corolla. Black or navy? No larger than her own vehicle. What was that emblem on the front...?
Think! An upside-down V? That was it.
Hands shaking, she reached for her cell as she carefully navigated across Highway 31 and onto Lorna Road.
She hit the necessary numbers and waited for dispatch. "This is Deputy Chief Jess Harris." She recited her badge number. "The male driver of a black or dark blue sedan, possibly an Infiniti, was waving a handgun around at the intersection of Highway 31 and Lorna Road. I didn't see which way he went. Patrols in the area should be aware."
Dispatch thanked her and Jess sat for a minute to gather her wits.
Could have been just a crazy waving a gun. It happened. Random shootings were becoming an everyday affair in larger cities across the nation.
Didn't mean it was Spears.
Or someone Captain Allen had sent to finish the job—if he was even still alive. A shudder quaked through her at the idea that he could be dead because of her.
Her cell vibrated with an incoming text.
She pressed a hand to her throat as she lifted the phone to view the screen.
**Bang! Do you like this game so far?**
Rather than get angry or more terrified, Jess grew oddly quiet inside. Well, now she knew. Spears wanted to play for real now. No more tap dancing around the concept. He'd sent a friend to start the games.
This was what she'd wanted, wasn't it?
Forcing her respiration to slow, she carefully chose her words, tapping the letters into the text box, then, holding her breath, she hit SEND.
**Afraid to make your own moves, Spears?**
Dan wouldn't be happy about this.
She blinked back the emotions that threatened. "Just do what you came here to do, Jess." Hands still shaking, she maneuvered back onto the street.
Harper was waiting for her.
_Easy Storage, 2134 Lorna Road, 12:45 p.m._
The storage locker was a ten-by-ten. Not that large but covered from floor to ceiling with photos and newspaper clippings. And more importantly, page after page of the journal. Jess skimmed entry after entry that cited more cruel acts committed by the Five against the writer and his friend. The final entry appeared to be from the night before Lenny Porter died. Todd Penney, assuming he was the author, and his friend were excited about graduating and getting out of Birmingham.
"The locker's rented to a T. Penn," Harper explained. "He rented it one week ago according to the paperwork."
"Was there a copy of his photo ID?" These places were supposed to have a photo ID on record.
"Negative. The owner says there was a lot of that going on. That's why he fired the guy he had running this place. When he got here this morning, he found this unit open. Says he knew trouble when he saw it so he called it in."
"There's no security video?" She'd seen the cameras posted around the property.
"He claims the system's been broken for years."
Jess didn't doubt it.
She surveyed the photos and newspapers clippings. Penney or whoever had done this had been keeping up with the Five all these years. In every photo, an X had been swiped over their faces.
"Evidence techs on the way?"
"Yes, ma'am."
Jess studied the collage created apparently in the last week. If Todd Penney had been in California all this time... had his mother collected the newspaper clippings for him?
"Sergeant, let's see if we can determine how often Mr. Penney has come home for a visit. Did he fly or did he drive as he did this time? How long did he stay? If he hasn't been back, then who collected these?" Maybe the mother had kept a shrine of sorts. Or maybe... "Also, let's find out what Lenny Porter's mother has been up to. Maybe all these clippings and the journal are from a shrine to her son."
Jess wasn't sure how far they would get with the last since Mrs. Porter was out of the country.
"I'm on it," Harper assured her. Even though the evidence techs hadn't arrived yet, he glanced around as if to ensure they were alone. "May I ask you a question, Chief?"
She reminded herself not to frown. Bad for her complexion. "Absolutely. Ask me anything you'd like."
"Is it true that Lieutenant Prescott transferred to GTF?"
"That's right." Jess shrugged. "I guess she couldn't get past her feelings that I got the job she felt she deserved."
"Will we be bringing anyone new onboard soon?"
"I sure hope so, Sergeant. We're a skeleton crew as it is."
"Corlew called me this morning."
Jess was surprised he hadn't called her. "Did he have something new to share?" She wanted to believe he meant well getting involved with this investigation, but she had far too many reasons to doubt the idea.
"He says Mrs. Porter's ship is coming back into port on Sunday. He suggested we have someone waiting for her."
"I have a better idea." Jess had been thinking she needed to get a firmer grasp on what Corlew was up to. After talking to Dan last night, she'd made up her mind. "When you're caught up here, track down Corlew. Tell him you need to have a look around his home and office. If he doesn't want to cooperate, let's get a search warrant. If he wants to get more involved in this investigation, let's give him a written invitation."
Harper grinned. "My pleasure, ma'am."
Jess's cell clanged.
Harper's must have vibrated because he reached for his.
_Burnett_. He'd already heard.
Harper stepped out of the locker to take his call. Jess bit the bullet and hit ACCEPT.
"Harris."
"Where the hell are you?"
"I'm on Lorna Road at an Easy Storage with Harper." She didn't mention that they were in separate vehicles.
"What happened with the Infiniti and the driver with a weapon?"
"He nudged my car and when I looked in the rearview mirror, there was a gun pointed at me. I didn't see his face." And unless Todd Penney had traded way up, it wasn't him. Not that she thought for a second the incident had anything to do with her ongoing case.
"Do not leave your location until I get there. That's an order."
Jess hit END CALL. "Great."
"That was Officer Cook," Harper announced as he stepped back into the unit. "He just got back to the office. The hospital called."
Fear closed Jess's throat. She prayed Lily was okay.
"Your friend Frances Wallace is in the ER with chest pains."
Jess had to get to her. "You know what to do here, Sergeant."
"I've got it under control, Chief."
Jess hesitated at the door. "When Burnett gets here, tell him I'll call him as soon as I know anything on Frances."
Dan shouldn't be surprised when he arrived to find her gone. If he didn't know by now she wasn't very good with orders, then he hadn't been paying attention.
She never had been good with authority. Otherwise she wouldn't have been voted most likely to rebel her senior year.
Come to think of it, Corlew had gotten that same vote.
Apparently neither one of them had changed much.
#
_University of Alabama Hospital, 2:00 p.m._
Jess paced the waiting room. Frances had seemed fine this morning. Obviously Scott Baker's murder had taken a heavy toll on her. Finding the body of a murder victim haunted a person.
At some point she'd stopped counting how many victims and their killers she had viewed and analyzed.
No matter that she was surrounded by others, also waiting to hear news on their loved ones, Jess realized that until coming back home a month ago that was pretty much all she did—analyze evil and murder.
Maybe that was still her top priority. Her sister would certainly say that Jess was all work and no play unless the players were a part of her work. Like Spears.
He appeared to know that about her and intended to utilize those vast resources of his to taunt her. She had a bad feeling he also understood that she would do just about anything to prevent him from going _fishing_ , as he called it in his text message. If he started another murder spree, there was no telling how many people would die before he was stopped.
"Chief Harris?"
Jess reeled her thoughts back to the present. She hurried to the AUTHORIZED PERSONNEL ONLY doors. "I'm Chief Harris," she said to the nurse who had called her name.
"Mrs. Wallace would like you to join her."
"Thank you." Relief rushed through Jess. "Is she all right?" She followed the nurse along the wide corridor. The sterile hospital scents invaded her nostrils. She hated the way hospitals smelled.
"She's doing fine. She'll explain everything to you." The nurse stopped at a closed door. "The doctor has released her, so she's free to leave. I think your aunt just needs a little extra patience."
Her aunt? Jess thanked the nurse again and entered the room where Frances Wallace sat atop the exam table wearing a generic print gown. "That color is you," Jess said, her chest tightening at the weary mask of fatigue her old friend wore.
"It's a classic," Frances complained. "Unfortunately one that never goes out of style in these joints. Otherwise they'd have something new by now. These are the same old rags they had when my daughter was born."
Jess laughed. "You know, I think you're right. I've never been in a hospital that didn't have those same damned gowns."
"Exactly my point."
"So." Jess walked over to stand beside her. "What's the prognosis? Will you live?" She bit her tongue when the other question on her mind bounced to the tip of her tongue. Where was her daughter?
"I'll live," she said with a shrug. "It was only a panic attack. Or maybe gas. The child they called a doctor couldn't say for sure. But I'm fine now and"—she gave Jess a look—"more relaxed than I've ever been in my life."
"Drugs will do that," Jess teased. "I guess you didn't realize how Baker's death affected you?"
She patted her meticulous bun. "Possibly. Mostly I think I shouldn't have eaten Thai for lunch."
"Maybe not," Jess agreed, hoping it was that simple. "You do understand that Baker's death had nothing to do with you or the widows, don't you? I explained that already."
"I'm not dense, Jess. Certainly I understood. I didn't kill the little shit and neither did any of my friends."
That was plain as day. "I'm going to have an attorney Dan knows look into this business at the Village," Jess promised. "Maybe he can find a way around the clause in your contract that gives the board the right to screw you over."
She reached for Jess's hand and hopped off the exam table. "That would be very nice of you, dear."
"Why did you tell the nurse I was your niece?" Not that Jess minded but she suspected there was a motive behind the move.
"The only way they'd let you take me home is if you're family. You have a problem with that?"
Jess gave her the universal gesture of surrender. "Absolutely not, Aunt Frances." She grinned. "Just remember your favorite niece in your will."
"I've already taken care of that," she assured Jess as she reached for her clothes. "I'm leaving you my tell-all biography. You're to see that it's published so all the old geezers I used to know can roll over in their graves and their highfalutin offspring can be properly mortified."
"It would be my pleasure." Jess turned her back when the cotton gown hit the floor. "I'm not in this book, am I?"
"Of course you are." The rustle of clothes underscored her words. "I spent several chapters analyzing your life and raved on and on about how I helped shape your future."
"That's sweet." That was one biography she couldn't wait to read.
"That's me," Frances announced as she gathered her purse. "Sweet as honey and a whole lot less sticky."
Jess offered her arm and Frances took it. As they approached her car in the ER parking garage, Frances brought them to a halt. "I didn't call my daughter."
"Is there a reason you didn't?" Jess located the fob and unlocked her Audi.
"She's not strong like you, Jess." At the passenger side door, Frances turned to her. "God love her, she's like her father. She needs everything to be normal and calm. This would have gotten her all worked up for nothing." She smiled sadly. "Besides, like her father, she thinks I'm immortal. I can't have her believing otherwise."
Jess patted Frances's arm. "Your secret is safe with me."
"That means a great deal to me, Jess." Frances smiled but Jess saw the glitter of emotion in her eyes.
She moved around to the driver's side. When they settled into the front seat, Frances turned to Jess. "After you and your handsome boss left this morning, I made a few calls. I had a long chat with a former colleague of mine who taught at Carver High School."
Jess had read the records on both Porter and Penney. But firsthand accounts generally provided better insights. "Do tell."
"The young man who died, Porter, was quite besotted with a lovely young lady from Brighton Academy."
Juliette Coleman. "Were there any particular incidents your colleague recalled?"
Frances shook her head. "Just that she thought it was very sad for Porter. She said he and his friend Todd Penney were very nice young men."
"I appreciate the information but you really don't need to bother yourself with this investigation, Frances. You have enough to worry about with that construction."
"Too late." She smiled crookedly, probably the drugs. "I also spoke with an old friend who taught at Brighton. Scott Baker and his friends were smart, polite, and hardworking in school."
Jess felt a twinge of disappointment. "The perfect students."
"Hardly," Frances mused. "They all had a wicked streak a mile wide. When they thought no one who mattered was looking, they could be quite nasty."
"I may need to speak with this old friend of yours." This case was not nearly as cut and dried as it appeared on the outside.
"You let me know. I'll be happy to arrange it."
As Jess drove across the parking lot, Frances touched her arm. "You're a lot like me, Jess."
She flashed a grin. "I'll take that as a compliment."
"Maybe you shouldn't. I know how fiercely independent you are. That can be a good thing. But it can also leave you lonely and needy when there's no one around to lean on because they've all been trained to stay out of your way."
Jess couldn't decide how to respond to that.
"We all need a strong shoulder once in a while, Jess. Take my advice and let someone else be the strongest from time to time. You'll regret it if you don't."
_9911 Conroy Road, 5:40 p.m._
Jess had gotten to her apartment just in time to cover her murder board with a sheet before the technician from Atlas Home Security, Harry Watson, arrived. Dan had been too furious that she had left the storage facility alone to show up here, so he'd sent Lori instead. Jess knew he would reserve his explosion for when they were alone.
She couldn't wait. For now she and Lori followed Watson around the room as he explained what he had done.
"That"—he pointed to a small object in the corner near the ceiling above her bed—"is a motion detector. If anyone comes through that door"—he indicated the only entrance to her place—"this sensor will set off the alarm. If there is any movement at all in the room, the same will happen."
She'd had a system in Virginia. She understood that the motion sensor was for when she was away from home. Otherwise she might wake up in the middle of the night and set it off when she got up to pee.
"Each window"—he indicated the windows around the room—"has a sensor. If the window is opened, the connection is broken and the alarm goes off." He then pointed to another little beige box he had installed on her wall, this one above her murder board. "That's a glass break sensor. It's triggered by the sound of breaking glass and will set off the alarm as well. Your entry door has a sensor the same as the windows. If the door opens, off the alarm goes."
"What's to prevent a professional from shutting down the system somehow?" Jess wanted to know. The old-fashioned systems like she had in Virginia worked through a landline. Cut the phone service outside the house and the system was useless. She'd never upgraded since she was rarely home anyway.
"This system is totally cellular." He directed their attention to the modem-like box he'd placed atop Jess's chest of drawers. "Complete with battery backup that continually recharges in case the power goes out."
That was a huge relief. "You did something outside?" Lori asked. "You were working on the stairs."
"Since that door and the staircase is the only way in or out of your place," Watson explained, "I felt you needed to know if someone was approaching. So I placed motion sensors at the bottom of the staircase and then another set about midway. They're attached on the underside of the railing so you won't see them and they won't pick up a cat or dog the way they would if they were at the tread level."
"Sounds like I'm covered." Jess was impressed. According to Burnett, this was the top security company in the city.
"All I need now is your security code, four digits, and a code word or phrase."
Jess went with the day and month she returned to Birmingham and for the code word she decided on _Glock_. Who would ever guess that?
With the work done, all she had to do was write the massive check. God, her checking account balance was dwindling and her puny savings wasn't much better. The locksmith had come while the security guy was doing his thing. Now she had new locks _again_.
Once the technician was out the door, all she needed to do was fumigate her place. The idea that some stranger had been in here made her shudder. Lori had helped her check the place for bugging devices, audio or video. They'd also checked every cupboard and drawer and they'd taken apart her bed all the way down to the box springs to make sure nothing else had been hidden there.
"Man, you are state-of-the-art," Lori praised. "I wonder if you can count this as a tax deduction since it's work related?"
Jess snorted. "I won't hold my breath. Since the technician was here already when I finally made it, how about an overview of what you and Cook learned today." She curled up on the sofa and motioned for Lori to join her.
She settled at the other end and opened to the notes in her phone. "The cousin and mom's ex both claim Todd hardly ever comes home. His job takes up most of his time and he swore when he left Birmingham he was never coming back."
Jess knew that story line. "Did Cook get anywhere on relatives of Mrs. Porter?"
"No luck. Her house is locked up tight. Cook had hoped to at least get inside if there was a house sitter. No relatives we can find. She doesn't work, so no coworkers to question. If she goes to church, none of her neighbors know where."
"Try getting through to her ship. Maybe she'd be willing to answer at least a few questions."
Lori entered the notes into her phone's notepad. "I'll get on it. Depending on the time zone, I may be able to get through tonight."
"Anything from Harper on Corlew's reaction to our request?"
Lori smirked. "Oh yeah. Corlew is mad as hell. He said his lawyer would contact you."
"We'll give him until noon tomorrow." Jess shouldn't be getting any glee out of this but she was. If Corlew thought he was dragging her into his grudge with the department, he had another thought coming. Nor would she tolerate him muddying this case.
There was no point putting it off. Dan was waiting for her at his place. Talk and dinner. The dinner she looked forward to. She was starving. The other, not so much. She'd promised to do better just last night and already she'd gone back on her word.
"Thanks for hanging out with me while this was done," she said to Lori. At this hour Jess was cutting into the detective's personal time.
"Not a problem. We all want you to be safe."
"I appreciate that." She gathered her keys and her bag. "I guess I'm headed to Burnett's house for dinner and a scolding."
Lori waved her phone. "Yeah. I'm supposed to take you there."
Jess started to argue but decided that she'd give Dan that, considering how badly she'd broken her promise today. She locked up and set the alarm. That way he'd have to bring her home and then he could see that with the new locks and the security system there was no reason she wouldn't be safe right here.
"We took Chester to McDonald's last night," Lori said as they descended the stairs.
"How'd it go?"
Lori nodded. "Better."
"All it takes is time."
A crash inside the garage had both Jess and Lori going for their weapons. Neither said a word as they flattened against the stone walls and eased toward the side door.
The door was ajar.
Jess's gaze collided with Lori's.
Lori nodded and Jess reached for the door.
She swung it open and Lori went in, weapon leveled and ready. Jess was right behind her.
Mr. Louis staggered a step or two, then reached up and righted his eyeglasses.
"Mr. Louis, are you all right?" Jess skirted the old Caddy and hurried to the elderly man's side.
He gestured to the overturned ladder and a box lying on the floor, its contents scattered. "I lifted the box to put it on the shelf and lost my balance. The next thing I knew I was going down, ladder and all."
"Are you hurt?" She looked him over. "You really shouldn't be up on ladders like that."
Lori started gathering the scattered items. Old sewing patterns and dozens of spools of thread. Squares of fabric.
"I'm fine. Really." He dusted himself off. "I feel a little foolish, that's all."
Good Lord. The man was as bad as Frances overdoing it like this. Jess crouched down to help Lori. Then again, she suspected she would be doing the same thing at their age.
"You're not hurt. That's all that matters," Jess assured him.
"My sister's things." He shrugged. "I should have cleaned out her room years ago."
"Next time let me know and I'll help." He'd been so kind to her that was the least she could do.
Lori righted the ladder and climbed up to reach the shelf Louis had been aiming for. Jess lifted the box to her. It really wasn't that heavy. Louis, being on the short side, must have overreached. A hazard of working on a ladder.
"Thank you, ladies. I feel quite foolish."
"Happy to help, Mr. Louis." Lori smiled at him and Jess could swear he blushed.
Jess waved a good-bye. As she and Lori made their way to the door, the empty space under the breaker box caught her eye.
The old wooden box she'd stubbed her toe on was gone. Maybe he'd just moved it. She figured that George Louis was a doer. Always piddling at something.
As they drove away, Jess decided she should get an alarm system for her old Audi as well. If she'd had one last week, she would have known if it was Ted Allen who'd tried tampering with her car.
Or if it was Spears.
Spears had caught her off guard last night. She wouldn't kid herself. He'd scared the hell out of her. But she was okay now.
Let him come.
_Dunbrooke Drive, 6:30 p.m._
The smells coming from that commercial-grade stovetop were making her mouth water. Maybe she'd been wrong when on her first visit to his home she'd taken one look at this fancy kitchen and laughed. What did a man who ate out all the time need with all this? Maybe the guy did cook occasionally.
Jess leaned against the island counter, her arms crossed over her chest and prepared for whatever Dan opted to throw her way after he heard what she had to say to his suggestion she would be safer here.
"I'm not staying here again tonight." He froze mid-stir. "The security system is installed and online. There's no way anyone's coming in without me knowing it. I sleep with the Glock under my pillow. I'm good to go."
As unsettling as all these events were—the break-ins, the vehicle tampering, someone aiming a weapon at her—she had to do this the right way. She didn't have to remind him that he wouldn't be inviting Black or Hogan to spend the night with him. Protecting the integrity of their positions in the department was critical.
He continued stirring the array of fresh vegetables he had dumped into the wok along with the chicken. The rice had already boiled and the tempting smell of whatever sauce he'd prepared was driving her wild and she hadn't even tasted it yet.
"Apparently you've made up your mind. I guess there's nothing left for me to say on the subject."
That sounded good but she knew the man better than that. He would not let the subject go without a fight. Though they had spent the past twenty years about a thousand miles apart, it had only taken her just over a month to see that he was even more hardheaded than before. He was ridiculously overprotective of her, and nothing she said or did appeared to sway him one iota.
He cared about her. He wanted her to be safe.
"If we're done discussing my living arrangements, I'll get the plates and open the wine."
Since he opted not to answer, she took her time arranging place settings before opening the bottle of pinot grigio he had taken out of the fridge twenty or so minutes ago.
Silence still choking the air out of the room, she gathered two stemmed glasses and poured a generous serving for them both. She had a feeling they were going to need it to get through this meal.
As if he'd taken lessons from Guy Fieri himself, Burnett placed a bed of rice on each plate, then spread the chicken and veggies like juicy, colorful icing.
Mercy, it looked as good as it smelled.
He grabbed his glass of wine, gestured for her to take her seat at the island, and then chugged the pinot.
Oh yeah. His feathers were ruffled.
_Whatever_. She intended to eat.
The first bite had her moaning in spite of her best efforts to eat quietly. Until she'd started taking on so, you could've heard a pin drop in the room.
"Good?" he asked.
"Amazing," she confessed.
"Gina taught me this recipe. She takes cooking classes over at the Cook and Bake Company as a way to relax. She says it helps her achieve her Zen goals."
The deliciousness exploding in her mouth fizzled like a flat soda. "That's interesting." At least Gina taught him something useful. It took every ounce of restraint Jess possessed not to say exactly that. She had no right to be jealous of the woman. No right at all. But it was hard not to be. Gina Coleman was gorgeous and smart and a good cook who took lessons for her Zen whatever. La-tee-da.
Jess would bet a hundred dollars that the woman couldn't change a tire if her life depended on it. She probably couldn't qualify with a weapon either. Or take down a bad guy with a few precisely placed moves.
"Do you remember my cousin Ronald?"
Jess about suffered whiplash from the abrupt subject change. "Vaguely."
"He graduated high school two years after us," Dan went on. "Anyway, he and his wife had their first child. A baby girl named Serena. They've asked me to be her godfather. The christening is at two on Sunday. If you don't have plans, would you like to come?"
"I'd love to." Who wouldn't want to sit on a hard church pew and listen to a baby scream while everyone in the room oohed and aahed about how beautiful it was?
_Stop being mean, Jess_. For those who didn't have children, a christening wasn't exactly a fun time. It was hard to relate to people who had decided their entire lives should now be focused on this tiny human who had only higher taxes and fewer job opportunities to look forward to.
"I'll pick you up about one-thirty, then."
"Sure." If she had said no, would he have invited gorgeous Gina?
Then it hit her. The whole reason he had told her about Gina teaching him to make this lovely meal was so she would jump at his invitation. The sneaky—
"I don't want you to go back to your place tonight, Jess."
In spite of her very best efforts to stay strong, the worry in his voice tugged at her heart. She laid her fork down and turned to him. "We can't keep skating into dangerous territory, Dan. We already have enough trouble keeping our professional relationship professional. Black and the others aren't blind."
She needed more wine. She reached for the bottle but he beat her to it. He refilled her glass.
"I know we're supposed to be taking this slowly but I'm almost forty-three. I don't want to take it slowly anymore." He poured himself some more wine before putting the bottle down. "I want to spend the rest of my life with you, Jess. I want to love and protect you for as long as I live. If something happened to you..." He shook his head. "I couldn't bear it."
The whirlwind of emotions his words launched had her head spinning. "What're you saying?" Had he just proposed? And told her straight up that he loved her too. _Oh my God!_
"I'm saying that I love you. I want us to take it to the next level. I want a commitment."
"Boy, that was a mouthful." Reeling, she didn't know what else to say to his revelation.
"If you don't want the same thing, for God's sake say so and put me out of my misery."
_Take it slow and careful, Jess_. "I can't say that I don't want the same thing." Okay, that wasn't so hard.
"Then why the hesitation? Is it about having children?"
That she wasn't sure about. "There was a time when I was certain I'd be spending the rest of my life with you." She smiled but her lips wouldn't quite hold the gesture. "Being back here. Being with you feels right. It feels like it was meant to be but..."
As if Frances had abruptly walked into the room, her voice rang in Jess's ears. _It can also leave you lonely and needy when there's no one around to lean on because they've all been trained to stay out of your way._
"But..." he prompted, hurt in his voice and on his face.
"I'm terrified, Dan." Just tell him the truth. "It feels like we have this incredible and unexpected second chance. A _gift_. A do-over opportunity that most people don't have the privilege of stumbling upon. And I don't want to screw it up. We have to be careful. Take it slow and be patient. We have to, Dan. We just have to. This is too important to rush or jump the gun." She drew in a big breath. "I have to learn to lean on someone besides myself sometimes. You have to learn not to smother me."
"I just want you safe."
"I know you do but we have a job to do and at work you can't treat me different. We have to learn to separate those aspects of our lives. We talked about this last night. Otherwise your position as chief of police could be damaged. We have to be smart about how we do this. We have to do it right."
He took her hand in his. "You make a number of valid points. I shouldn't be rushing things but when I think of Spears getting close to you, I'm the one who's terrified."
Jess kissed him on the lips. "I love you, Dan." The happiness that lit in those blue eyes of his tightened her chest. If he could say it, she damn sure could too. "Thank you for admitting you're afraid too. I don't like being terrified alone."
He kissed her firmly, then drew back. "Eat." He winked at her. "Then you can tell Gina how much you appreciate all she taught me."
Jess narrowed her gaze. "That will cost you, mister."
He leaned down and kissed her again. His lips lingered until she melted against him and kissed him the way he wanted to be kissed. The way they both wanted to be kissed.
When they were gasping for breath, he whispered against her cheek, "I want to make love to you."
She looked up at him and smiled. "I hope this shirt didn't cost too much." Before he could say a word, she ripped it open. Buttons flew over the granite counter and the wood floor. Her hands were on his skin and she didn't care about anything else.
They made it as far as the sofa. She wasn't sure whose fingers fumbled the most; she only knew that it took them working as a team to get his trousers open. She wrapped her legs around his and somehow he got her panties aside and pushed into her.
He did exactly what he'd said he wanted to do... he made love to her. Fast and hard the first time and then slow and softly the second.
Jess didn't know why she had bothered to fight it... this was where she wanted to be.
At least until daylight... when duty called.
But she would always come back... because this was where she belonged.
#
_Cahava Valley Road, 11:01 p.m._
Aaron sat by the pool. The lights deep beneath the water were the only ones illuminating this sultry summer night. Even the stars were hiding from the devil that had been let loose. He almost laughed. Oh yes, he had always possessed a flair for drama. An uncanny ability to size up the situation and tell it like it was.
Like the fact that he and the survivors of their tight little group were royally fucked. "Is that descriptive enough, old chap?" He raised his tumbler of bourbon and toasted the air. Who knew if Lenny Porter was in heaven? But one thing was abundantly clear. He wasn't in hell because that was right here. On earth. In this city.
Aaron had lost count of the number of times he'd filled his glass. Didn't matter. He was royally fucked, right? Who cared? Not his pretty wife, that was for sure. She was out getting fucked by someone else because he couldn't bear to do the job himself.
There had been a time when he could rise to the occasion and make that woman scream with pleasure. But he just didn't have it in him to pretend any longer. The love of his life—the man he would give anything and everything he owned to be with tonight—had finally had his own fill. He could not live in secrecy any longer. He wanted a real life with a real partner.
Aaron could not give him that. Not if he hoped to achieve Alabama Supreme Court justice one day as his grandfather had. As his father now served. The Taylor men were bred for greatness. He certainly could not fail his heritage even if that duty meant failing his own heart.
So he waited out here, alone and in the open, to face what Fate would bring him. Scott and Elliott were dead. They had paid for their sins.
"Hallelujah, brother!" he shouted. Everyone knew the wages of sin was death.
They had sinned.
They had all sinned.
Now they would pay.
He really had intended to go to the lake with or without his wife, but as he'd sat here alone contemplating the best course of action, he'd decided it would be best to face this head-on. To negotiate a mutually beneficial resolution. That's what he had been born to do. Why fall down on the job at this important juncture? Of course, he had consumed a healthy portion of bourbon by then.
To hell with it. If O'Reilly was man enough to stand his ground without the cops backing him up, Aaron sure as hell was too.
Then he'd found the envelope someone had shoved under his front door. His eyes had trouble focusing on the words at this point but he already knew them by heart. He'd read them over and over.
May 15
I want to kill Aaron Taylor.
Why stop with him? They had all tortured us. Why not kill them all? School pretty much sucked but they had made senior year the worst of them all.
Just because they could.
Selfish bastards.
They'd taken him to the rock quarry with them and gotten him drunk. He didn't even like beer. But he'd done it to please her. Then he'd gotten sick and he called me to come get him. By the time I got there he was passed out. He'd puked all over himself. That wasn't the worst of it. When I drove up that faggot Aaron was pissing on him.
They just laughed as I picked him up and walked away.
I hate them. I hope before they die they know how it feels to be in the kind of pain my friend has suffered.
Only a few more days until graduation and then we can get out of this shit hole.
Aaron dropped the page as he stood on shaky legs and walked toward the lighted pool. "Come out of the shadows, sir," Aaron demanded. He had sensed someone was watching him a while ago. At first he'd thought it was only the bourbon but then he'd felt the subtle shift in the air around him.
Penney was here... to have his revenge. And Aaron had no one to blame for his ill preparedness but himself.
"You've made your point." He turned slowly around, swaying a bit. "Rather than take another life, why not enjoy the fruits of your labor. I have one million dollars with your name on it. Money offers a great deal of healing power." Aaron sighed. "I know this well. I have healed myself over and over."
He shook his head. Tossed back the last of the bourbon. He grimaced at the burn. "What we did was wrong. So fucking wrong." He shook his head again, the movement stilted. "Instead, we allowed a young man to be buried with the world believing he had killed himself. We tarnished both your reputations and never looked back."
Aaron staggered over to the table next to his favorite chaise lounge and filled his tumbler yet again. "There's no need to hurt anyone else," he promised. "I'll call the police right now and tell them the truth." He probed his trouser pocket for his cell phone. He stumbled back a few steps but recaptured his balance. He waved his phone. "See, I have my phone. I'm going to make the call just as I said. We'll pay for what we did. Isn't that what you want? Our public humiliation and downfall?"
He promptly dropped the phone. "Shit," he muttered as he reached down for the blasted thing.
When he rose, something slammed into the back of his head. Aaron plunged forward into the pool. Something splashed into the water with him. He watched the small cast statue of a child—the symbol of what his wife would never have as long as she was married to him—sink to the bottom of the pool.
His vision was blurred and he felt oddly heavy.
For a moment he just sort of lingered beneath the surface but then adrenaline must have kicked in because he started to kick and flail his arms in an effort to reach the surface.
_Don't breathe... don't breathe_.
He had to get out of the water!
Why wasn't he going up? As drunk as he was, he knew that with the air still in his lungs he should float to the surface. All he had to do was hold his breath and stroke upward until he reached the surface.
Above him was a blurry image. A man standing at poolside... with the skimmer pole.
A sharp jab at his shoulder and Aaron understood. He was being held beneath the water with that damned skimmer.
Fear roared through his veins.
He had to get away... had to get to the air...
He didn't want to die like this. He tried to keep fighting but his arms and legs just wouldn't work anymore.
Aaron watched the bubbles going up around him and he knew the air had just seeped from his lungs. Water rushed in to take its place...
#
_Friday, August 13, midnight_
Kevin was struggling for breath by the time he reached his car. His hands were shaking and he dropped his keys twice before he could hit the damned unlock button.
He reached for the door, relief starting to seep into his veins. He'd made it. Thank God.
It was damned dark out here but he kept looking over his shoulder just in case. The feeling that someone was watching him just wouldn't go away. But he'd been extremely careful to ensure he hadn't been followed.
The bastard couldn't be that stealthy.
He glanced back once more just to be certain. He didn't see a damned thing.
"Idiot." He laughed at himself. No one was there.
All he had to do was get the hell out of here. He would get some sleep in the recliner with his gun right where it was now—in his waistband.
He didn't give a shit if Todd Penney was watching him or not. He wasn't taking Kevin down. He was smarter than the others. He'd figured out exactly how to protect himself from that bastard. "Fuck you, Todd."
Kevin opened the driver's side door and—
A strong arm closed around his neck. The gun was plucked from his waistband before he could react. The cold, hard muzzle rammed into his temple.
"No. Fuck _you_ , Kevin O'Reilly."
#
_Dunbrooke Drive, 4:59 a.m._
Jess locked the bathroom door and sat down on the edge of the whirlpool tub. Dan was still asleep. The shirt she wore smelled like him. If she never smelled anything else the rest of her life, his scent would be enough.
God, this was hopeless.
She rested her head in her hands. "What in the world?" She bit her lip and fought the wave of tears. He wanted to move to the next level—a committed relationship. It wasn't that she didn't. She loved him. Yes. She'd told him. Out loud. But she needed time—time to get used to the idea. To wrap her head around not being totally independent of those kinds of commitments. He didn't want to wait and God almighty she was weak. So weak.
"Suck it up," she muttered as she straightened her back and squared her shoulders. She was a grown woman. Locking herself in the bathroom and whining was no way to find an answer or a comfortable place for her emotions to land.
She needed a shower. The red skirt and matching scratchy jacket would just have to do until they dropped by her place for a change of clothes on the way to work. Which meant they would have to leave early. She needed to get a move on.
With renewed determination, she dragged her bag onto her lap and prowled for the little compact that held her birth control pills. That was something else she had to do. This was her last refill. She needed to get a doctor here.
"Definitely not Collins," she muttered. Though he really was a good doctor, he was one of the many who at times pooh-poohed the unique health issues that women faced. Her sister's case was a perfect example of that mentality. She'd squared that away with a face-to-face with the good doctor.
How come she could clear up everyone else's problems but never her own?
And why was it this damned frustrating packaging required her to pry it open every single time? They really should design these things better.
She stared at the number of pills left. Wait. That wasn't right. Today was the thirteenth. She should be having her period by the fifteenth, which meant she should be into the blue-green pills now, not still in the white ones.
Searching her bag again, she unearthed her phone and checked her period calculator. Wasn't that a handy app?
There it was. She was right. There should only be one of the white pills left, at most. But there were four. Not a good thing.
A trickle of terror kicked her heart into higher gear.
Surely she hadn't forgotten as many as that? Yeah, she'd forgotten one here or there in the past but never more than one in a month.
Jess shoved her hair back from her face. Had she gotten behind after her room at the Howard Johnson Inn was vandalized? Things had been a little crazy for a few days and she'd gotten abducted by that crazy little gangbanger. Lil had gotten sick in the midst of all that.
And she wasn't even going to throw Eric Spears into the mix. He had turned her life completely upside down. She shuddered when the image of that gun pointed at her flashed in her head. What if that guy had pulled the trigger? What if...
He hadn't. She couldn't think about the what ifs; she had a bigger problem at the moment. There were lots of excuses for why she might have forgotten this many pills but none were good enough. This was serious business.
No... this was _life-altering_ business.
"Okay. Deep breath." The chances that she had missed two or more days in a row were slim. So, this might not be as bad as it looked.
And maybe her calculations were off. She could be right on schedule. Maybe she'd entered the dates wrong in the app in the first place.
"That has to be it."
Jess popped a pill into her mouth and ducked her head under the faucet. She swallowed and felt better already.
She swiped her mouth with the back of her hand and stared at her flushed skin and tousled hair.
The fear attempted to swell again. Shaking her head, she turned her back to her reflection. She peeled off Dan's ruined shirt and climbed into the shower.
She was worrying for nothing. The Pill was 99.99 percent accurate, wasn't it? Something like that.
There were better odds of winning the lottery than of her getting pregnant. Hadn't she read that somewhere?
_7:30 a.m._
Since Jess had showered first, she'd scrambled eggs and made toast while Dan showered and shaved. They sat together at the kitchen island and asked the usual questions.
"You sleep well last night?"
"I did." She sipped her juice. "You?"
"Like a rock."
They sounded like an old married couple. Very few things had ever scared her more.
Afterward, Dan loaded the dishwasher while Jess grabbed her stuff and readied to go. The meal wasn't as elegant and delicious as one Gina Coleman would have whipped up but it served the purpose.
"Cooking classes, my ass," she muttered as she headed back into the kitchen. She could take a cooking class if she wanted to, but she didn't have time. She was too busy stopping killers and keeping Birmingham safe.
Maybe that was a little over the top.
Loading up in his SUV and heading to the office together was another of those couple things. She'd stayed overnight with him a few times during the last Spears ordeal when she first got back to Birmingham, but things had been so frantic then that she hadn't really thought about how it felt to take each of these steps. Only how it looked to everyone watching them.
This morning felt... comfortable yet awkward some-how.
Didn't make any sense but there it was.
"I'll just pick up my car when we stop at my place. I hate being stranded." It made her feel completely powerless.
"I know how you feel about that," he ventured, "but I just don't think it's a good idea for you to be alone out in the open in a vehicle he can tie you to. Not after what happened yesterday."
As much as it annoyed her that whenever he learned about an incident that involved her safety, he wanted to take control and protect her, he had a point she couldn't ignore.
"I won't go anywhere without Wells or Harper. And I'll ride in their vehicles. You have my word." She wasn't a fool. The guy had scared the bejesus out of her. "The Audi will stay in the city parking garage."
Her cell clanged. She checked the screen. _Lori_.
"Harris."
Jess heard Burnett answer his phone as well. Simultaneous calls were never a good sign.
"Chief, there's been another murder. It's Aaron Taylor. The maid found him a few minutes ago." Lori gave Jess the address.
Why the hell hadn't the guy gotten out of town like he said? Or at least accepted a surveillance detail? What was wrong with these people? "I'm on my way."
_And then there were two_.
_Cahaba Valley Road, 9:00 a.m._
Like his friends, Aaron Taylor lived in a mansion. A modern beauty with an infinity pool that flowed practically right up to the French doors at the rear of the house.
Paramedics had pulled Taylor out of the pool but he'd been long dead. Overnight at least. The skin around his hands and feet was wrinkled and loosening from the body. His eyes glistened, which indicated he had been underwater since his death.
Jess leaned down to peer into his open mouth. She couldn't see any vomit or pink froth from the battle to draw in oxygen but it might have washed away. Lividity along the face, chest, and abdomen told her that he had been facedown on the bottom of the pool since his heart stopped beating. A nasty lump on the back of his head suggested someone had either rendered him unconscious or attempted to. Either way, he had died just the same.
"One of the techs is going into the pool for the small statue near where the victim was recovered. That may be the weapon used to give him that massive lump."
"What about the skimmer?" She looked from the pool to Harper. "That's too light to have been used for cracking his head. Maybe it fell in accidentally or was already there?"
"They'll retrieve that as well."
Jess had unbuttoned the victim's shirt to check the lividity along his chest. She pushed the material away from his shoulders and found a mark on his left shoulder. She pointed to it. "Maybe the blow to the head didn't put him down the way the killer hoped. He had to use the skimmer pole to hold him under the water until he stopped struggling."
"There's a nearly empty fifth of bourbon over there," Harper mentioned. "He may not have done a lot of struggling."
"True. As fit as this guy was, that pole wouldn't have held him under if he hadn't been incapacitated to some degree."
Just another reason to stay sober when your friends were dropping like flies. Dammit. Why the hell hadn't he listened to her and gone to that lake house? Or at least accepted the surveillance detail she had offered?
Lori joined them on the patio. "The house is untouched as far as we can tell. No ransacking. The maid says everything appears to be right where it's supposed to be."
Jess stood. "Does she know where Mrs. Taylor might be?" Jess hoped they didn't have another victim around here somewhere. Taylor had mentioned taking his wife out of town; maybe he'd sent her on ahead and had intended to join her but waited too late.
His checkbook and a pen waited on the table next to the dwindling fifth of bourbon. Maybe he'd thought he could negotiate his way out of this. Evidently he'd thought wrong.
"She said Mrs. Taylor's makeup bag isn't here, which means she didn't stay here last night." Lori glanced around and added, "Apparently the lady of the house often spends nights away from home."
Do tell. "We need to track down the lady."
Reporters were already gathered in front of the house. No matter that the mayor wanted this investigation kept low-key, Taylor's murder was going to turn the tide. Carson's death hadn't been connected to Baker's in the media. Most of the coverage had been about his former celebrity status as a pro ball player. With this third murder, the connection would click. Three murdered friends in the space of four days. The blitz would hit by the evening news whether the mayor liked it or not.
"Man, I hope the rest of this day goes better than the beginning," Lori grumbled, dragging Jess's attention back to her. "I had a flat on the way over here." She frowned at Jess. "And you're wearing the same clothes you wore yesterday."
"Does the maid know how to find Mrs. Taylor?" Jess asked, ignoring her comment.
"She gave me her cell number."
That reminded her. Jess glanced around the patio. "Did you find Taylor's cell phone?"
"It's in the water," Harper answered. "Right next to the statue. And for the record," he added with a pointed look at Lori, "I mentioned yesterday that tire looked a little low." He turned to Jess and gave his head a shake. "Don't worry, Chief. I didn't notice the outfit was the same."
Before Jess could summon a witty comeback, her detectives had gotten back to the business at hand. Damn but they needed to find this Todd Penney. If he was the killer in this case, he had just reached a status that wouldn't make his mama so proud.
Serial killer.
"Found this in the shrubbery."
Jess turned to Officer Cook, who held a familiar wrinkled page.
Another journal entry. "Bag it and let's have a closer look."
An evidence tech placed the page into a protective bag and passed it to Jess.
Lori and Harper gathered around to read another glimpse of Todd Penney's and Lenny Porter's encounters with the Five.
As much as she needed to stay objective, Jess couldn't help feeling bad for Todd and Lenny. Aaron Taylor had been a total asshole in high school but that didn't mean he deserved to die like this.
"I guess he got his wish," Lori noted, referring to the author's frustration.
"Cook." Jess passed the journal entry back to him. "Nudge that handwriting expert. We need to know if he can confirm from Todd Penney's DMV signature if this is his handwriting. He's taking far too long to give us an answer."
"Yes, ma'am."
"Sergeant, where are we on locating Penney? He has to be close."
"His face was in all the newspapers again this morning," Harper said. "He's lying low somewhere because everyone in the city knows we're looking for him as a person of interest in this case and no one has laid eyes on him."
"He hasn't reported back to work," Lori added. "As soon as I was notified of Taylor's murder, I called Penney's boss at home. Then I called his mother. She isn't answering her phone," she added before Jess could ask.
_Damn. Damn. Damn._
"Lori, find Taylor's wife before she hears about this." Jess scowled. Hells bells. She needed her car. "You'll have to drop me at the office first. I'm going to round up the final two of the Five. One or both knows more than they're telling. I'm betting if they want to stay alive, they'll start talking."
_Birmingham Police Department, 10:52 a.m._
"Do you have any idea where your friend Kevin is this morning?"
Eyes red from crying, Juliette Coleman shook her head. "I tried to call him three times on the way over here. He's not at home and he's not answering his cell."
Gina hugged her sister close but kept her comments to herself.
"His wife has no idea where he is?"
Juliette shook her head. "She said he worked late at the paper last night and she went to bed. She had no idea he hadn't come home until she got up this morning. But no one at the paper has seen him this morning."
Looked as if they were going to need to issue another APB in this case. Unless they already had another victim whose body just hadn't been found yet. Her frustration cranked up another couple of notches.
"Juliette, I'm going to be totally honest with you." Jess readied to finish ruining the woman's day. It was Friday the thirteenth after all. And another man was dead. Not to mention yet another was unaccounted for. "We've had no luck finding Todd Penney. He's here in Birmingham. We've confirmed that much with his mother. But we can't find him. He's lying low and he appears very good at it. But that alone doesn't make him a murderer."
"It's him," Juliette insisted. "It has to be him."
"How do you _know_ it's him?" Jess gave her a second to absorb the impact of that question. "His friend died twelve years ago. Penney has a very successful life out in California. Why would he come back out of the blue and start killing people? It's not the anniversary of Porter's death. No special date has passed at all as best I can tell."
Still Juliette said nothing.
"That leads me to believe there's a reason we haven't uncovered yet," Jess reasoned.
"What are you implying?" Gina Coleman asked.
"For a man to start a killing spree, there has to be a motive. Considering the one event all three victims have in common, we have to assume the motive is related to Lenny Porter's death and that it's been festering all that time. And now, after twelve years, he's decided to do something about it. The problem is, we haven't found a trigger."
"A trigger?" Juliette asked, looking confused or guilty, maybe both.
Jess pushed a copy of the latest journal entry across her desk. "Yesterday we discovered a storage unit," she explained to the two women. "That storage unit was covered with pages like this." Anger and disgust started to build inside Jess. "Long narratives detailing how five smart, attractive, rich kids tortured two young men whose only shortcoming was that they didn't have it all."
Plain old pissed off now, Jess spread crime scene photos of Scott's, Elliott's, and Aaron's bodies in front of the women. Juliette gasped. Gina glared at Jess.
"Your three friends are dead not just because they were selfish assholes when they were teenagers." Jess struggled to contain her outrage. "They're dead because something occurred recently. A conversation, a meeting, something. And that something triggered their murders. There's only you and Kevin left. Are we going to let whoever is responsible for these murders just keep following this obvious pattern or are you going to start telling me the whole truth?"
"Are you accusing my sister of something?" Gina demanded.
Jess looked her square in the eye. "Absolutely. I'm accusing her of not telling me the whole story." She turned to Juliette then. "Three of your friends are dead," she repeated. "Another is unaccounted for. Are you going to keep pretending that you don't know anything until you're all dead?"
"We need a lawyer," Gina announced. "Let's go, Jules."
"Just one more little detail." Jess opened a folder and withdrew Scott Baker's phone records. She'd gotten to the office this morning to find them waiting for her. Why the hell it sometimes took as much as three days she would never understand. They were still waiting for Todd Penney's, Elliott Carson's, and now Aaron Taylor's. Evidently she needed to add Kevin O'Reilly to that growing list. "Scott called Todd Penney just over one week before he died. They spoke again the day before he was murdered. You and Scott were lovers. Did he mention to you that he'd spoken to Todd?"
Gina stood. "Don't say anything else." She kept that glower tuned at full power on Jess.
Juliette held up her hands. "Okay."
Mouth gaping, Gina stared at her sister.
"We were doing drugs that night."
"Oh my God!" Gina cried.
"If you'd like your sister to leave the room," Jess said to Juliette, "we can go on without her." Jess ignored the mega evil eye that earned her. Gina would need a few more cooking classes to get her Zen after this.
"No." Juliette shook her head. "I want her to stay." She fell silent for a long moment; then she began, her voice taking on a distant quality. "None of us did drugs. We didn't even smoke pot." She glanced at her sister. "But that night was the last night of our youth, you know? Starting on graduation day, we would be adults. College, jobs, marriage, and children lay ahead of us."
Jess didn't prompt her with more questions. Just let her talk.
"We decided that one night would be ours. Completely. We could do anything we wanted and it didn't count. We swore never to talk about it. Like it never happened."
"How did Lenny Porter become involved?" Jess had a feeling he didn't just show up.
"The guys wanted guinea pigs. We'd spent the whole year screwing around with them—why not include them in the big bash? So Scott and the others invited Lenny and Todd." She stared at her hands. "Lenny did everything they told him. Whatever stupid thing it was, he did it. He took the drugs but not just the pot and coke we did—the hard stuff, like acid. He was their puppet. They were getting off on watching his reactions to the drugs."
"What about Todd?"
"He played along at first but then he tried to get Lenny to leave. Finally he left without him. But he was tripping too. The acid really screwed with their heads."
As much as Jess wanted to explain to this woman that four people were dead and she was partly responsible, she waited for the rest.
"The guys started goofing around close to the edge of the building. Scott, Aaron, and Elliott were acting totally insane. I sobered up pretty quickly. I begged them to stop but it didn't do any good. They just kept getting closer and egging each other on. I was done. I told them I was leaving. I turned my back for a second. A _second_! And Lenny jumped."
"So the three who have died, your friends, were at the edge with him but he was the only one who jumped."
She nodded. "We went home and pretended it never happened. But Todd knew. No one believed him but he knew. And now he's having his revenge."
"What about Kevin?" Had she forgotten about him? He was there that night as well. What was he doing during that pivotal time?
She laughed, then pressed her hand to her mouth as if she hadn't meant to do that. "Are you kidding? He's terrified of heights. There was no way he was getting near the edge."
"Juliette," Gina said, breaking her silence, "has always been the good girl in the family." She smiled at her sister. "She wasn't a rebel like me. She didn't give anybody any grief."
"Except Lenny Porter," Jess reminded her. "And his friend Todd Penney. You read the journal entries."
Both women stared at her in something like disbelief. Juliette was the first one to speak. "I was always nice to Lenny." She shrugged. "Why wouldn't I be? It was the guys who were mean to him. I didn't like being a part of that. I tried to smooth things over. I felt sorry for Lenny. The poor guy loved me."
"But you couldn't love him back enough to make your friends stop," Jess suggested. Before she could respond, Jess moved on. "Thank you, Juliette." She passed a notepad and a pen across the table to her. "I want you to write down everything you've told me." She turned to Gina then. "When she's done, take her home and keep her there. Do not go anywhere or do anything that might cause the two of you to become separated from your surveillance detail."
"Of course." Gina wore the shocked look of someone who had just learned that people, even little sisters, sometimes kept deep dark secrets.
The door to Jess's office opened just a crack and a head poked in. "Oh, excuse me."
The door closed as fast as it opened.
What was Corlew doing here?
"I'll be right back, ladies."
Jess got up and walked out of the room. Corlew was already halfway to the elevator. "Hold up, Corlew," she called after him.
He waited for her to catch up to him.
"You wanted to see me?" she asked.
"There was another murder last night? Aaron Taylor?"
"That's right. Do you know something about it?"
"I'm not sure. Is there some place we can talk?"
"There's a conference room." Since they had to walk right past the lounge, she had to have more coffee. Corlew declined.
Once the conference room door was closed, she started things off with a simple question. "What's on your mind?"
"Twelve years ago, after Lenny Porter died, Todd Penney insisted that the Five had something to do with his death. But the cops who worked the case cleared those kids." He shrugged. "Who was going to drag the offspring of Birmingham's biggest big shots through the mud? So Penney ends up looking like a total fool and a bad friend because he wasn't there to save his friend, whose death was ultimately ruled a suicide."
Jess sipped her coffee and sent him a disinterested look. "I got all that, Corlew. Where's the new stuff?" The better question was, what information was compelling enough to bring him _here_? Or was he angling for her to change her mind about the search warrant?
"All these years later, Penney finally returns home for a visit and people start dying," Corlew went on. "But I don't think Penney is killing anyone."
She had her doubts about Penney's involvement as well. "I'm in the middle of taking a statement. If you have something relevant to say, forget about setting the stage and just say it. And don't forget you have until noon to comply with my request."
If he was here to offer a bone that might put her off his scent, he could forget about it.
His cheeks puffed with frustration. "All right." He looked around the room as if he didn't know where to begin. "I haven't been totally up front with you, Jess."
If she hadn't already suspected that was the case, she would be mad as hell. As it was, what she wanted was for him to spill his guts. "I warned you not to yank me around, Corlew. I will get that search warrant and I will make your life miserable from this day forward if you don't tell me the truth right this minute."
He held up his hands in surrender. "I got it. That's why I'm here."
"That better be why you're here," she warned. If playing his games had cost her team precious time, he would regret it. "Let's hear it."
"Keep in mind," he said sheepishly, "that sometimes the end justifies the means."
She glared at him so he would get on with it.
"Monday night I was at Vestavia Village."
Outrage rushed through her. "The night Scott Baker was murdered you were there?"
"He was still alive when I left, but yeah." Corlew tucked his hands into the back pockets of his jeans. "It's like you said before, I discovered his ongoing affair with Juliette Coleman during the investigation for Frances Wallace. I decided maybe there was something there, so I went back to compile the necessary evidence."
"You went back for pictures." She shook her head in disgust. "You intended to blackmail Scott." It wasn't a question. She understood exactly what he was up to. How the hell could he still be that guy? The one who cared about no one but himself?
Worse, he had the unmitigated gall to look disappointed at her for calling him on it.
"I wasn't going to blackmail anyone. You know how things work, Jess. I figured the photos would be good bargaining power in the future if I found myself in a tight negotiation. In my line of work, collecting insurance dividends is a necessary evil."
"Start from the beginning," Jess ordered. "Don't leave anything out. And when we're done here, you're going to write an official statement."
He heaved a long-suffering sigh. "I arrived at Vestavia Village just after six Monday evening. Juliette typically arrives around seven, so I wanted to be in position. I parked on the street that runs parallel with the front of the property and cut through the trees on foot. I settled in between the hydrangeas. " He looked straight at Jess and said the rest. "Five, ten minutes before seven, two men exited the lobby and stood outside the main entrance for another couple of minutes. I could tell by their body language that the discussion was not exactly a friendly one, so I zoomed in with my camera."
Jess reminded herself to breathe.
"One of the guys was Scott. He had something in his hand. A notebook or something. The other man I didn't recognize at first, so I zeroed in closer on his face." He made a long, low whistle. "I knew that face but I couldn't believe what I was seeing."
"It was Todd," Jess surmised.
He nodded. "They talked or argued a minute more and then Penney got into his Corolla and drove away. Scott went back inside. Juliette drove up about that time."
"And you got your photos, is that right?" Jess was kick-the-crap-out-of-him furious. Not only could he confirm Penney had met with Scott that night, but also he could likely confirm what time Juliette left. All of which was immensely relevant to her investigation.
"Nope."
Unable to hide her surprise, she echoed his answer. "Nope?"
"I decided I was more interested in what was up with Penney's return. I rushed back to my Charger and followed him. He drove to one of those geeky places he used to frequent back in the day and that's where he stayed until around midnight when he went to his mother's house." Corlew scrubbed a hand over his face. "After that I drove back by the Village and saw all the official vehicles and I knew I'd picked the wrong guy to watch."
Jess wanted to shake him. "I could've used this information days ago."
"All it proves is that Penney didn't kill Baker," Corlew argued. "And that maybe you need to look more closely at Juliette's alibi. Where the hell were the rest of her buddies that night? Have you looked into that? I'm telling you, the Five were responsible for Lenny Porter's death and at least one of them is responsible for what's happening now."
"You're determined to prove it's one of them, aren't you?" Jess had her suspicions along those lines as well, but there was no concrete evidence yet and she damned sure couldn't nail down a motive unless Penney was blackmailing one of the Five. If that was the case, no one was telling. And the suspect pool was getting mighty slim.
"What I'm determined to do," Corlew said, "is right the wrong that was done the first go-round."
"What wrong? Stop beating around the bush and get to the point." She needed specifics not innuendos.
"When Porter took that fatal plunge, Daniel Burnett was the liaison between the mayor's and the chief of police's offices. He made sure Deputy Chief Black closed that case the way the rich daddies of the Five wanted it closed. Call me an asshole but this is my opportunity to take Danny boy down a notch or two with the truth. That's why I didn't tell you. You weren't going to listen to me over Dan. I decided to do it myself. I thought I could nail the killer, close this case, and prove the department screwed up last time, but I was wrong. I kept an eye on O'Reilly's house all night last night. Once again I picked the wrong guy to watch."
"O'Reilly never made it home last night," Jess said, the scenarios whirling in her head. "He worked late."
Corlew shook his head. "He didn't work late. I called his office and asked for him at six. His secretary said he'd already gone for the day."
"His wife hasn't seen him since he left for work yesterday."
"Taylor's dead," Corlew offered. "That just leaves the princess. She was banging the first victim and all four of those guys always rallied around her like she was the last female on a dying planet."
"There was a cop sitting in front of her house all night last night."
"That doesn't mean she didn't go out the back," he countered.
That was true. A surveillance detail was to help keep trouble away from Juliette, not prevent her from sneaking off to find it. That was her sister's job.
"What about Penney? Where has he been all week?"
"That's the thing." Corlew shrugged. "I haven't been able to locate him again since that first night. The guy is too sharp even for me."
She opted not to comment on that last part. "Anything else?"
"Ask yourself, Jess, why Penney would kill Carson and Taylor and not Baker? Doesn't add up."
That was indeed the question of the day. "I need your statement in writing and I need any photos you took of Baker and Penney Monday night." If that notebook Baker had been holding was the journal, she wanted to know it.
That might very well be be how the killer got his hands on it.
As she headed back to her office, Corlew in tow, she put in a call to Harper. She needed him to ramp up the efforts to find the former manager of that storage facility. So far they hadn't been able to catch the guy. His cell phone had been turned off and he'd gotten evicted from his apartment. If he could be located, maybe he could identify the person who rented that storage unit.
Jess was pretty sure the person who'd decorated that storage unit and the killer were one in the same.
Kevin O'Reilly or Juliette Coleman? Either one could have easily accessed the material that covered the walls of that unit. But only one had admitted to being with Scott Baker the night he was murdered. Corlew saw Juliette arrive. Baker possibly had the journal in his hand. And they'd had wine and sex.
Jess's cell startled her. "Harris."
"Jess, it's Blake."
Her sister's husband. Jess's heart did a dizzying flip-flop. "Is Lily all right?"
"I... don't know. She collapsed again and we're at the hospital. They don't like what they see in some of her blood work, so they're admitting her. She wants you here."
"I'll be right there."
#
_University of Alabama Hospital, Noon_
Jess sat on the side of her sister's bed, worry eating away at her. "Has the doctor told you anything?"
Lil shook her head, her own worry palpable. "They're doing more tests. They've alerted Dr. Collins. My liver numbers are wrong. This doctor said something about hepatitis and cirrhosis. How is that possible?"
"Cirrhosis?" Her sister scarcely even indulged in a glass of wine. But then, there were other causes besides alcohol consumption. "This is ridiculous," Jess said. Why the hell couldn't they figure this out?
"Blake is about to have a nervous breakdown. Alice and Blake Junior don't know the half of what's going on." Lil dropped her head back onto the anorexic pillow. "We're afraid to tell them too much and have them running back here. They need to be focused."
Blake had gone for coffee and to give them a few minutes.
"We'll get to the bottom of this," Jess promised.
She couldn't help feeling guilty for being so busy this week. She'd scarcely managed one brief visit with Lil. She'd always let the job take over everything else. The whole time she'd lived away, she had been too caught up in the job to be here for much of anything. She should be ashamed of herself for letting it happen this time. Things were going to be different from now on. Lil needed her.
And that damned medical history.
"Dammit," Jess muttered.
"What?" Lil looked at her expectantly. She looked so tired. So afraid. So vulnerable.
"I've had three murders in as many days and I keep forgetting to pick up that medical history from Wanda. Dammit!" Jess stood and started to pace. How could she be so negligent? She had one thing to do for Lil and she'd fallen down on the job. What kind of sister was she? Never mind, she didn't want to know the answer to that question.
"I doubt anything she can tell us will help," Lil offered. "Her brain's probably fried from all the alcohol and drugs."
Jess made a face. "I don't doubt it." Still, she'd made a promise. "I'll do it as soon as I get a break from this case." She made the mistake of checking the clock on the wall and suppressed a groan. This day was half over and she had a new victim, leaving her with three unsolved murders and a killer out there somewhere trying to have his revenge.
Corlew's latest revelation had her leaning away from the possibility that Todd Penney was the killer. Yet, he had the most glaring motive.
Bullying was a serious matter. If one or all of the Five had taunted Lenny Porter or encouraged him to take his life, they were guilty of intimidation, a hate crime, and possibly other charges. These were smart kids with everything going for them. She hated the idea of what that meant about society.
Some called bullying nothing more than the innate human survival-of-the-fittest instinct. Jess called it evil.
One never knew what the face of evil would look like. She thought of Juliette Coleman and her tight little group. All smart, wealthy, and attractive. Yet, something evil happened that night and all these years the ugly secret had been kept hidden beneath the money and the power. Why had Scott Baker called Todd Penney now? Had something she hadn't discovered yet triggered Penney's need for revenge after all these years?
Or had Scott Baker's own son's trials at school reminded him of what he'd done to Lenny Porter? His wife was convinced that Baker considered his son's troubles a penance for some past wrong. Maybe he'd set out to make things right... only something had gone very wrong.
A knock on the door had Jess putting aside those worries for another. Was Blake or the doctor back with news?
A large peace lily sitting atop a cart was the first thing she saw. Her heart skipped a beat at the memory of the same plant being delivered to Burnett's hospital room after Spears stabbed him. Then the young woman who was pushing the cart came into view, snapping Jess back to the here and now.
The volunteer in the pink uniform smiled. "Good afternoon, ladies."
"Oh my goodness," Lily said. "Blake must have ordered this."
Jess hated peace lilies. Reminded her of death and she got enough of that at work. She sure didn't want to think of it when she was in a place like this with her sister as a patient with some unidentified ailment.
"There's a card." The girl in pink, whose nametag read BARBIE, plucked it from the ridiculously large plant.
Jess took it from her before she could pass it to Lily. "Thank you, Barbie." She gestured to the plant. "Just put it wherever it'll fit."
"Yes, ma'am."
"Who sent it?" Lil demanded. "Blake or Dan?"
Jess hadn't even called Dan. She really had to get better organized this afternoon.
"Y'all have a great day!" Barbie called as she pushed her cart out of the room.
_Don't let this be from him_. Jess noted the name of the local florist on the front of the small envelope, then held her breath as she opened it.
It was a simple card. _Get well soon_.
Beneath those generic words was a single letter.
_E_
Of course Eric Spears hadn't signed that initial... the local florist had.
But he knew her sister was in the hospital almost as quickly as Jess had known.
The memory of staring at the business end of a weapon in the hand of a man whose face she couldn't see erupted in her brain.
Someone was watching her... _and the people she cared about_.
_3:00 p.m._
After listening calmly to her update on her sister and getting a heads-up about the plant from Spears, Dan sent Sergeant Harper to the hospital to pick Jess up. Corlew had given her a ride over here. She wasn't sure who was the biggest speed demon, him or Lori. Corlew had promised to write up his statement and get it back to her ASAP. She wasn't holding her breath. But she had what she needed from him for now.
Since every minute counted, Jess used the driving time to make sure she was up to speed. "No one has seen or heard from Kevin O'Reilly?" She just didn't get this. If the killer had gotten to O'Reilly, why hadn't his body turned up? And if he hadn't, where the hell was the guy?
"His wife has no idea where he is," Harper added. "O'Reilly's father and the mayor are keeping Burnett busy putting out public relations fires."
Jess would never understand how Dan tolerated his job. Corlew's accusation nudged at her. She refused to entertain his conspiracy theories when she had far more pressing issues. "What happened to the department's PR liaison? I thought he was supposed to be back from baby leave this week?" Oh, God, having kids meant taking time off work. She could not have a child. She couldn't. She just couldn't.
"Trent Ward." Harper glanced at her. "He's back but the chief feels he should handle this situation himself."
Corlew's accusation echoed in her ears again. _Fine, just get it over with, Jess_. "You were in the department back when Corlew was on the force, weren't you, Harper?"
"I never worked directly with him but I knew him, yes, ma'am."
"He said something to me today that just won't stop nagging at me."
"What's that, ma'am?"
"He said Burnett was a part of the Lenny Porter case getting shut down without a proper investigation. Do you remember hearing any such thing?" She felt like a dog even asking that question.
"May I be candid, ma'am?"
"Please."
Harper stared at the road ahead for a moment before speaking. "Corlew is a piece of shit alcoholic. I wouldn't trust a word he says." He sent another look her way. "Whatever he's up to, he has an agenda you won't like and it will benefit no one but himself."
Jess chewed on that for a minute. "Thank you, Sergeant. I appreciate your candor."
This was a subject she would take up with Dan as well. He had a right to know what Corlew was saying about him.
"Here we go." Harper made the turn onto Pansy Street.
Still no Corolla at the Penney residence. Where was this guy? The APB for him and his car had gotten negligible results. The guy apparently knew how to hide.
Ramona Penney sat in the swing on her front porch. She watched as Jess and Harper got out of the SUV and walked her way. She made no move to stand or to welcome them to her home.
"Mrs. Penney, I'm sorry to bother you again," Jess said as she stepped up onto the porch. "You may or may not know we've had another murder and I'm very concerned about your son."
"No need, my boy's just fine. He called me a few minutes ago and told me he had nothing to do with these murders."
Jess gestured to the vacant chairs on the porch. "Do you mind if we visit for a bit?"
"Suit yourself." She lifted her glass of tea. "I'd offer you refreshments but this was the last glass."
"That's all right. We can't stay long." Jess settled into one of the chairs. Harper opted to remain standing near the steps.
There was very little likelihood that she was going to get any cooperation from this lady but there was one tactic that just might work. "Mrs. Penney, there's a chance your son is in danger. I mentioned the last time we spoke that I was worried about Todd. We now have reason to believe that someone is attempting to make him look guilty." If Todd hadn't posted those journal pages all over that storage unit, someone had. "Whoever that someone is, Todd's life may be in danger."
The dismissive expression on her face instantly shifted to one of suspicion laced with a hint of fear. "I don't know what you mean. My son has done nothing wrong. He just wants to be left alone. The world will know the truth soon enough. He told me so."
Since Penney was no prophet, that sounded like a threat to Jess. "Three people have been murdered since your son returned to Birmingham. The one thing they all had in common was Lenny Porter's death. A journal we've confirmed was handwritten by Todd named every one of those victims. The last entry we discovered included threats related to those same victims."
"That journal was written when he was in high school. Teenagers are emotional," she argued. "They say stuff they don't mean."
So she did know about the journal. "Do you know what happened to his journal?"
"He kept it all this time but then he decided it was time to let the past go." She dabbed at her eyes. "He was finally ready. So he got rid of it."
"Did he throw it away?"
"He gave it to Scott Baker." She shook her head. "I told him it would only stir up trouble but he did it anyway."
Jess's instincts moved to the next level. "You're certain he gave it to Baker?"
"That's what he said."
Scott had the journal when Corlew saw him talking to Penney. Juliette had arrived right after that. Their killer was looking less and less like a he and more and more like a she.
Jess put that revelation aside for the moment. "Here's the problem we have," she explained to Todd's mother. "If your son is not the person who committed these heinous crimes, then he is most assuredly on the killer's list. We need to find him for his own safety."
That got her full attention. "Has this killer left some clue about my son or said something about him?"
"He leaves a page from the journal at each scene. He's killing the folks, one by one, who were with Lenny Porter the night he died. Your son was with Lenny that night. He left him on that rooftop. Maybe this killer sees him as guilty too. Would a real friend leave like that?"
Her shoulders stiffened. "Todd was the only friend Lenny had. They were like brothers. Todd left him on the roof that night, yes. He hoped Lenny would follow him. After he stormed out of the building, he couldn't get back in. He called up to Lenny and the others, over and over and no one would listen. The drug he took had him freaked out. My boy didn't do drugs. He couldn't handle it."
She fell silent, tears brimming in her eyes. Her chest shook with a shuddering breath. "He had to find someone who would let him use their cell phone to call the police after Lenny fell. We didn't have the money for one and most businesses in that part of town were closed at that hour. It was awful for him. Just awful." She looked straight at Jess. "I can't tell you where my son is because I don't know, but I can tell you one thing for sure. He hasn't killed anyone."
"I appreciate your honesty, ma'am. Just one more question. Did Todd see Lenny fall?" Jess steered clear of saying Lenny jumped; she needed Ramona cooperative not defensive.
"He was standing in the parking lot," Ramona confirmed. "He watched those other kids playing around the edge like fools. Then Lenny fell. But just before he fell, that girl, the selfish little bitch, whispered something in his ear."
"What girl do you mean?"
"Juliette Coleman, who else? Lenny was in love with her. He would have done anything she asked. Even walk off that building, especially since he was all drugged up."
_He loved me_.
Had he loved Juliette Coleman enough to jump?
Jess had suspected Juliette wasn't being totally open with her but if she really was the reason he jumped, then why wasn't she the first victim?
Maybe because she was the killer.
#
Kevin froze.
He was coming back.
Oh sweet Jesus! He was coming back.
He tried not to breathe so hard but he couldn't help himself. His wrists and ankles were raw from trying to work free from his bindings. He'd shit himself because the bastard had left him here for fucking hours. Tied in this damned chair.
"What do you want from me?" Kevin shouted. "I didn't hurt you or your friend! It was the others, not me!"
The son of a bitch didn't say a word, just walked into the room and turned on the light. Kevin didn't know where the hell he was. Some cheap motel or something. Maybe an abandoned house. He couldn't tell.
"You may think you'll get away with this but you won't," he warned the fool. "The police will figure you out. They've got your face all over the news. They're all looking for you." Dumb bastard. Did this lowlife really think he could get away with this eleventh-hour bullshit?
Todd Penney leaned down, his dark hair as unkempt as it had been back in high school. His eyeglasses looking like a midcentury castoff. Kevin instinctively drew away from him.
"You'd better hope they don't find me," he warned.
Kevin refused to show him any fear. "I'm not afraid of you, you stupid shit!" Kevin had Penney's number and it was zero. Z-E-R-O. "I hope they find you and put you away for the rest of your worthless life."
"You," Penney advised, "should be dead by now."
Kevin stiffened. What the hell did that mean? Okay. Okay. Okay. Maybe he didn't want to know. "If you let me go now, I won't tell anyone about this. You can disappear and we can forget this ever happened."
Penney laughed. He put his face right in Kevin's. "If I let you go, you're as good as dead. Now who's the stupid shit?"
"You're wrong," Kevin urged. "Really, you have to listen to me."
Penney started walking away. "Don't worry, O'Reilly. You're not going to miss the showdown. You'll be center stage."
#
_Birmingham Police Department, 6:48 p.m._
Still nothing on Penney or O'Reilly," Lori reported.
Jess paced back and forth before the case board. She'd added the photos Corlew had e-mailed her and updated the timeline with Penney's visit to Baker's office. It had been a hell of a long day and it was only going to get longer.
There had to be something here they were missing.
"We have three choices." Jess turned to the photos on the board. "If it's not Penney out for revenge, then it's Juliette or O'Reilly. What are we looking at in terms of motive?"
Harper approached the board and grabbed a marker. "Fear." He wrote the word under both Juliette's and O'Reilly's photos. "Depending on exactly what one or both did, they're looking at prison if found guilty."
"Humiliation, financial ruin," Lori added. "Either one would have a lot to lose, besides their freedom."
"We could say the same about Penney," Jess noted. "He has a lot to lose as well. But it doesn't add up that he would kill the others and not kill Baker."
"We only have Corlew's word on that," Harper argued.
Jess put up her hands, relinquishing the point. "True." God knew she shouldn't trust anything he told her. Somehow, this part she did.
Moving on. She surveyed the board. "Let's look at the reactions of these two over the past few days."
"Juliette came forward with information first," Lori reminded her.
"She was more than ready to accept a surveillance detail when O'Reilly refused," Jess recalled.
Harper pointed to Baker's photo. "At the first indication of trouble, Scott Baker sent his wife and son away. Elliott Carson sent his family to his mother-in-law's. Neither man wanted to risk his family's safety."
"Even though Aaron Taylor and his wife didn't go away as he'd planned," Lori picked up where Harper left off, "the wife stated that he had suggested they go but she had other plans. She left and he stayed home."
"Yet"—Jess turned to O'Reilly's photo—"Kevin O'Reilly never sent his family anywhere." Adrenaline fired through Jess. "His wife didn't even seem to be aware there was a reason to be afraid."
"O'Reilly could have easily gotten all those newspaper clippings to use in the storage unit," Harper pointed out.
"His family owns and operates _Birmingham News_. He absolutely could," Jess agreed. There was another loose end they hadn't been able to tie up since the former manager remained MIA.
Chad Cook stood, sending his chair banking off the wall behind his desk. "Holy crap!"
Everyone in the room turned to the youngest member of their team. His job was to carefully go through the DMV records, fingerprint databases, whatever electronic files were at their disposal, of all persons of interest in this case. Those still breathing had priority.
"I've got Channel Six on my iPad." He hunkered his shoulders. "I hope that's okay."
Jess motioned for him to get to the point.
"That ex-cop, Buddy Corlew, just called Chief Burnett out in a one-on-one interview with Gerard Stevens."
Stevens was the male counterpart of Gina Coleman at Channel Six. Both were attractive, beloved, top investigative reporters. The only difference was that Stevens had his own half-hour show that aired every afternoon.
Harper grabbed the remote for the big flat panel on the wall. He selected Channel Six. Sure enough there was Corlew running off at the mouth about the Porter case.
"That son of a..." Jess should have known he would get back at her for forcing his hand.
She grabbed her cell and called Dan. "Are you watching this?"
"I am."
She sighed. Dammit. "He's doing this because I pushed him into a corner."
"Don't sweat it."
He was sure taking it a lot better than her.
"I was just about to head your way," he said.
"What's up?" She chewed her lip, giving herself a sec to brace for trouble. Like she didn't have enough already. "We're working on the case."
"I just got off the phone with Gant."
The rhythm of Jess's heart shifted and the noise in the room faded. "You told him about the plant?"
"And the driver with the gun. He's not happy."
Like she was. "He's never happy."
"There's a new development, Jess."
She steeled herself. What now?
"They've found a discrepancy in the passport verification log for Chicago. He can't say for sure, but he believes Spears reentered the country last Saturday."
That reality hit her in the face like a bucket of ice water. Why the hell was she surprised? She had known it would happen eventually. She'd done everything she could to hasten it along with all those antagonizing responses she'd sent him. But somehow she wasn't prepared.
He could be anywhere... he could be _here_.
She needed to warn Lori and Harper. Dear God. She hadn't considered the full impact of her decision to taunt Spears. And Lily and her family. Fear pumped hard through her veins.
"We need to talk about what this means."
Not right now. She couldn't go there yet. "I should get back to work." She glanced around at her team, who were still mesmerized by the attention-drawing antics of a grudge-carrying ex-cop. "Thanks for the update."
Since his secretary passed him a note that he was wanted in the mayor's office, Dan let her off the hook with the promise they would talk more about this later. All Jess could think about was how to keep Spears focused on her and away from the people she cared about.
Her cell clanged. She jumped like she'd been shot. _Damn. Damn. Damn._ She scrubbed at her forehead; damned creases were turning into more wrinkles every day. Most of them had Spears's name written on them. Bastard. "Harris."
"My sister is missing," Gina Coleman said, her voice hollow.
Oh shit. "Are you at home?"
"Yes." A shaky breath rasped across the connection. "She said she wanted a nap before dinner. I went to check on her just now and she's gone. The patio door is standing wide open..."
Jess grabbed her bag. "Was there any other indication someone may have taken her?"
"There's no sign of a struggle." Gina made a frantic sound. "My car is still in the garage. Unless she left on foot, someone had to have taken her."
Or she left on her own... to finish what she'd started.
"We're on our way," Jess promised. She ended the call. The members of her team waited expectantly for whatever bad news she had to deliver. "Juliette Coleman is missing. Sergeant, get whoever is on surveillance detail at the Coleman house inside now. I don't want Gina talking to anyone else or going anywhere until we get there." She turned to Cook. "Get a couple of evidence techs over there."
"Yes, ma'am."
Then she turned to Lori. "Make sure the unit watching Ramona Penney's home is on full alert."
Everyone went into scramble mode. Jess was out the door and in the corridor when Harper stopped her.
"Hold on, ma'am," he said to his caller. He turned the cell away from his face. "Chief, this is dispatch. A janitor from the _Birmingham News_ has called in trouble on the roof of the building. He says there's at least three people up there and one of them has a gun."
Jess went cold. Maybe Scott Baker was right... maybe Fate was about to catch up with the last of the Five.
_4th Avenue, the Birmingham News, 8:25 p.m._
"You know this one's a new building. The one Lenny Porter fell off or jumped from was torn down a few years ago," Lori mentioned as they moved into position.
Jess had heard about that. The new _Birmingham News_ was right across the street from where the old one had been. "I remember Lil mentioning something about it."
"We definitely have warm bodies on the roof," Harper confirmed. He passed the binoculars to Jess. "We have one on the ground but moving. I think that's Juliette. O'Reilly and Penney are huddled together a few feet away. I believe Penney's the one with the gun."
Jess was immensely grateful for the sergeant's state of preparedness. The man carried most everything necessary to collect evidence, fight a small war, or to break out of prison in the back of his SUV.
She was also very thankful for the big-ass lights on top of the building. Otherwise they wouldn't be able to see a damned thing.
"Yep, that's Penney with the weapon all right." Dammit. She had hoped he wasn't the one. "What's the status on SWAT?"
"Still ten minutes out."
That was way too long. Even when they got here, time would be needed for getting into position. "Be sure the commander knows we need a hostage negotiator."
"On it."
En route Jess had spoken to the janitor. He had assured her there was no one else in the building. He and his coworker had exited, leaving a side door open for the police to enter.
Jess turned to Harper and wished she had backup here now. "I don't want to keep waiting. This could be over before we even get up there."
Maybe no one would die. Maybe Penney just wanted Juliette and O'Reilly to understand what he and Lenny had felt that night. Or maybe he just wanted the truth. Whatever he wanted, three people were dead. She didn't need him or anyone else adding to that body count.
One of the three on that rooftop was a killer.
"Let's do it," Harper suggested.
"I can go," Lori offered. "SWAT will need you, Chief."
"Hold your position, Detective." Jess used her firmest voice. "We'll need you to keep us informed of the movements on the roof until we're in position up there."
Lori didn't argue, though she clearly wanted to. She took the binoculars from Harper. "Be careful."
"That's the plan," Jess promised.
She followed Harper, staying close to the other buildings, hugging the brick walls and wishing she had worn jeans and sneakers today. If she was going to be a hands-on deputy chief, she needed to consider dressing the part. She thought of Gina Coleman and Sylvia Baron and decided maybe that wasn't such a great idea. Neither one would be caught dead in sneakers and jeans on the job.
The side door the janitor had told her about was open.
Inside, they hurried to the elevator. Jess wasn't a fan of elevators under the circumstances but they didn't have a lot of options right now. At least they didn't have to take it all the way to the roof.
Once they were in the car headed up, Harper gave her an update. "SWAT is getting into position. Wells still has a visual on Penney."
"At least that's some good news." So far no one had flown off the roof and backup was here. If only their luck held...
"Chief Burnett has arrived as well. And so's a whole posse of reporters."
"An audience," she mused. "Fabulous."
The elevator bumped to a stop on the uppermost floor. Jess and Harper moved to the side of the doors and assumed defensive positions.
Jess's heart rate climbed higher and higher.
The doors glided open. The corridor was empty.
Jess felt the fresh burn of adrenaline rushing through her veins as they moved toward the final blockade between them and the roof. The stairs were narrower than the typical public stairwell but that didn't slow them down. At the top, they exited into the small corridor the janitor had told them about.
Beyond the six- or seven-foot corridor was the door that led onto the roof. It was a solid door so there was no way to see outside and determine where Penney was relative to their current position. Jess couldn't recall seeing the door... she'd been too busy looking at the man on the roof.
She sent Lori a text to see if she had a better visual.
**Directly behind Penney's position.**
"Good answer," Jess murmured. She showed the screen to Harper.
As good as that news was, there was always the chance Penney could turn around just as they opened the door. Or that there could be two doors.
Jess's cell vibrated.
**Penney and O'Reilly moving away from your position toward the edge.**
_Shit!_ Jess relayed the new message to Harper. "Let's go."
Harper slipped into a crouch at the door while Jess moved to the side. He reached up, eased the door open, and checked out the situation.
And then he was up and moving.
"Freeze!" he shouted.
Jess was out the door right behind him.
Juliette Coleman, hands secured with duct tape behind her back, was seated midway across the roof while Penney and O'Reilly were maybe two feet from the roof's edge. O'Reilly's hands appeared to be secured behind his back as well. Penney had the business end of a handgun rammed into the back of his hostage's skull.
Juliette started to wail as soon as she saw them. "Please," she pleaded. "He's going to kill us!"
Penney yanked O'Reilly in front of him as he wheeled around. "Tell the truth, Juliette! Who wants to kill whom?"
"I can take him," Harper murmured. He had a bead on Penney, who was a head taller than O'Reilly.
"Wait," Jess ordered. This was wrong. Statements and scenarios and those photos of him with Baker were swirling in her head. If Penney had wanted either of these two dead, they would be dead already. But they were alive, the same as Scott Baker had been when he'd left him. Penney wanted them to talk.
"Who does want to kill whom?" Jess shouted to Penney. "I'm a little confused here."
No matter that it was Dog Days in Alabama; it was cooler up here, the breeze stronger.
"Why don't you ask the princess?" Penney suggested. "She knows everything. Gets everything. Except the one thing she wanted most." Penney laughed as if he weren't in the bead of both Jess's and Harper's weapons. "You could never have him, could you, Juliette."
"Shut up!" Juliette screamed between sobs.
"Chief," Harper murmured while Penney and Juliette ranted at each other, "SWAT is in position awaiting your signal to take him out. The hostage negotiator wants you to wait for him to catch up."
Jess didn't want this to end the way she feared it would. And waiting for the hostage negotiator to get up here was out of the question.
She wanted the truth and she didn't want anyone else to die.
Was she going to _fish or cut bait_?
A cold shiver danced along her spine but she was going for it. "Tell the commander to hold his position," she whispered to Harper; then she took a breath and dove in.
"They killed your friend," she said to Penney. "I get it. The problem is, right this very minute, SWAT is standing by waiting for me to give the signal so a sharpshooter can take you out, Todd. Do you want to die that way? Just another screwed-up head case who couldn't deal with life? Or do you want the world to know the truth?"
Jess lowered her weapon just enough to buy a little trust—she hoped—and stepped forward. "Tell me the truth and I'll make sure the right person pays."
"What the hell are you doing?" O'Reilly screamed. "He's going to kill me!"
Next to her and one step behind, she could hear Harper arguing in a fierce whisper with someone on his cell, most likely the SWAT commander. There had been no time to set up proper communication links.
"Bring him away from the edge," Jess said to Penney. "We'll get the answers you want. You have my word." She dared to take another step toward the two men. "But you have to come away from the edge."
"You want to know what happened?" O'Reilly attempted to pull away from his captor. "I'll tell you what happened," he said, his tone frantic, his face flushed with fear. "Scott suddenly grew a conscience and decided he couldn't live with the way we treated poor, poor Lenny. He didn't care if his decision ruined our lives too. He always was a selfish bastard. He called Todd up and then announced to Juliette he was done with her. You can figure out the rest, Chief."
"You bastard," Juliette screamed; then she burst into sobs. "He's the selfish coward who doesn't care about anyone but himself!"
"Tell her," O'Reilly demanded, "or I will! Tell her what you did!"
"Ma'am," Harper said, barely loud enough for Jess to hear.
She leaned toward him, not daring to take her attention off the two men.
"The negotiator is coming up the elevator now. He won't wait unless we can get those two away from the edge."
Dammit. "Todd, if you don't bring Kevin away from the edge," Jess urged, "SWAT is going to move in. I can't stop them."
Penney whirled around, dragging O'Reilly with him, both men teetering dangerously close to the edge as he surveyed the buildings and streets around them in search of the sharpshooter. Jess's heart swelled in her throat.
"You have to listen to me, Todd," she pressed. "Move toward me and everything will be fine. Just a couple of steps. Please." That was all she needed. The opportunity to keep everyone alive while they got to the truth.
"She killed Scott," O'Reilly announced. "She called me bawling." He glared at Juliette as if she were worse than pathetic. "She said if she couldn't have him, then no one was going to have him. She lost it for a minute and killed him."
"I didn't mean to kill him," Juliette wailed. "I was angry. I hit him. I couldn't believe I did it... It happened so fast."
"See!" O'Reilly ranted. "I told you! Then she called me to help clean up her mess!"
Jess considered Juliette's words. "If you didn't mean to do it, Juliette, why did you hit him again?"
Juliette stared up at Jess, the expression on her face one of true shock. "What? I didn't hit him twice. I threw down the statue as soon as I hit... him... I ran outside and called Kevin."
Jess turned her attention back to O'Reilly. "And you came to her rescue. Only your friend wasn't dead and you had to hit him again. After all, he'd called Todd and opened this can of worms."
"She just told you she killed him!" O'Reilly shook his head. "I'm not taking the fall for what she did. No way."
The pieces fell fully into place for Jess. "Where's your journal, Todd?"
Todd blinked as if her question had dragged him from some faraway place. "I gave it to Baker."
"Why did you do that?"
"Because he called me. Wanted to make amends for his part in what happened." Penney made a weary sound that might have been an attempt at a laugh. "I figured he was just trying to buy absolution from me. But it wasn't for sale." Fury tightened his face. "I wanted him to remember just what they had done, so I gave him the journal."
"Yes, you did," Jess agreed. "And Scott Baker was so devastated by the anguished words he read there that he ripped out the pages that referred to how badly he had treated Lenny. He hid those damning pages before Juliette arrived. That's why they weren't found at the scene. But Elliott Carson and Aaron Taylor didn't get a chance to hide anything. The person who killed them made sure the pages from your journal were in plain sight so we would find them."
As if hearing that revelation startled him, Penney's hold on O'Reilly loosened, and O'Reilly jerked away. He backed up the meager two steps that separated him from the very edge of the roof.
Jess stopped breathing. "Don't move, Kevin. Just stay right there." She lowered her weapon to the ground and held her hands out to her sides in a gesture of good faith. "All we want to do is clear up this mystery. There's no need for anyone to do anything he might regret."
Thankfully Juliette had dissolved into sobs and was no longer arguing with O'Reilly. Harper had a bead on Penney even though the weapon in his hand wasn't aimed at anyone just now.
"Todd, why don't you put your weapon down and kick it away? If you do, Sergeant Harper will lower his weapon as well. Then we can all talk about this calmly."
"You killed Scott," Juliette cried. "You let me believe I did it and it was you."
"What difference does it make?" O'Reilly snarled. "You had murder in your heart when you hit him. Poor Juliette, her perfect image is shattered. Tsk tsk."
Mesmerized by the exchange taking place between O'Reilly and Juliette, Penney slowly responded to Jess's request. He placed the handgun on the ground and toed it away.
Jess looked to Harper and he lowered his weapon. Since the door from the stairwell didn't open, she assumed the negotiator had backed off.
Air expanded in her lungs once more. "We'll get this sorted out, Kevin," Jess promised. "Just come away from the edge and tell me what really happened. You have my word that I'll protect you."
He laughed so hard he lost his breath, had to double over in a coughing fit.
Goose bumps zipped over her skin as Jess prayed he realized just how close to the edge he was.
"I don't believe you," O'Reilly argued. "You think I killed them." He shrugged. "You believe I killed Scott and took the diary." He nodded adamantly. "I know what you're thinking."
"I don't know that, Kevin. Juliette had access to Scott and the diary the same as you did. She may be the one."
Juliette started wailing again.
"You killed Lenny!" Penney accused, snapping back to the conversation. "You and the others. You just kept badgering him. You _made_ him jump."
Kevin just shook his head and laughed some more, somehow finding humor in this precarious situation. "I didn't kill him, you idiot." He pointed at Juliette. "She did!"
"He's insane," Juliette screamed. "Can't you see that? Why don't you do something?"
Kevin howled as if every word she said was ridiculously funny. "You're right. I'm definitely insane." He shrugged. "I did it," he confessed. "I killed Scott and Elliott and Aaron. They were all assholes anyway. They always thought they were better than me. But I showed them. The journal was a stroke of genius." He sighed dramatically. "I left the journal pages to make it look as if Penney were the guilty one. I decorated that damned storage unit to look as if he'd been plotting his revenge since he came back." He shook his head. "What can I say? I didn't want to go to prison. And Scott had fucked us all by making that goddamned phone call." He looked at Jess then. "That's the truth. But I didn't kill Lenny Porter. She did," he snarled.
"No!" Juliette wailed. "I didn't! I swear I didn't."
"Then what did you do?" Jess demanded. Her patience with the woman had expired. "Tell me right now before I have to arrest you for murder."
"We were high." She turned her red, tear-stained face toward Jess. "We were all out of our minds on drugs. They'd been playing games with Lenny all night and he said something like 'None of you would give a shit if I just jumped.' And they all started chanting at him to do it. It was a joke."
"Who chanted?" Jess demanded. She had zero sympathy for the woman.
"Scott, Elliott." She glared at her friend. "Kevin and Aaron. They all did it. 'Jump, Lenny!' " she mimicked. " 'Jump! Jump!' "
"But he didn't," Kevin roared. "Not until you went over and whispered in his ear. 'Do it for me, Lenny. Jump, Lenny!' " he mocked Juliette's whiny voice. "You were so stoned you bragged about it. 'Look! He really did it. Oh my God!' "
"I only did what the rest of you were doing. I'm no guiltier than you!"
"But he loved you," Jess reminded her of her own words. "He did it for _you_."
"There you go, chief," O'Reilly called out. "Mystery solved."
Jess stiffened. The hair on the back of her neck stood on end at the sound of resignation in his voice. "You need to ensure she doesn't get away with it," Jess urged. "I'll need you to help me with this, Kevin. Your testimony will seal her fate."
The laughter was gone. O'Reilly just shook his head. "It's over."
Jess didn't dare move toward him. "You did the right thing, Kevin. You told the truth."
"I know." For a split second he stared at Jess; then he jumped.
For one startling moment, Jess felt frozen... then she swiped at her eyes and struggled to gather her composure.
Behind her, Juliette Coleman wailed hysterically.
And then there was one.
#
_9911 Conroy Road, Saturday, August 14, 2:20 a.m._
Lori parked in Jess's drive.
They both just sat there for a bit.
Four people had died this week. All because no one had been paying attention when they were hurting others. The Five had taken bullying to the ultimate level. The true victims in this tragedy that sprawled across more than a decade were Lenny Porter and his friend Todd Penney.
Twelve years ago, Juliette Coleman and Scott Baker had been madly in love. Yet everything changed the night Lenny Porter died. Scott turned to another woman and rushed into a marriage with her in an attempt to forget. But he'd still been in love with Juliette and they began a torrid affair. For years he promised Juliette that he was leaving his wife and they would finally have the life they deserved. Then children came along and Scott never came through with his promises.
The story was as old as time.
It took more than a decade, but Scott Baker finally grew that conscience Kevin O'Reilly mentioned. He watched his own son suffer and he realized he could no longer carry the burden of guilt, so he called Todd Penney and asked for forgiveness.
Five teens who'd had the world at their feet and the stars in their eyes had effectively killed another. And this week fate had caught up with them.
Usually Jess didn't rely on fate, but this was one of those rare instances when it worked out. Sort of.
"You think the DA will levy charges against Penney?"
"I don't think so. They'll want to keep this as quiet as possible. Juliette is another story."
"It's difficult to feel sorry for her," Lori admitted.
"I do feel sorry for her family." Jess would never forget the devastation on Gina Coleman's face when she learned the whole truth.
"It's not a pretty story," Lori said. "I can't believe Coleman is doing an exclusive on it tomorrow afternoon."
Jess laughed. "I get where she's coming from. Juliette is her sister. Gina feels it's her responsibility to set the record straight. Besides, you don't get to the top and stay there by letting someone else scoop the story. She has to do something to steal back some of the spotlight Stevens stole with that Corlew interview."
"I guess I'll never be at the top, then. And Corlew's an ass."
"He is." He was now officially on Jess's bad side. "Don't worry about the top. They don't call it a lonely place for nothing." Jess had been there and she had nothing to show for it. Well, except for an obsessed serial killer.
"Dr. Baron was not a happy camper when she arrived on the scene."
"I was too busy to notice," Jess fibbed.
Sylvia was not pleased at all about the call. Jess had evaded her at all costs. Hadn't been difficult since the SWAT commander and the negotiator were standing in line to chew her out.
Sitting here wasn't going to get her up those stairs. "Thanks for the ride." Jess reached for the door handle.
"See you on Monday."
"Lord willing and the creek don't rise." Jess laughed as she climbed out of the car. What she should have said was _if Spears doesn't show up to play_.
He was close. Gant's call about the security breach in Chicago was all the confirmation she'd needed.
As if the same thought had occurred to Lori, she parked the Mustang and climbed out. "I should walk you to your door. Make sure everything's as it should be."
Burnett had trained her detectives well.
Jess dragged herself up the stairs, Lori on her heels, and unlocked her door. She disarmed the security system and waited while Lori had a look around.
"All right. I'm out of here." She grimaced. "Wish me luck. We're taking Chester to the zoo this afternoon."
"Remember," Jess said as she walked her to the door, "patience and persistence."
"I'll try."
Jess waved her off and locked up. When the alarm was reset, she went in search of a glass of wine.
Half an hour later she was perched on her glider, her Glock tucked next to her and a bottle of wine right next to that. Who wanted to move for refills? Maybe she'd just sit here and watch the sun rise.
She had every right to celebrate. The case was closed.
She smiled when Dan pulled into the driveway. She'd known he would come as soon as the PR stuff was done. This had been a high-profile case and people wanted answers. She'd stayed out of the limelight on this one.
He ascended the top step and smiled at her.
He was so damned handsome. And charming. And kind.
Yes, his friends were still the rich and powerful. His family still lived in the mansion on the hill. He was an organizer, a mover and a shaker of whole communities... a man who could change the course of a city's history with one decision. Jess was a worker bee. She recognized her place and was perfectly content finding the bad guys and ensuring they couldn't harm anyone else.
Corlew was right; she didn't really fit in Dan's world. She probably never would.
But somehow she fit with _him_.
"What're you smiling about?" Jess inquired. Inside she was doing the same.
"Is that other glass for me?"
She'd brought out a second glass just in case she didn't finish off the bottle before he got here. "It is. Join me."
He sat down next to her and held his glass as she filled it. He noticed the Glock. "Good girl."
"I told you I wasn't taking any more unnecessary chances."
"You mean like you did on that roof?"
She should have known he'd nail her on that one. "That one was necessary."
"You almost gave the SWAT commander a heart attack. Rob Barlow is pissed."
Barlow was the hostage negotiator. He'd given Jess hell at the scene.
"They should get used to it." She had her own way of doing things.
"I warned them about that already."
"Did you talk to Corlew?" He'd proven just how underhanded he could be with that interview... even if he had been right about the Five.
"No need. If I give him enough rope, he'll hang himself. He's done it before."
That was Dan. Always taking the high road.
"Whatever racket Corlew makes," he assured her, "the facts speak for themselves. Black did everything he could twelve years ago. He had his suspicions about the Five back then but with no evidence and all the political pressure on the DA, there was no way to convince him to prosecute." Dan shook his head. "You can't win a case without evidence. No DA is going to trial without it. Black's hands were tied and the case was closed."
"I know you, Daniel Burnett, and no matter how much pressure the mayor or anyone else exerted, you would never cave unless you believed it was the right thing to do."
He reached up, traced her cheek with his finger. "Thank you. That means a great deal to me."
They drank their wine and rocked back and forth on the glider for a while. Then he reached into his jacket pocket and removed an envelope. He passed it to her.
"What's this?"
"The medical history from your aunt."
Her jaw fell slack. "You went by her house?"
"You've been pressed for time all week. This morning I had a meeting at the mayor's office. Afterward I swung by before going back to the office. It took twenty minutes. Now it's done."
Jess smiled. "Thank you." The truth was, her aunt was a part of the past she didn't want to revisit, and she'd used work to avoid doing so. Just another aspect of her problem with uber-independence. It was far easier to be strong and independent if you never looked back. Easier to pretend you didn't have a problem if you didn't recognize past mistakes.
The man sitting next to her was a very good reason to try harder to work through those issues.
"You're welcome. Now drink your wine. I'm planning on seducing you."
"You're behind the curve, Burnett. I already started seducing you." She lifted her glass. "Cheers."
She kicked aside the worry about Spears that tried to invade.
It was Saturday. The case was solved and she and Dan were off duty.
No more thoughts about bad guys and cases.
Dan carried her inside and left her on the bed just long enough to lock out the world.
They made love until the sun came up.
#
_Parkridge Drive, 6:00 p.m._
Lori picked at her French fries. Chet wished she would stop worrying so much about how Chester acted around her. He was a child, still a baby for the most part. He would learn to love her. Maybe not as much as Chet did, but enough.
"I'm beginning to think you're not a big fan of Mickey D's," he teased.
She set her plate aside on the end table and curled her legs under her. If their relationship ever ended, God forbid, he would never be able to keep that sofa. She looked so beautiful, so perfect on it. This whole place would never be the same without her.
"Chester loves McDonald's." She glanced longingly at Chet's son, who was eating his French fries right off the coffee table, his attention on _Toy Story 3_. "I want him to be happy."
Lori didn't know it but she was thinking like a mother already. "Well, I have something that might make you happy."
She perked up, the corners of her lips lifting into a smile. "A surprise?"
Chet nodded. Seeing her smile made his heart beat a little faster. "Chester, go get Lori's present."
Chester looked at his daddy and grinned. " 'kay."
The boy galloped off to his room.
Lori laughed. "What're you boys up to?"
Chester ran back into the room squealing at the top of his lungs. He climbed onto the sofa next to Lori and stuck the white box with the pink ribbon in her face.
"Sorry about the ketchup." Chet grimaced. His son had gotten ketchup all over the white wrapping paper.
"It would probably taste about as good as those fries." She giggled. "Thank you, Chester."
"Open!" he ordered, pointing a ketchup-stained finger at the present.
Pride swelled his chest so tight, Chet could hardly breathe. Picking out the secret gift for Lori and letting Chester be a part of surprising her was working. The boy was leaning against Lori, his eyes big with excitement as she opened the gift.
Chet prayed this would help break the ice between them.
"Wow!" Lori lifted the pearls from the case. "They're beautiful."
Chester reached up and touched the necklace. "Loowi's su'pwise."
"Thank you, Chester. I love it."
He smiled at her and Chet saw the tears glittering in her green eyes.
He couldn't help himself. Chet got down on his knees in front of her and gave her a kiss on the cheek. "I love you, baby."
She hugged him and he felt the dampness of her cheek against his face. Tears welled in his own eyes.
"Me too! Me too!" Chester squealed. He dove into the hug.
They laughed and hugged like one big family.
For the first time, Chester let Lori get him ready for bed. Chet watched from the door as she tucked him in.
She kissed his forehead. "Night, Chester."
He yawned. "Night, Lo'wee."
She joined Chet at the door, her face beaming. "Your turn, Dad." She tiptoed and leaned close enough to whisper in his ear, "Then I'm tucking you in." She left a kiss on his jaw and disappeared toward their room.
Chet ensured his boy said his prayers, gave him a good-night kiss, turned out his light—leaving the room aglow with the Spider-Man night-light—and softly closed the door. Anticipation making him hurry, he headed down the hall.
In their room, candles flickered from every flat surface. The covers were turned back but there was no Lori on the bed.
He closed the door as quietly as possible and locked it. "Hey!" he called out in a loud whisper. "Where are you?"
"In here," she whispered back.
He started toward the bathroom door, felt something under his bare feet. She'd left a trail of rose petals on the floor. He followed the path and stalled at the door to take in the view.
More candles and a bottle of wine waited on the counter. Two stemmed glasses. And there was Lori, neck-deep in bubbles, in the garden tub. He'd figured that thing would come in handy when he'd added the shower to this bathroom and opted to leave the big-ass tub.
"Climb in here while the water's still warm."
When he'd stripped off his clothes and slid into the water, he wasn't surprised that she was naked but he was surprised that she was wearing her pearls.
"You like?" She pressed her hand to her throat, showing off the necklace.
He pulled her against him, aligning her body atop his. "I love it all."
She kissed him until he gasped for breath. "Thank you," she murmured.
Then they stopped talking... stopped thinking... and focused on _feeling_.
#
_The Falcon Center, Sunday, August 15, 10:00 a.m._
Sylvia met him in the solarium-style lobby.
Dan took a long look around. Marble floors and soaring ceiling, and beyond the glass walls the lush gardens stretched for acres around the private clinic located just outside Birmingham. "Impressive."
"If you saw the check they get every month, then you'd really be impressed." She looked around the elegant lobby. "Too bad they couldn't help her."
This was a part of his past he'd tucked neatly away. He didn't want to remember. But today, he needed to do this for the family. And maybe for himself. Mostly, though, he was here for Nina. "She'll do better in New York."
"Maybe. I appreciate very much that you came, Dan." Sylvia shrugged. "It will mean a lot to Father as well."
"I don't know that seeing me will help." The screaming and the cold, hard muzzle of the nine-millimeter flashed in broken pieces through his brain. The tie he wore suddenly felt too tight. "But I'm happy to do what I can."
It was the least he could do.
"She loved you, Dan. As much as she was capable of loving anyone." Sylvia wrapped her arm around his. "You made her happy. I think those months with you was the only time in her adult life that she was really happy on a personal level."
As she led the way, to her sister's room he assumed, he couldn't help asking the question that had burned in the back of his brain all these years. "You all knew she was... ill. Yet you never said a word. You let the whole thing play out. Why didn't anyone warn me?"
Nina's illness was the family's deep dark secret. At the time she and Dan were married, Nina would go months without any symptoms of the schizophrenia. Then she'd go over the edge. The last time she'd almost taken Dan with her. The entire Baron family insisted there had never been an episode like that before. Somehow, Nina hadn't been able to find her way back from that one. It was as if she'd locked herself away deep inside her head and refused to come out.
If he'd known, maybe he could have done things differently. Made sure he was home on time. Focused a little more on her needs.
But he hadn't gotten a clue from anyone, including Nina.
That crushing sensation settled on his chest. He'd failed her. There was no one else to blame.
"We thought somehow her love for you would be enough. That you were her savior."
But he hadn't saved her. He had come home that evening and climbed into the shower. When he'd come back into the bedroom, Nina had the weapon they kept in the closet for protection in her hand. She had screamed and ranted at him while he tried everything he knew to coax her into putting down the weapon. Finally, she turned it on herself but she hadn't released the safety, buying him just enough time to take the weapon from her.
Sylvia paused outside an unmarked room. No numbers or names. This was an exclusive facility. Each patient was given as close to total anonymity as possible. She searched his eyes for a long moment. "Dan, whether you realize it or not, this is more for you than for Nina."
He wanted to argue with her reasoning but he couldn't find the words.
"One day you'll look back on this moment and be grateful for the closure. She loved you. She never meant to hurt you. None of us did. But more importantly, you didn't do anything wrong. You need to forgive yourself and move on with your life."
How could he forgive himself?
Sylvia rapped softly on the door, then opened it. Nina sat in a chair near the windows on the far side of the room. Her brown hair was shorter now. She was thinner, paler. But she was as beautiful as ever. His chest tightened with emotion. No matter that he had thought he was prepared for this; he wasn't. Seeing her this way just reminded him of how badly he had failed her.
"I brought someone to see you, Nina."
Nina didn't acknowledge her sister or Dan. No indication that she even realized they had entered the room showed on her face or in her posture.
He moved around in front of her and crouched down to her eye level. "How are you, Nina?"
As if she'd abruptly realized someone said her name, she looked at him without the slightest recognition. "It's not time for my medication."
Sylvia pulled up another chair and sat facing her. "You remember Dan. You've told me stories about when he would take you to dinner and a movie. You love movies, Nina."
She turned to Sylvia. "Is it time for lunch yet? I don't want the peas."
Dan followed Sylvia's lead and tried making conversation. If Nina understood anything they said or even who they were, she showed no indication.
She was gone. Just like that evening when she'd held his gun in both hands and tried to shoot, the woman he had fallen for and married was gone.
When the attendant came to take Nina for her walk, Dan said good-bye. Profound sadness shrouded him for all that she had lost. He hoped the miracle she needed would be found at the next clinic.
He turned to Sylvia and she seemed to visibly gather her uncharacteristically scattered composure. "Well, thank you again." She cleared her throat. "I'm glad you and Jess are coming to the barbecue. I didn't want to leave her out. She's actually growing on me."
Dan managed a strained laugh. "Jess will do that."
Sylvia squared her shoulders. "Be sure to mention to her that next time she has a jumper to call someone else. I don't do jumpers."
Dan walked Sylvia to her car, then climbed into his own. As he drove away, he realized Sylvia had been right. He had needed to see Nina again.
He might never be able to forgive himself for not being what she needed but he could acknowledge the fact that he had tried.
That was enough for now.
That and the knowledge that Jess was waiting for him.
#
_St. Francis Church, 3:00 p.m._
Jess had watched in morbid fascination as Dan's cousin's firstborn was christened. The child hadn't screamed as much as she'd expected and she was really a beautiful baby. The christening gown was Irish and handmade. According to one of the ladies she'd overheard, it had been in the mother's family for several generations.
Afternoon refreshments were being served in the gardens, and thankfully it wasn't hot enough to melt what little makeup she was wearing off her face. Jess munched a cookie, homemade no doubt, and wandered through the gardens. The service had been lovely. Dan had looked so handsome and so excited to be named the baby's godfather.
Mostly Jess was in shock over how she hadn't been able to take her eyes off the baby. It was like she needed to see every wiggle and stretch.
She was just freaking out. That was all it could be. By her calendar she should be on her period by now. Could she be pregnant? Not likely. She was probably worrying for nothing. Worst-case scenario, if there was no period by Tuesday she would take one of those high-tech tests that were supposed to give immediate results. She'd figure the rest out from there.
Her heart bumped into a funny rhythm at the thought.
_Just stop, Jess_.
She scanned the garden for the beverage table. Where was that lemonade she'd heard everyone making a fuss over?
"Well, don't you look lovely today?"
Dread settled like a big rock in her belly. Jess turned to face Dan's mother. The queen. The woman who was sure Jess would never in a million years be good enough for her one and only boy. The thought of having this woman as grandmother to her future children was all the reason Jess would ever need to remain childless.
"Katherine." Jess drummed up a smile.
"They were talking about you on the news yesterday." Katherine nodded, her expression somber. "You solved a triple homicide and exposed the truth about a murder more than a decade old. Gracious." She set her silk fan to fluttering. "Too bad you couldn't prevent that young man from jumping. His family is devastated. Just devastated."
That was Katherine's specialty. Always find the negative in everything except her own actions.
"Oh." Jess waved her off. "But think how much money I saved the taxpayers. No trial, no having to house and feed the poor guy. Why, I just feel he did us all a huge favor."
"Well." Katherine cleared her throat. "Better luck next time."
She strolled away before Jess could dredge up a fitting response. Just as well. She was Dan's mother. She couldn't exactly box her up and ship her to Siberia.
Jess found the lemonade and had herself a nice tall glass. Whoever had organized this little party had fabulous taste. No plastic or paper cups for this crowd. No sirree. The real thing. Crystal stemware and delicate little bone china plates.
Dan came up behind her and whispered in her ear. "We can escape now, if you'd like."
"I would like that very much."
Jess left her glass on the nearest table and hurried with Dan to his SUV. As soon as they were out of the church parking lot, she relaxed.
"My little goddaughter is the most beautiful baby I have ever seen," he bragged.
"She really is." Cute and cuddly and smelling all like baby powders and lotion. Normally Jess was allergic to those smells but not today.
"How do you feel about that?" He glanced at her. "Kids, I mean."
They'd had this discussion about twenty years ago and agreed that careers and financial stability should come first. At this point both those arguments were out the window to some degree.
"I think there has to be a committed couple first. Babies need two parents."
"I get that." He maneuvered the needed turn. "But do you want children someday?"
Generally she would argue that the window was closing on that opportunity but she opted to keep her mouth shut on that topic. Mainly because she got the feeling he wanted kids. She'd seen the look on his face in that church when he held that tiny little human.
"I'm not opposed to having children. Obviously you want to. I saw the twinkle in your eyes back there."
"I do. Absolutely."
Her throat got a little tight. Was he saying that there was no hope for them unless she wanted to have children?
Wow. She hadn't considered there was a shelf life on where they were just now. If she dallied too long, she would be out of the baby-making business and it sounded like that would present an issue.
Unless the baby-making had already begun. _Don't be ridiculous, Jess. You're not even late yet_. At least not according to her pill pack.
"I went to see Nina this morning."
Nina? He couldn't be talking about the crazy Lopez woman who had kidnapped her. She was on house arrest out in LA. Wait, wait. He was talking about _Nina_. His second wife. Sylvia Baron's sister. The senator's daughter.
Like she didn't know that and wasn't dying to hear more.
"You never told me anything about her, remember?"
"It's a long and sad story."
She shifted in the seat and faced him. "We have all evening."
He nodded. "Okay. I'll tell you everything and then you'll tell me everything about Wesley."
"You know everything about Wesley," she argued.
Dan cut her a glance that challenged her statement.
"All right," she agreed. "We'll get that out of the way too."
At least they weren't talking about babies anymore.
As he drove along the quiet Sunday afternoon streets, he told her about how he'd met Nina at a fund-raiser for her father's bid for reelection to the senate. Nina had been an up-and-coming attorney and they'd hit it off. He'd bypassed thirty and decided it was time to try the marriage thing again.
Jess knew that feeling, only hers had come at forty. Wesley had just been in the right place at the right time. Or maybe not since they'd divorced barely two years later.
By the time Dan parked in her driveway, Jess understood why he'd been reluctant to talk about that particular marriage. She was glad he finally had. She also understood Sylvia a lot better. No wonder she made it so difficult to get to know her—or to want to, for that matter. The kind of dark and painful secret her family had been keeping made opening up difficult.
"You had no idea about her mental illness?"
"None."
Just went to show that even growing up in a community and thinking you knew someone didn't mean you really did. Geez Louise.
"I'm sorry. That was really awful for you." The idea that he had come so close to being killed by someone he trusted so completely was terrifying.
He parked next to her Audi. "Maybe she'll get the help she needs in New York."
"Maybe so."
He sounded so sad when he talked about her. Ten years was a long time to grieve. When they'd gotten out and headed for her stairs, she ventured into that sensitive territory. "You do understand that what happened wasn't your fault?"
"I have my moments," he admitted, "when I can see how it wasn't."
"We'll have to work on that."
As they climbed the stairs to her door, her cell started that annoying clang. She dragged it from the clutch purse she'd carried to the christening and was surprised to see a Virginia number. "Harris."
"Jess, this is Patricia Lanier."
The real estate agent who had the contract on her house. Hope dared to rear its head. "Patricia, great to hear from you. Do you have news for me?" Besides the possibility that her house had burned to the ground or been blown up?
"I do. We have an offer for full asking price."
That was way better news than she'd dared to hope. "That's great." On the landing, Jess turned to Dan and gave him a thumbs-up. "What do we need to do next?" Getting that mortgage payment off her back would be a tremendous relief.
"I'll fax you the necessary papers and we'll set up a closing date."
"Thank you so much!"
"Congratulations! You'll be hearing from me again soon."
Jess ended the call and let out a whoop. "We have a full asking price offer on my house!"
"Sounds like a celebration is in order." He leaned down and picked up a package that waited at her door. "You expecting something?"
"No." She hadn't ordered anything. But she just might start when that mountain of debt was lifted from her shoulders.
The package was a priority box from the post office. Medium size.
Their movements seemingly perfectly choreographed, they stared first at the package, then at each other.
"We should check this out before we open it."
She wasn't going to argue.
Dan set the package back down and they returned to his SUV. He called a bomb tech and an evidence tech. And for the next forty-five minutes they waited.
If Mr. Louis was home, he never came outside. Even so, she kept getting that creepy-crawly feeling she experienced when someone was watching her. Each time she looked around, there was nothing. No one.
Finally their backup rolled in.
Bomb tech found nothing. The evidence tech lifted a number of fingerprints but those could be a postal worker's. No suspicious residue on the outside and nothing inside that posed a hazard.
The bomb tech opened the package and shook his head. "Looks like a scarf."
A scarf? Who would send her a scarf?
The answer to that question slammed into her brain. _No_. She shook her head as if that would make it so. _No. No. No_.
With a gloved hand, Dan lifted the silk scarf from the box. Beneath it were three wallet-size photos. All three were female. All three were brunettes. All were gorgeous. No names or markings on the front or back of the photos.
The air seemed to avoid filling Jess's lungs even with her heart pounding a hundred miles an hour. This was wrong. He never sent photos. This couldn't be...
She felt the cell phone in her purse vibrate. As she was digging for it, Dan was already getting Gant on the line.
Jess stared at the screen and the bottom dropped out of her stomach.
**Eeny, meeny, miny, moe... let's play, Jess.**
"Spears?" Dan demanded.
The floor seemed to shift under her feet. She closed her eyes and tried to steady herself. Gant had warned that he suspected Eric Spears was back in the country. She had sensed he was watching her... had known this moment was coming... but none of that knowledge made this any easier.
She nodded in answer to Dan's question. "He's back. And one of these three women is about to become his next victim."
# About the Author
Debra Webb, born in Alabama, wrote her first story at age nine and her first romance at thirteen. It wasn't until she spent three years working for the military behind the Iron Curtain—and did a five-year stint with NASA—that she realized her true calling. She set a collision course between suspense and romance. Since then she has penned nearly one hundred novels, including her internationally bestselling Colby Agency series. Her debut romantic thriller series, Faces of Evil, propelled Debra to the top of the bestsellers charts for an unparalleled twenty-four weeks and garnered critical acclaim from reviewers and readers alike. Don't miss a single installment of this fascinating and chilling series!
You can write to Debra at PO Box 12485, Huntsville, AL, 35815, or learn more at:
DebraWebb.com
Twitter @DebraWebbAuthor
Facebook.com
# Also by Debra Webb
_Obsession_
_Impulse_
_Power_
_Rage_
# Praise for the Novels of Debra Webb
"Compelling main characters and chilling villains elevate Debra Webb's Faces of Evil series into the realm of high-intensity thrillers that readers won't be able to resist."
—CJ Lyons, _New York Times_ bestselling author
"Just when you think Debra Webb can't get any better, she does. _Obsession_ is her best work yet. This gritty, edge-of-your-seat, white-knuckle thriller is peopled with tough, credible characters and a brilliant plot that will keep you guessing until the very end. Move over Jack Reacher—Jess Harris is comin' to town."
—Cindy Gerard, _New York Times_ bestselling author
"Breathtaking romantic suspense that grabs the reader from the beginning and doesn't let up. Riveting."
—Allison Brennan, _New York Times_ bestselling author
"Webb keeps the suspense teasingly taut, dropping clues and red herrings one after another on her way to a chilling conclusion."
— _Publishers Weekly_
"Bestselling author Debra Webb intrigues and tantalizes her readers from the first word."
—SingleTitles.com
"Masterful edge-of-your seat suspense."
—ARomanceReview.com
"Romantic suspense at its best!"
—Erica Spindler, _New York Times_ bestselling author
"Fast-paced, action-packed suspense, the way romantic suspense is supposed to be. Webb crafts a tight plot, a kick-butt heroine, a sexy hero with a past and a mystery as dark as the black water at night."
— _RT Book Reviews_
**For years Birmingham's children were vanishing—one per year, always on a full moon—until the disappearances stopped and the Man in the Moon case went cold. No leads on the children were ever found—until now.**
Please turn this page for a preview of
_Ruthless_
#
_Birmingham Police Department,
Tuesday, August 17, 10:00 a.m._
Her chest too tight for a decent breath, Jess Harris stared at the television mounted on the wall. The images of three young women, brunette and beautiful, remained frozen on the screen. The scroll beneath those bright, smiling faces urged anyone who recognized one or all to contact the FBI's hotline.
Every news channel, website, and newspaper in the state was running the photos. The story, a tragic true-life reality show guaranteed to boost ratings, had been picked up by the national news. Fox, CNN, they all posed to the world the single question that burned in Jess's brain:
_Have you seen these women?_
The Player had started a new game. And Jess was caught in the middle.
The Bureau was in charge of the case, since it involved their ongoing investigation into the serial killer known as the Player, a sadist who was suspected of having murdered countless young women already. Not to mention the two federal agents he and his protégé, Matthew Reed, had murdered last month.
_Damn you, Spears... I will get you somehow._
This time the tables were turned. They knew the perpetrator, but they couldn't identify the victims... and there was no way to predict when the crime would occur. The Bureau and every law enforcement agency in the state were on alert for a crime that hadn't happened yet.
Jess glanced at her cell phone that lay, oddly silent, on the conference table. Spears had repeatedly turned her life upside down, starting with the demise of her career at the Bureau. And now, the bastard had sent the photos of those three women with a warning that one was about to become his first victim in a new game. Then he'd shut Jess out. She hadn't heard a word from him since the package containing the photos arrived nearly forty-eight hours ago.
Eric Spears, aka the Player. She squared her shoulders and tried to clear the lump from her throat. No one, not even the Bureau, was denying that Spears was the Player now. Didn't matter that Jess had told them weeks ago. She hadn't been able to prove it. So here they were more than a month later, and Spears was out there, free to torture and murder whomever he pleased.
Starting with one of these young women.
Wherever Spears was, rather than communicating with her, he had one of his friends or a hired lackey watching Jess. The texts he'd sent last week proved that much. How else would he know to send _Cheers_ when she was having a glass of wine? Or _Bang_ right after some creep in a dark Infiniti sedan took a shot at her? And she couldn't forget the fishing worms someone stashed in the fridge at her apartment. _Are you going to fish or cut bait?_
Spears had gone fishing all right. Jess had to find him... before anyone else died.
"Damn it!" She shoved back her chair and stood. She couldn't just sit here.
From his desk, Chief of Police Dan Burnett swung his attention toward her. "What's wrong?"
God, didn't he get it? Everything was wrong. "You mean besides the fact that you won't let me out of your sight even to do my job?"
His need to protect her had gone from excessive to completely unreasonable, numerous long and heartfelt talks be damned. No matter how Dan claimed to trust her abilities and instincts, no matter that she had warned him this incessant hovering was making them both look bad to the rest of the department, Spears had made a move and all that had gone out the window.
For the past hour Dan had been going over updates on open cases while she sat here at his conference table pretending to review reports from her detectives on cases she couldn't investigate. She'd closed out the Five investigation yesterday with a full confession from the perpetrators of that travesty. This morning she'd pretty much been twiddling her damned thumbs.
Visibly resigned to a battle, Dan set aside the report he'd been reviewing and pushed back his chair. Those same grim lines he'd been wearing since Sunday were etched even deeper in his face.
Before she could outmaneuver him he stood in front of her, his strong hands curled around her upper arms, making her long to fall against his chest. _Get a grip, Jess._ Just went to show how crazy not being able to do something about Spears or anything else was making her.
"You're worried sick," he said softly. "I get that."
Why the hell did he have to treat her as if she were made of glass? "No." Tears stung her eyes, making her all the angrier. "You do not _get it_. At least one of those girls will die."
Fear and anger tore at her heart, stealing her voice for a moment. "She'll be tortured for days... until he grows weary of her and then she'll die an ugly, brutal death." A sharp breath stabbed through Jess. "And it's all because of me." Her hand went to her throat as if she could somehow hold back the hurt rising there. " _I_ started this."
She wished his blue eyes didn't reflect so very accurately the fear and pain torturing her. This was ripping him apart, too. "Gant and his team are doing everything possible to identify and locate those women. They _will_ find Spears."
Jess choked out a laugh. She couldn't help herself; the anguish was giving way to hysteria. "They won't find him, much less stop him, Dan, you know that."
This time he looked away. He couldn't deny the truth any more than she could. Her lips started that confounded trembling again, and she couldn't manage to summon the proper words to explain the rest of what needed to be said.
Someone would die _soon_... because of her.
Her heart pounded in her ears, ticking off the silent seconds. If he would just back off... give her some space... so she could do what needed to be done.
"All right." He exhaled a heavy breath. "But you will not make a move without Sergeant Harper or Detective Wells right beside you. You will not go home or anywhere else without one of them or without me. Understood?" He shook his head, the look on his face dead serious. "No exceptions, Jess. No pretending this time that the danger isn't real and imminent."
Relief rushed through her so hard her knees almost gave way. "You have my word. You can put a tracking device in my bag. Whatever makes you feel comfortable." Truth was, that wasn't a bad idea. As desperately as she wanted to do something besides sit here, she understood the danger was all too real. And definitely imminent. As badly as she wanted to stop Spears, she didn't want anyone to die in the process—including her.
The MO he was using this time around was similar to the games he'd played before, he'd simply taken a different and startling new strategy to get from selecting his victim to abducting her. Spears wasn't playing with her this time. Jess sensed that cold, hard fact to the very core of her being. What did a killer who sat at the very top of the most evil scale do for a finale?
"I'm glad you feel that way," Dan said, hauling her back to the here and now. "I'm assigning a surveillance detail to you 24/7."
Daniel Burnett, her friend, lover, and boss—not necessarily in that order—wasn't going to take any chances this go-around. He knew her a little too well. Jess had a habit of going rogue when the need arose.
"Whatever it takes. Cooperation will be my middle name," she promised. As long as she got to get back to work and out from under his thumb.
He assessed her a moment longer before heading for his desk to put his warning into action. "You'll keep me apprised of your every move."
"Absolutely." She felt like a bird just let out of its cage as she gathered her bag and files. "I'll head on down to SPU now and let you get back to your work." The Special Problems Unit and her office was just a short flight of stairs or a brief elevator ride away—the latter being her preferred method of getting from here to there. Four-inch heels and stairs just didn't go well together.
Dan shook his head. "I'll have Harper come get you." Her jaw dropped. She couldn't move about inside the building, for heaven's sake, without an escort? Before she could demand an answer to that question, Burnett—she was too mad now to keep calling him Dan, even in her mind—made the call.
Opting to choose her battles, she snapped her mouth shut and decided that getting her way with Harper would be a whole lot easier than trying to get anything over on Daniel T. Burnett. He was far too hardheaded and impossible to persuade into seeing things her way when any measure of risk was involved.
"Harper's on his way." He tossed his cell phone back on his desk. "Don't make me regret this decision, Jess. I'm counting on you not to let me down."
"I gave you my word." If her record didn't show otherwise she might be offended. But she had a well-documented history of doing things her own way regardless of instructions from her superiors. "Besides," she added with a shrug, "I've never once disobeyed orders unless it was the best for the victim or the case. You can't say otherwise."
That part was the irrefutable truth.
Even her former employer, the Federal Bureau of Investigation, couldn't claim she'd bent—or broken, more often than not—the rules without the best interest of the case at heart. There were some evils out there that simply couldn't be stopped by the book. The Player was one of those.
Fortunately, a rap at the door prevented Dan's pursuit of that topic.
_Thank God._
"You wanted to see me, sir?" Harper glanced from Burnett to Jess.
She gave her detective a nod sans the victorious smile now tugging at her lips and waited quietly, obediently, as Dan laid down the law. Her frustration dissipated faster than fog clearing beneath the rising sun as the reality that she was really getting out of this office-turned-prison seeped fully into her veins.
_I will get you, Spears._
When Harper had been fully informed of his grave duty, he gave a nod without so much as another glance at Jess. "I understand, sir."
Jess was out of the chief of police's office and heading for freedom before Harper could turn around. She bypassed the elevator, since it was monitored by security, and she needed a word with her detective in private. She waited until she and Harper were in the stairwell headed down to SPU before voicing her request.
"I need a disposable phone, Sergeant."
"Something wrong with your phone, ma'am?"
At the door to their floor she gave him a skeptical look. "You don't want to know the answer to that. Just get me one I can use without anyone tracking it."
"I'll send Cook to Walmart."
"Thank you." She finally let that triumphant smile she'd been holding back make an appearance. "We have work to do."
He gave her a nod. "Yes, ma'am."
A kind of calm descended and Jess's pulse rate steadied as she entered her own domain. Her small staff waited for her. SPU's team consisted of her and only three others, and the floor space allotted for their offices was just one big room, but it was her unit and she couldn't be happier for some sense of normalcy. The past forty or so hours had been unbearable.
"Good morning, Chief." Detective Lori Wells looked as relieved to have her back as Jess felt at being here.
More so than anyone else at the BPD, Lori had as much reason as Jess to want Spears caught. His protégé, Reed, had kidnapped and tortured her just to lure Jess into a trap that mercifully fell apart, but not before people died.
"Good morning, Lori." Jess gave her and then Officer Chad Cook, the youngest of their team, a nod. "Cook."
"Ma'am," Cook greeted. "We've missed you."
A statement as simple as that shouldn't have had her struggling to hold a fresh rush of emotion back, but it did. This was her new home and it felt exactly like that. A mere six months ago she wouldn't have believed she would ever be back in Birmingham feeling like she belonged. But here she was and it felt right.
The television mounted on the wall opposite their case board was running the same news coverage as the one in Burnett's office. Jess hoped someone out there would recognize those three women and call in. Soon. There was no way to know if one or all three were already missing or even where they lived. For now, the Bureau was focused on the state of Alabama, since the package containing the photos had been mailed from Montgomery. But the truth was they had no clue who or where these women were—they had nothing except the photos and the promise of bad things to come.
Spears was too smart to get caught easily. He had no doubt selected very carefully for this pivotal game. Women who were loners, maybe had no families. Women who wouldn't be missed right away. That strategy would buy him the time he wanted to draw out the game.
Every step he took was judiciously calculated for optimal gain and leverage.
While Harper pulled Cook aside to give him his task, Jess parked her stuff on her desk and headed for the case board. Lori, with a manila folder in hand, joined her there.
"I was waiting until you got here to start." Lori opened the folder and revealed copies of the photos of the unidentified women and a photo of Spears.
The unsavory combo of anxiety, fear, and frustration almost got the better of Jess again. "Thank you." She was extremely lucky to have Lori and Harper on her team. Cook, too. The vacant desk reminded her that SPU was a member short since Valerie Prescott had moved on to the Gang Task Force.
A sense of foreboding churned in Jess's belly. Captain Ted Allen, head of Birmingham's Gang Task Force, was still missing. More than a week now. Whatever else she knew, Jess understood with complete certainty that his disappearance had something to do with her. Yet she couldn't connect Allen's disappearance with Spears and his game. Had to be the high-profile Lopez drug case she and Allen had repeatedly butted heads over. Although there was plenty of gossip floating around the station that she'd had something to do with Allen's disappearance. She didn't like the captain, and liked the fact that he may very well have planted a bomb in her car even less, but there was only one man she wanted dead enough to do the deed herself.
_Eric Spears_.
If she let herself contemplate all that had happened in the last six weeks or so, she might just lose it. After all, what forty-two-year-old woman wouldn't want a serial killer kidnapping innocent women to get her attention and a cop who hated her going missing—after possibly planting a bomb in her department vehicle? Gave new meaning to the term midlife crisis.
"I was thinking about a replacement for Prescott," Lori said, evidently noting Jess's lingering attention on the vacant desk.
Thankful for the reprieve from the other thoughts, Jess set the self-pity party aside for now. "I doubt we'll get any cases thrown our way until this—" she blew out a big blast of frustration "—is over, but we do need to fill that vacancy. Who'd you have in mind?"
"Lieutenant Clint Hayes. He's over in Admin right now, but he's been looking for an opportunity to get in the field."
Jess placed the photo of Spears on the case board. She hated those pale blue eyes of his. Not the same deep, true blue of Dan's. Spears's were that pale, ghostly color that warned pure evil thrived beneath them. "Give me some stats on Hayes."
"Thirty-four. Single. Went to Samford. Finished law school with high honors but opted not to go that route. Instead he hired on with the BPD."
Jess stalled before getting the final photo on the board. "Decided he'd rather be one of the good guys, is that it?"
Lori gave a halfhearted shrug. "Something like that."
There was more to this story. "Something like what... exactly?"
"There was a morals issue in the background check," Harper chimed in from his desk.
With the last photo in place Jess turned to her senior detective. "What kind of morals issue?"
"The state bar association discovered he had worked his way through college"—Harper strolled up, hands in pockets and wearing a smirk—"as a gigolo. They refused to certify his character."
A frown puckered her eyebrows. Jess rubbed at what would end up another wrinkle if she didn't stop the habit. A _gigolo_? Do tell. "Evidently he was never arrested for solicitation." That kind of mark on his record would have kept him off the force as well.
"Never," Lori confirmed. "Character references killed his chances with the state bar association—a couple of his own friends ratted him out. Cost him his chosen career and the city one hell of a sharp attorney."
"Good Lord." Jess looked from one detective to the other, certain she had misheard. "You're telling me the bar association ignored his superior academic prowess and refused to admit him because he'd worked as a manwhore?" She could think of far worse things lawyers did every day, and it rarely got them disbarred.
"I'm telling you," Harper chuckled, "that the BPD hired him _because_ he was a manwhore."
Now Jess was really confused.
"It was the mayor's idea," Lori interjected, wearing her own smirk now. "Rumor was that Clint's little black book included Mayor Pratt's wife's name."
In spite of the insanity going on around her, Jess had to laugh. Seemed like for all their old money and power the mayor's family and friends just couldn't resist dancing around the dark side. And in the South, even in a city the size of Birmingham, everyone who was anyone knew everyone else. "Don't you just love small-town justice?"
Harper leaned in closer. "You think he called up Mayor Pratt and asked for a favor, or do you think the mayor's wife took care of it for him?"
"Good question." Jess cleared her throat. "If the two of you think Hayes would prove an asset to our cozy little group, I'm fine with a probationary period." She wouldn't mention the idea that having a little dirt on the mayor would make her immensely happy. "Talk to him," she said to Lori. "If he's agreeable and Burnett approves it, we'll bring him over as soon as possible."
Before Jess turned her attention back to the case board she wanted one more administrative issue out of the way, since their youngest member was out of the room. "We need to start grooming Cook for the detectives' exam."
"I can handle that," Harper offered.
"Excellent." Whether or not Cook got a promotion wasn't such a priority right now, but Jess needed to hang on to a few threads of normalcy. Spears was doing all within his power to take that from her.
Ruthless, that was what he was. Ruthless and pure evil. If she had her way he would die screaming.
Satisfaction warmed her heart. _Oh yes. I will get you this time._
"Your Realtor called." Lori hitched her head toward Jess's desk. "There's a message. Something about the last week of September for the closing date on your house."
There was another normalcy Jess had been hoping for. It also meant she only had to pay one more house payment before that burden was lifted. There would be some fees involved with the sell, but her equity in the house would take care of that.
"I'll give her a call back later today." Jess realized then that both detectives were staring at her. "Oh, sorry. With all that happened, I forgot to tell you. My house in Virginia finally sold. Full asking price." Thank God for that last part. "The call came Sunday afternoon just before"—she gestured to the board—"this happened." A splinter of fear needled its way back into her chest.
_You have to do something, Jessie Lee. Something that will stop him in his tracks. Fast._
"So." She walked to her desk to prowl for her glasses. "The hotlines have no confirmed leads on the identities of these women."
"A few callers," Harper said, "insist they've seen one or the other around their hometown but they don't know their names. Most of the calls are coming from the Montgomery and Mobile areas."
"The FBI's adding an additional layer to the searches in those towns, but it's like the proverbial needle in the haystack," Lori added.
"No matches to Alabama driver's licenses?" Glasses in place, Jess moved back to the case board.
Harper hummed a note of regret. "Nothing yet."
There was no way to know how much time they had before Spears took the next step, but Jess suspected it wouldn't be enough. "These women are the right age to be college students. Maybe students from other states. That could explain why we didn't get a hit with the DMV." Damn it. Or new residents of Alabama who hadn't had time to make all the documentation changes.
"The FBI is checking all databases at their disposal," Lori mentioned.
That was something. But unless these women had passports or had committed a felony they wouldn't likely be in any of those databases.
Across the room Jess's cell clanged. Wouldn't be Dan. If there was a new development he would just appear at the door. Maybe Lily had news. Her sister was pretty frustrated with the inability of her doctors to figure out what was going on with all these crazy symptoms plaguing her. Jess was damned frustrated herself. Her sister had always been as healthy as a horse. The concept of a serious health issue just didn't seem possible.
"Carry on," Jess suggested to her detectives, as she hurried back to her desk.
Lori created the time line and added the notes Harper recommended. The two had been dating for a few weeks now, and thankfully so far the fledgling relationship hadn't affected their work in any way. Jess hoped it stayed that way. She knew from experience it wasn't an easy balancing act to sustain.
At her desk she picked up her cell and frowned at the screen. Why would Gina Coleman be calling her? Jess had nothing on the Spears case to give Birmingham's favorite reporter. As far as Jess was concerned, after the business with the Five case the two of them were even on who owed whom what.
"Harris."
"You need to get over here, Harris. _Now._ "
Adrenaline kicked Jess's heart back into that same frantic pace she'd been suffering since Sunday afternoon. "What's going on?"
"A package was left with the receptionist at the studio. It's addressed to me but there's a message on the inside flap that says I should give it to _you_. I don't know what it is, but it smells dead."
**Don't miss the first electrifying Faces of Evil novel**
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_Obsession_
#
_Birmingham, Alabama
Wednesday, July 14, 1:03 p.m._
Special Agent Jess Harris's career was in the toilet along with the breakfast she'd wolfed down and then lost in a truck stop bathroom the other side of Nashville.
God, this wasn't supposed to happen.
Jess couldn't breathe. She told herself to either get out of the car or power down a window, but her body refused to obey a single, simple command.
The scorching ninety-five degrees baking the city's asphalt and concrete had invaded the interior of the car about two seconds after she parked and shut off the engine. That appeared to be of little consequence to whatever reason she still possessed considering that ten minutes later her fingers were still locked around the steering wheel as if the final hours of her two-day drive had triggered the onset of rigor mortis.
She was _home_. Two weeks' worth of long overdue leave was at her disposal. Her mail was on hold at the post office back in Stafford, Virginia, where absolutely no one would miss her. Still, she hesitated in taking the next step. Changing her mind and driving away was out of the question no matter how desperately she wanted to do exactly that.
Her word was all she had left at this point. The sheer enormity of her current circumstances should have her laughing hysterically but the muscles of her throat had constricted in equal parts disbelief and terror.
_Screw this up and there's nothing left_.
With a deep breath for courage, she relaxed her death grip, grabbed her bag, and climbed out. A horn honked a warning and she flattened against the dusty fender of her decade-old Audi. Cars and trucks whizzed by, determined to make the Eighteenth Street and First Avenue intersection before the traffic light changed. Exhaust fumes lingered in the humid air, mingling with the heat and the noise of downtown.
She barely recognized the heart of Birmingham. Renovated shops from a bygone era and newer, gleaming buildings stood side by side, their facades softened by carefully placed trees and shrubbery. An elegant park complete with a spectacular fountain welcomed strolling shoppers and relaxing picnickers. Great strides had been taken to transform the gritty streets of the city once recognized as the infamous center of the civil rights movement to a genteel version of a proud Southern town.
What the hell was she doing here?
For twenty-two years she had worked harder than a prized pupil of Henry Higgins himself to alter her speech patterns and to swipe the last damned trace of the South from her voice. A master's degree in psychology from Boston College and seventeen years of relentless dedication to build an admirable career distinguished her résumé.
And for what? To come running back with her tail tucked between her legs and her head hanging low enough to the ground to smell the ugly truth.
Nothing had changed.
All the spritzing fountains and meticulously manicured storefronts couldn't hide the fact that this was still Birmingham—the place she'd put in her rearview mirror at eighteen—and the four-hundred-dollar red suit and matching high heels she wore would not conceal her plunge from grace.
_He_ had called and she had promised to come and have a look at his case. It was the first time he'd asked her for anything since they parted ways after college. That he extended any sort of invitation astonished her and provided a much needed self-esteem boost. No one from her hometown had a clue about her current career debacle or the disaster zone that was her personal life. If she had her way, they would never know. The million-dollar question, however, remained: What did she do after this?
The wind from a passing car flapped her skirt around her legs, reminding her that this curbside parking slot was not exactly the place to conduct a cerebral overview of _This Is Your Life_.
Game face in place, her shoulders squared with determination, she strode to the Birmingham Police Department's main entrance. Another bout of hesitation slowed her but she kicked it aside, opened the door, and presented a smile for the security guard. "Good morning."
"Good morning to you, too, ma'am," said the guard, Elroy Carter according to the name tag pinned to his shirt. "I'll need your ID. You can place your bag here." He indicated the table next to him.
Jess handed over her official credentials and placed her bag as directed for inspection. Since she'd stopped bothering with earrings years ago and the gold band she still wore for reasons that continued to escape her didn't set off any alarms except in her head, she walked through the metal detector and waited on the other side for her bag.
"Enjoy your visit to the Magic City, Agent Harris." Another broad smile brightened the big man's face.
Probably retired Birmingham PD, undeniably Southern through and through. He obviously took pride in his work, past and present, and likely carried a wallet full of photos of his grandchildren. The only trait that wouldn't be readily discernible by way of a passing inspection was whether he was an Auburn or an Alabama fan. By September that, too, would be as clear as the rich color of his brown eyes. In Alabama, college football season turned even the closest of friends into fierce rivals.
"Thank you, Mr. Carter."
Extending a please, welcome, and thank you remained a stalwart Southern tradition. On the etiquette scale, the idea of passing a stranger without at least smiling ranked right below blasphemy. Keeping up with your neighbor's or coworker's business wasn't viewed as meddling. Not at all. It was the right thing to do. Concern was, of course, the motive.
Jess would give it twenty-four hours max before speculation about her business became the subject of water-cooler talk. Then the sympathetic glances would begin. Along with the reassuring smiles and the total pretense that everything was fine.
Fine. Fine. Fine.
As much as she wanted to avoid her dirty laundry being aired, the odds of complete circumvention fell along the lines of being hit by falling satellite debris twice in the same day. Once the news hit the AP there would be no stopping or even slowing the media frenzy.
Her life was a mess. She doubted any aspect of her existence would ever be _fine_ again. But that was irrelevant at the moment. She was here to advise on a case—one that wouldn't wait for her to gather up the pieces of her life or for her to lick her wounds.
Jess set those worries aside, steeled herself, and headed for the bank of elevators that would take her to the fourth floor. _To him_.
None of the faces she encountered looked familiar. Not the guard who'd processed her in or either of his colleagues monitoring the lobby and not the woman who joined her in the elevator car to make the trip to Birmingham Police Department's administrative offices.
Once the doors glided closed, the woman attempted a covert inspection, taking note of Jess's Mary Jane pumps with their four-inch heels, the swath of skin separating the hem of her pencil skirt from the tops of her knees and the leather bag that had been her gift to herself on her fortieth birthday. When eye contact inevitably happened, a faint smile flashed, a superficial pleasantry intended to disguise the sizing-up of competition. _If she only knew._
The car bumped to a stop. The other woman exited first and strolled down the long corridor on the right. Jess's destination waited straight ahead. The office of the chief of police. At the door she conducted a final inventory of her appearance in the glass, straightened her belted jacket, and plucked a blond hair from her lapel. She looked... the same. Didn't she? Her hand fell to her side.
Did she look like a failure? Like the woman who had just provided a heinous killer with a get-out-of-jail-free card and who'd lost her husband to geography?
_Deep breath_. She reached for the door sporting the name Daniel T. Burnett and passed the point of no return.
"Good afternoon, Agent Harris." The young woman, Tara Morgan according to the nameplate on her desk, smiled. "Welcome to Birmingham."
Since Jess hadn't introduced herself, she assumed that the chief had ensured his office personnel, certainly his receptionist, would recognize his anticipated visitor. "Thank you. I'm here to see Chief Burnett."
"Yes, ma'am. If you'd like to have a seat, I'll let the chief know you've arrived."
_At last_ , Tara politely left off. Jess was late by twelve minutes, most of which had been spent fortifying her resolve and gathering her composure to face the final buffeting winds of the emotional hurricane that had descended upon her life. The receptionist offered water or a soft drink. Jess declined. Getting anything, even water, past the massive lump lodged firmly in her throat was unlikely. Keeping it down, an unmitigated no-go.
Jess used the intervening time to evaluate the changes Birmingham's newest chief had made since taking over the office of top cop. From the marble-floored entry to the classic beige carpet and walls, the tranquil lobby looked less like the anteroom to the chief of police and more like the waiting area of a prestigious surgeon's office. Though she hadn't been in this office since career day back in high school, the decorating and furnishings were far too fresh to have seen more than a couple of years' wear.
Law enforcement and political journals rested in a crisp stack atop the table flanked by two plush, upholstered chairs. The fabric resembled a European tapestry and carried the distinct flavor of his mother's taste. It wasn't enough she'd influenced the decorating scheme of the palatial homes belonging to select members of Birmingham's elite simply by hosting a grand soiree and inviting the city's who's who list. Katherine Burnett set the gold standard for keeping up with the Joneses.
Jess wondered if the fine citizens of Birmingham approved of such wasteful use of their tax dollars. Knowing Katherine, she had paid for the renovation herself and spelled it all out on the front page of the Lifestyle section of the _Birmingham News_.
Just another example of how nothing changed around here. Ever. Jess deposited her bag on a chair and stretched her travel-cramped muscles. Eight grueling hours on the road on Tuesday and four this morning had taken its toll. She was exhausted. A flight would have provided far more efficient transportation, but she preferred to have her car while she was here. Made the potential for escape much more feasible.
Actually she'd needed time to think.
"You made it."
Whether it was the sound of his voice or the idea that he looked better now, in spite of current circumstances, than he had on Christmas Eve ten years ago, she suddenly felt very fragile and unquestionably old. His dark hair was still thick without even a hint of gray. The elegant navy suit he wore brought out the blue in his eyes. But it was his face, leaner than before but no less handsome, that conveyed the most damage to her brittle psyche.
The weight of the past seventy-two hours crashed down on her in one big knee-weakening wallop. The floor shifted beneath her feet and the urge to run into his strong arms or to simply burst into tears made a fleeting but powerful appearance.
But she wasn't that kid anymore. And they... they were little more than strangers.
She managed a stiff nod. "I did."
Funny how they both avoided calling each other by name. Not funny at all was the idea that five seconds in his presence had the two little words she'd uttered sounding as Southern as the day she'd hit the road after high school graduation.
She cleared her throat. "And I'm ready to get to work. First, I'd like some time to review the files."
"Of course." He offered his hand, then drew it back and gestured awkwardly as if belatedly realizing that touching was not a good idea. "Shall we go to my office?"
"Absolutely." She draped her bag over her shoulder and moved toward him, each step a supreme test of her self-control. Things that hadn't been said and should have battled with the numerous other troubles clashing in her head for priority. _This wasn't the time_.
"Coming all this way to help us figure this out means a great deal to me."
_Still skirting her name_. Jess pushed aside the confusion or frustration, maybe both, and the weariness and matched his stride as he led the way. "I can't make any promises but I'll do what I can."
He hadn't given her many details over the phone; that he had called at all was proof enough of the gravity of the situation.
He introduced her to his personal secretary, then ushered her into his office and closed the door. Like the lobby, his spacious office smacked of Katherine's touch. Jess placed her bag on the floor next to a chair at the small conference table and surveyed the four case files waiting in grim formation for her inspection. Clipped to the front of each jacket was a photo of a missing girl.
_This_ was why she had come all this way. However much his call gratified her ego, piecing together this puzzle was her ultimate goal. She leaned forward to study the attractive faces. Four young women in the space of two and a half weeks had disappeared, the latest just three days ago. No common threads other than age, no suggestion of foul play, not a hint of evidence left behind. Macy York, Callie Fanning, Reanne Parsons, and Andrea Denton had simply vanished.
"These two are Jefferson County residents." He tapped the first and second photos; Macy and Callie were both blondes. "This one's Tuscaloosa." Reanne, a redhead. "The latest is from Mountain Brook, my jurisdiction." The fourth girl, Andrea, was a brunette and his attention idled there an extra moment or two.
Jess lowered herself into a chair. She opened the files, one by one, and reviewed the meager contents. Interviews with family and friends. Photos and reports from the scenes. All but one of the missing, Reanne, were college students.
"No contact with the families? No sightings?"
She looked up, the need to assess his facial expressions as he answered a force of habit. His full attention rested on the files for a time before settling on her. The weight of the public service position he held had scored lines at the corners of his eyes and mouth. Lines that hadn't been there ten years ago. Funny how those same sorts of lines just made her look old, but on him they lent an air of distinction.
He shook his head in response to her question.
"No credit card or cell phone trails?" she went on. "No good-bye or suicide notes? No ransom demands?"
"Nothing."
With a fluidity and ease that spoke of confidence as well as physical strength and fitness, he propped one hip on the edge of the table and studied her, those familiar blue eyes searching hers as blatantly as she had assessed his seconds ago. "Sheriff Roy Griggs—you may remember him—and Chief Bruce Patterson in Tuscaloosa are doing all they can, but there's nowhere to go. The bureau won't budge on the issue of age of consent. All four of these girls are nineteen or older, and with the lack of evidence to indicate foul play there's nothing to investigate, in their opinion. File the report, add the photos to the various databases, and wait. That's what they can do."
According to the law, the bureau was correct. Unless there was evidence of foul play or vulnerability to a crime, there was no action the bureau or any law enforcement agency could take. He knew this but his cop instincts or his emotions, she hadn't concluded which yet, wouldn't let it go at that. And she did remember Griggs. He had served as Jefferson County sheriff for the past three decades.
"But you think there's a connection that suggests this is not only criminal but perhaps serial." This wasn't a question. He'd told her as much on the phone, but she needed to hear his conclusion again and to see what his face and eyes had to show about his words.
His call, just hearing his voice, had resurrected memories and feelings she'd thought long dead and buried. They hadn't spoken since the summer after college graduation until ten years ago when they bumped into each other at the Publix in Hoover. Of all the grocery stores in the Birmingham area how they'd ended up at the same one on the first holiday she'd spent with her family in years still befuddled her. He had been newly divorced from his second wife. Jess had been celebrating a promotion. A volatile combination when merged with the holiday mania and the nostalgia of their explosive history. The last-minute dessert she had hoped to grab at the market before dinner with her sister's family had never made it to the table.
Jess hadn't heard from him since. Not that she could fault his after-frantic-sex lack of propriety; she'd made no attempt at contact either. There had been no random shopping ventures since on her rare visits to Birmingham.
"There has to be a connection." He surveyed the happy, carefree faces in the photos again. "Same age group. All attractive. Smart. No records, criminal or otherwise. Their entire futures—bright futures—ahead of them. And no one in their circle of family or friends saw a disappearing act coming." He tapped the fourth girl's photo. "I know Andrea Denton personally. There's no way she would just vanish like this. No way."
Two things registered distinctly as he made this passionate declaration. One, he wasn't wearing a wedding band. Two, he didn't just know number four personally. He knew her intimately on some level.
"Someone took her," he insisted. "Someone took them all." His expression softened a fraction. "I know your profiling reputation. If anyone can help us find these girls, it's you."
A genuine smile tugged at the frown Jess had been wearing most waking hours for days now. She had absolutely nothing to smile about but somehow the compliment coming from him roused the reaction. "That might be a bit of a stretch, Chief." Sitting here with him staring down at her so intently felt entirely too familiar... too personal. She stood, leveling the playing field. "And even the best can't create something out of nothing and, unfortunately, that's exactly what you appear to have so far."
"All I'm asking is that you try. These girls," he gestured to the files, "deserve whatever we can do."
He'd get no argument from her there. "You know the statistics." If they had in fact been abducted, the chances of finding one or more alive at this stage were minimal at best. The only good thing she could see was that they didn't have a body. _Yet_.
"I do." He dipped his head in a weary, somber move, emphasizing the grave tone of his voice.
Eventually she would learn the part he was leaving out. No one wanted to admit there was nothing to be done when anyone went missing, particularly a child or young adult. But this urgency and unwavering insistence that foul play was involved went beyond basic human compassion and the desire to get the job done. She could feel his anxiety and worry vibrating with escalating intensity.
"Will your counterparts cooperate?" Kicking a hornet's nest when it came to jurisdiction would compound her already complicated situation. That she could do without. Once the news hit the public domain, there would be trouble enough.
"They'll cooperate. You have my word."
Jess had known Daniel Burnett her whole life. He believed there was more here than met the eye in these seemingly random disappearances. Unless emotion was somehow slanting his assessment, his instincts rarely missed the mark. More than twenty years ago he had known she was going to part ways with him well before she had recognized that unexpected path herself, and he had known she was his for the taking that cold, blustery evening in that damned Publix. She would lay odds on his instincts every time.
She just hadn't ever been able to count on him when it came to choosing her over his own personal and career goals. As ancient as that history was, the hole it left in her heart had never completely healed. Even knowing that hard truth, she held her breath, waiting for what came next.
"I need your help, Jess."
_Jess_. The smooth, deep nuances of his voice whispered over her skin and just like that it was ten years ago all over again.
Only this time, she would make certain they didn't end up in bed together.
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# THE DISH
_Where Authors Give You the Inside Scoop_
# From the desk of Debra Webb
Dear Reader,
I can't believe we've already dug into case five of the Faces of Evil—REVENGE.
Things are heating up here in the South just as they are in REVENGE. The South is known for its storytelling. I can remember sitting on the front porch in an old rocking chair and listening to my grandmother tell stories. She was an amazing storyteller. Most of her tales were ones that had been handed down by friends and family for generations. Many were true, though they had changed through the years as each person who told them added his or her own twist. Others were, I genuinely hope, absolute fiction. It would be scary if some of those old tales were true.
Certain elements were a constant in my grandmother's tales. Secrets and loyalty. You know the adage, "blood is thicker than water." Keeping family secrets can sometimes turn deadly and in her stories it often did. Then there were those dark secrets kept between friends. Those rarely ended well for anyone.
Jess Harris and Dan Burnett know a little something about secrets and I dare say in the next two cases, REVENGE and the one to follow, Ruthless, they will understand that not only is blood thicker than water but the blood is where the darkness lurks. In the coming cases Jess will need Dan more than ever. You're also going to meet a new and very interesting character, Buddy Corlew, who's a part of Jess's past.
Enjoy the summer! Long days of gardening or romping on the beach. But spend your nights with Jess and Dan as they explore yet another case in the Faces of Evil. I promise you'll be glad you did.
I hope you'll stop by www.thefacesofevil.com and visit with me. There's a weekly briefing each Friday where I talk about what's going on in my world and with the characters as I write the next story. You can sign up as a person of interest and you might just end up a suspect! We love giving away prizes, too, so do stop by.
Enjoy the story and be sure to look for Ruthless next month!
Cheers!
# From the desk of Katie Lane
Dear Reader,
One of the highlights of my childhood was the New Mexico State Fair. Every year, my daddy would give me a whole ten dollars to spend there. Since I learned early on what would happen if you gorged on turkey legs and candy apples before you hopped on the Tilt-a-Whirl, I always went to the midway first. After a couple hours of tummy-tingling thrills, my friends and I would grab some food and head over to the coliseum to watch the cowboys practice for that night's rodeo.
Sitting in the box seats high above the arena, I would imagine that I was a princess and the cowboys were princes performing great feats of agility and strength in order to win my hand in marriage. Of course, I was never interested in the most talented cowboys. My favorites were the ones who got bucked off the broncos or bulls before the buzzer and still jumped to their feet with a smile on their face and a hat-wave to the crowd.
It was in this arena of horse manure and testosterone that a seed was planted. A good forty years later, I'm happy to announce that my rodeo Prince Charming has come to fruition in my newest contemporary romance, FLIRTING WITH TEXAS.
Beauregard Cates is a cowboy with the type of smile and good looks that make most gals hear wedding bells. But after suffering through a life-threatening illness, he has no desire to be tied down and spends most of his time traveling around the world... until he ends up on a runaway Central Park carriage ride with a sassy blonde from Texas.
Jenna Jay Scroggs is a waitress who will go to any length to right the injustices of the world. Yet no matter how busy her life is in New York City, Jenna can't ignore the sweet-talkin', silver-haired cowboy who reminds her of everything she left behind. And when her hometown of Bramble gets involved, Beau and Jenna will soon be forced on a tummy-tingling ride of their own that will lead them right back to Texas and a once-upon-a-time kind of love.
I hope y'all will join me for the ride. (With or without a big ol' turkey leg.)
Much Love,
# From the desk of Erin Kern
Dear Reader,
A few months ago, my editor put me on assignment to interview Avery Price. Little did I know that Avery would end up being the heroine of my latest book, LOOKING FOR TROUBLE. I got such a kick out of following her journey that led her to Trouble, Wyoming, and into the arms of Noah McDermott, that I jumped at the opportunity to revisit with her. What better way to spend my afternoon than having a heart-to-heart with the woman who started it all?
We settle on the patio of her home in the breathtaking Wyoming foothills. After getting seated, Avery pours me a glass of homemade lemonade.
**ME:** Thank you so much for taking the time to meet with me. I know how much you value your privacy.
**AVERY:** _(Takes a sip of lemonade, then sets her drinkdown.)_ Privacy is overrated. And I should be thanking you for making the drive out here.
**ME:** It's nice to get out of the city every once in a while. Plus it's beautiful out here. I can see why you chose this place.
**AVERY:** I'd say it chose me. _(Her lips tilt up in a wry little smile.)_ I actually didn't plan on staying here at first. But anonymity is something anyone can find here.
**ME:** Is that why you left Denver?
**AVERY:** _(Pauses a moment.)_ If I wore a pair of heels that were too high, it got commented on in the society pages. No one cares about that kind of thing here. It's refreshing to be able to be my own person.
**ME:** That's definitely a tempting way of life. Your family must miss you terribly, though. Are you planning on being an active part in your father's campaign?
**AVERY:** I'll always support my father no matter what he does, which he's almost always successful at. No matter what happens with the race, he'll always have the support of his children. But I've had my fill of the public eye. That life suits my parents and brother just fine. I think I'll leave the campaigning to them.
**ME:** That's right. Your brother, Landon Price, is one of the biggest real estate developers in Denver. Are you two close?
**AVERY:** We grew up pretty sheltered so the two of us were really all the other had. I'd say we're closer than your average brother and sister.
**ME:** Do you think your brother will be moving up here with you any time soon?
**AVERY:** _(She chuckles before answering.)_ Even though we're very close, my brother and I are very different people. He lives and breathes city life. Plus my parents aren't nearly as concerned with his activities as they are mine.
**ME:** Meaning?
**AVERY:** _(Pauses before answering.)_ Maybe because he has a different set of genitals? _(Laughs.)_ Who knows? For some reason they focus all their energy on me.
**ME:** Is that the reason you're not active in your father's business? Is this a rebellion?
**AVERY:** I wouldn't really say it's a rebellion. I made a decision that I thought best suited me. The corporate life isn't for me, anyway. I doubt I'd have anything valuable to offer. My father has enough VPs and advisers.
**ME:** _(I smile as I take my first sip of lemonade.)_ I've got to say, you are a lot more down to earth than I expected. And there are a lot of girls in this country who wished they were in your shoes.
**AVERY:** _(She lifts a thin shoulder beneath her linen top.)_ Everybody always thinks the grass is greener on the other side. Growing up in the public eye isn't for everyone. I've developed thick skin over the years. But I wouldn't change my life for anything.
**ME:** Well, I certainly appreciate you granting me this interview. Good luck with your father's campaign.
**AVERY:** Thank you. I'm going to grab a copy of the magazine when the article is printed.
# From the desk of Jami Alden
Dear Reader,
As I look back on the books I've written over the course of my career, I'm struck by two things:
1) I have a very twisted, sinister imagination, if my villains are anything to go by!
2) I love reunion romances.
Now in real life, if you ran into someone who was still hung up on her high school boyfriend and who held on to that person (consciously or not) as the one true love of her life, you might think she had a screw loose. Unless you've ended up with your high school or college sweetheart, most of us grow up and look back at those we dated in our youth—hopefully with fondness but sometimes with less affection. But rarely do we find ourselves pining for that boy we went to senior prom with.
So I wondered, why do I love this premise so much in romance? Well, I think I may have figured it out. In real life, for most of us, those early relationships run their natural course and fizzle out with little more than a whimper and a gasp.
But in romance novels, those relationships that start out with unbridled intensity end with drama and more drama and leave a wagonload of unfinished business for our hero and heroine. It's that lingering intensity, combined with the weight of unfinished business, that draw our hero and heroine together after so many years. So when they finally find themselves back in the same room together, the attraction is as undeniable as gravity.
When I was coming up with the story for GUILTY AS SIN, I found myself fascinated by the history between my hero, Tommy Ibarra, and my heroine, Kate Beckett. Caught up in the giddy turmoil of first love, they were torn apart amid the most excruciating and tragic circumstances I, as a parent, could ever imagine.
And yet, that intensity and unfinished business lingered. So when they're brought back together, there's no force on Earth that can keep them apart. Still, to say their road to true love is a rocky one is a huge understatement. But I hope in the end that you feel as I do. That after everything Tommy and Kate went through, they've more than earned their happily ever after.
Happy Reading!
# Contents
Cover
Title Page
Welcome
Dedication
Epigraph
Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Chapter 6
Chapter 7
Chapter 8
Chapter 9
Chapter 10
Chapter 11
Chapter 12
Chapter 13
Chapter 14
Chapter 15
Chapter 16
Chapter 17
Chapter 18
Chapter 19
Chapter 20
Chapter 21
Chapter 22
Chapter 23
Chapter 24
Chapter 25
Chapter 26
Chapter 27
Chapter 28
Chapter 29
About the Author
Also by Debra Webb
Praise for the Novels of Debra Webb
A Preview of _Ruthless_
A Preview of _Obsession_
The Dish
Newsletters
Copyright
# Copyright
This book is a work of fiction. Names, characters, places, and incidents are the product of the author's imagination or are used fictitiously. Any resemblance to actual events, locales, or persons, living or dead, is coincidental.
Copyright © 2013 by Debra Webb
Excerpt from _Ruthless_ copyright © 2013 by Debra Webb
Excerpt from _Obsession_ copyright © 2012 by Debra Webb
Cover design by Kendel
Cover copyright © 2013 by Hachette Book Group, Inc.
All rights reserved. In accordance with the U.S. Copyright Act of 1976, the scanning, uploading, and electronic sharing of any part of this book without the permission of the publisher is unlawful piracy and theft of the author's intellectual property. If you would like to use material from the book (other than for review purposes), prior written permission must be obtained by contacting the publisher at permissions@hbgusa.com. Thank you for your support of the author's rights.
Forever
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First ebook edition: July 2013
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ISBN 978-1-4555-2757-1
| {
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EVERTON TO SEND CLEVERLEY ON LOAN
Everton midfielder Tom Cleverley will have a medical at Watford on Thursday after the two clubs agreed a loan deal for the rest of the season.
The 27-year-old left Manchester United in 2015 to join the Toffees but has made only two appearances since 5 November.
Cleverley spent the 2009-10 season on loan with Watford, who were then in the Championship, winning the club's Player of the Season award.
He will join a Watford side who are winless in five Premier League games and are in the 14th position.
I'M HAPPY AT JUVENTUS: DYBALA
TRANSFER RUMORS: PATRICE EVRA TO SIGN FOR CRYSTAL PALACE | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 2,807 |
Galicyjski Pułk Piechoty Nr 58 (IR. 58) – pułk piechoty cesarskiej i królewskiej Armii.
Historia pułku
Pułk został utworzony w 1763 roku.
Okręg uzupełnień nr 58 Stanisławów na terytorium 11 Korpusu.
W latach 1830-1867 szefem pułku był arcyksiążę Stefan Wiktor, a po jego śmierci arcyksiążę Ludwik Salwator.
Drugimi szefami pułku byli: FML Franz Ignaz Maria Abele von Lilienberg (1830 – †17 XII 1861) i FML Alfred von Henikstein (1861 – †29 I 1882).
Kolory pułkowe: czarne, guziki srebrne.
Skład narodowościowy w 1914 roku 72% - Rusini,.
W 1873 pułk stacjonował w garnizonie Peszt, a batalion zapasowy w Stanisławowie. W latach 1903-1907 jednostka stacjonowała w garnizonie Przemyśl z wyjątkiem I batalionu detaszowanego w Stanisławowie. W 1908 dowództwo pułku i III batalion dyslokowano do Stanisławowa, a II batalion do Zaleszczyk. 4. batalion w latach 1908-1909 stacjonował w Budvie (wł. Budua), w latach 1910-1911 w Perzagno, a w latach 1912-1914, jako detaszowany w Fočy.
Do 1914 pułk (bez 4. batalionu) wchodził w skład 60 Brygady Piechoty należącej do 30 Dywizji Piechoty, natomiast 4. batalion był podporządkowany komendantowi 8 Brygady Górskiej należącej do 1 Dywizji Piechoty.
W czasie I wojny światowej pułk walczył z Rosjanami w Galicji. W grudniu 1914 w okolicach Bochni oraz Brzeska. Żołnierze pułku są pochowani m.in. na cmentarzach wojennych nr: 314 w Bochni, 310 w Leszczynie, 259 w Biskupicach Radłowskich oraz 30 w Święcanach.
Żołnierze
Komendanci pułku
płk Carl Ritter Schauer von Schröckenfeld (1873)
płk Ernst Mattanovic (1903-1907)
płk Mieczysław Zaleski (IV 1908 – VII 1912 → komendant 23 Brygady Piechoty w Krakowie)
płk Vinzenz Kuhn (1912 – 1913 → stan spoczynku, 1 III 1918 mianowany tytularnym generałem majorem)
płk Johann Konschegg (1913 – 1914)
Oficerowie
ppłk Franciszek Fabry
ppłk Zdzisław Załuski
płk Tadeusz Wiktor - komendant batalionu w Stanisławowie
mjr Anton Kraus (1911–1916)
kpt. Leo Bernatzik (1892–1909)
kpt. Władysław Glazór
kpt. Erwin Kossowski
kpt. Tadeusz Szałowski
por. Emil Ślusarczuk
por. rez. Franciszek Drwota
por. rez. Sylwester Stachiewicz
ppor. rez. Kazimierz Kubala
ppor. rez. Edward Pach
ppor. rez. Stanisław Sosabowski
chor. rez. Zygmunt Kubisz
Julian Sas-Kulczycki – jednoroczny ochotnik
lekarz sztabowy Ludwik Miłkowski-Baumbach (1912–1918)
Przypisy
Bibliografia
Österreich-Ungarns bewaffnete Macht 1900 - 1914
Austro-Hungarian Land Forces 1848-1918 By Glenn Jewison & Jörg C. Steiner
Galicyjskie pułki piechoty cesarskiej i królewskiej Armii
Cesarska i królewska Armia w Budvie (Budua)
Cesarska i Królewska Armia w Budapeszcie
Cesarska i Królewska Armia w Przemyślu
Cesarska i Królewska Armia w Stanisławowie | {
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} | 9,035 |
\section{Introduction}
\label{sec:intro}
The magnetic fusion community acquired its vast operational experience
and experimental knowledge of stability and confinement predominantly
from deuterium (D) -- and to some extent hydrogen (H) --
discharges. There is much less experience with the reactor relevant
deuterium-tritium mixture (DT), which has only been used in a limited
number of discharges in JET \cite{jacquinot99DT} and TFTR
\cite{strachan97}. Likewise, ITER \cite{ITERPB} will first operate
with He and H \cite{sips15}, and then with D, before starting its DT
operation. To be confident in our predictions for reactor-scale
devices, such as ITER, we therefore need to understand how various
physical processes are affected by changes in the isotope composition
of the bulk plasma.
In particular, the \emph{isotope scaling} of the energy confinement
has been a long-standing unresolved issue in the field
\cite{dong94,ernst98,bateman99,Tokar04,estradamila05,pusztai11isotope,bustos15,shen16,nakata16,guo17}.
The confinement in the plasma core is observed to be broadly consistent with turbulent transport predictions of gyrokinetic codes, see \nouncite{holland2016} and references therein. Multiscale gyrokinetics -- the theoretical foundation of these codes -- assumes characteristic fluctuation time and length scales that correspond to gyro-Bohm level fluxes.
Na\"{i}ve applications of the gyro-Bohm scaling predict an increased transport with increasing isotope mass. In contrast, the global energy confinement is experimentally observed to improve with increasing isotope mass\cite{bessenrodtWeberplas1993isotopeASDEX,hawryluk98,jacquinotJET99,scott95}.
The exact strength of this favorable isotope scaling varies greatly
between different operational regimes. As general trends, in Ohmic
and L-mode plasmas the isotope scaling of confinement is weak, while
H-mode D plasmas show a consistently higher confinement time than H
plasmas \cite{schissel89,jacquinotJET99,CMaggi2017JETIsotope}. Since
the H-mode features an edge transport barrier -- commonly referred to
as the \emph{pedestal} -- such differences between operational regimes
suggest that different mechanisms may be responsible for the isotope
scaling in the core and in the pedestal\cite{cordey99}; the latter
being the focus of this work.
In the pedestal, the plasma parameters can vary significantly over a
thermal orbit width, so that the transport at a given minor radius no
longer can be characterized by local profile values, but depends on
values at nearby radii. Such transport is said to be \emph{radially
global}, and simple dimensionally motivated or diffusive scaling
estimates, such as gyro-Bohm, may not be appropriate. The distance
over which the perturbed distribution function is radially coupled
scales with the thermal ion orbit width, which introduces a mass
dependence. In this paper we consider the impact of the radial
coupling on neoclassical heat, particle and momentum fluxes,
particularly in relation to isotope effects and characteristic
pedestal features, such as pedestal height and width.
Specifically, we study how characteristic features of pedestal density
profiles affect the radially global transport fluxes, by varying
pedestal properties of model profiles in simulations with different
isotopes. A self-consistent modeling of how the profiles themselves
are affected by changes in isotopic composition -- due to e.g.~atomic
physics processes \cite{maggi15,omotaniNF16}, magnetohydrodynamic
stability \cite{snyderNF11} and other processes -- is beyond the scope
of this study.
We solve a global $\delta f$ drift kinetic equation numerically using
the \textsc{Perfect}{}\cite{landreman12,landreman2014} solver. This tool
represents an intermediate step between the conventionally employed,
core-relevant local $\delta f$ codes \cite{Wong11,BelliNEO}, and the
generally valid, but computationally challenging full-$f$ approach
\cite{ChangLH}. \textsc{Perfect}{} allows density and potential profiles that
vary on ion orbit-width scales, while the linearization around a
Maxwell-Boltzmann distribution requires that the ion temperature
varies weakly over an ion orbit width and that the ion diamagnetic and
$E\times B$ flows nearly cancel in the large gradient region -- a
situation referred to as \emph{electrostatic ion confinement}, which
has been borne out in experimental results
\cite{viezzerASDEXped2015,theiler2017}.
The remainder of this paper is structured as follows: In
\autoref{sec:sim} we discuss the details of our modeling, starting by
explaining relevant aspects of the global $\delta f$ model. We then
discuss the choices made in setting up our model profiles, and finally
provide technical details on the magnetic geometry and
normalization. The presentation and interpretation of simulation
results is done in \autoref{sec:results}. In
\autoref{sec:speciesonflux}, we consider isotope mass effects on the
ion heat flux using a fixed set of baseline profiles, showing
increasing global effects with isotope mass due to an increasing orbit
width. We then consider the impact of changes in the pedestal density
profile in \autoref{sec:varyingprofiles}. We quantify the importance
of global effects on the ion heat flux by two parameters and study
their behavior in terms of profile features and bulk isotopes in
\autoref{sec:peakQ}. We find that the peak ion heat flux is mostly
reduced and it is shifted outwards by global effects, with a larger
possible reduction for heavier isotopes. Finally, we discuss species
and profile effects on particle and angular momentum transport in
\autoref{sec:gammapi}, and correlate momentum transport with heat
sources. Our results are then summarized in \autoref{sec:conc}.
\section{Modeling choices}
\label{sec:sim}
\subsection{Model}
\label{sec:restrict}
We solve the following global $\delta f$ drift kinetic equation
\cite{landreman2014}
\begin{equation}
\left( v_\| \vec{b} + \vec{v}_{d} \right) \cdot \nabla g
- C_l[g] = - \vec{v}_m \cdot \nabla f_M +S,
\label{ldkes}
\end{equation}
where $g = f-f_M+(Ze\Phi_1/T) f_M$ is the non-adiabatic perturbed
distribution, $f$ is the gyroaveraged distribution function,
$f_M=[m/(2\pi T)]^{3/2} \eta e^{-W/T}$ is a Maxwellian, $W = mv^2/2 +
Ze\Phi$ is the unperturbed total energy, $m$ and $Ze$ are the charge
and the mass of the species, with $e$ the elementary charge, $\eta= n
e^{Ze\Phi/T}$ is the pseudo-density, $n$ and $T$ are the density and
the temperature of the species, and $\Phi+\Phi_1$ is the total
electrostatic potential with a small perturbed component $\Phi_1$
defined such as to vanish on flux surface average. The flux surface
average density and pressure of the species are all contained in
$f_M$. In other words, any poloidal variations in plasma parameters
are treated as perturbations. Furthermore, $v_\| =
\vec{v}\cdot\vec{b}$, with $\vec{v}$ the velocity, $\vec{b} \equiv
\vec{B}/B$, with $\vec{B}$ the magnetic field and $B\equiv |\vec{B}|$;
$\vec{v}_{d} = \vec{v}_E + \vec{v}_{m}$ is the unperturbed drift
velocity, $\vec{v}_{m} = v_\|^2 \Omega^{-1} \nabla \times \vec{b}
+v_\perp^2 (2\Omega B^2)^{-1} \vec{B} \times \nabla B$ is the magnetic
drift velocity, $\vec{v}_E = B^{-2} \vec{B} \times \nabla \Phi_0
$ is the E$\times$B drift velocity; $\Omega = ZeB/m$ is the
gyrofrequency, and $\vec{v}_\perp = \vec{v} - v_\| \vec{b}$ is the
velocity perpendicular to $\vec{b}$. $C$ denotes the linearized
Fokker-Planck collision operator. The gradients are taken holding $W$
and the magnetic moment, $\mu = mv_\perp^2/(2B)$, constant. $S$ is a
source term, which accounts for both real sources (e.g.~ionization,
radiative energy loss) and possible divergence in the fluxes other
than those captured by our solution $g$ (e.g.~a radially varying
turbulent particle flux). We have omitted species indices to
streamline the notation; in cases where this leads to ambiguity, a
lower index $a$ will be used.
Equation~(\ref{ldkes}) is an approximation of the drift-kinetic
equation only when the distribution function is close to a
flux-surface Maxwell-Boltzmann distribution: $f/f_M-1\ll 1$. This
requires that the temperature $T$ and pseudo-density $\eta$ associated
with the Maxwellian do not vary significantly over a thermal orbit
width, while the density $n$ can vary sharply -- provided that
the electrostatic potential $\Phi$ is such that $\eta$ is slowly
varying. In practice these restrictions are only a concern for the
various ion species; thus, to avoid large deviations from Maxwellian
ion distributions, we consider ion profiles without ion temperature
pedestals. As $T_e$ and $\eta_e$ need only to be slowly varying on
an electron orbit width scale, they are allowed to be comparably sharp to
$n_e\sim n_i$ ($e$ and $i$ subscripts refer to electrons and bulk
ions). For more details on the self-consistent ordering considered
here the reader is referred to \nouncite{landreman2014,buller2017}.
\subsection{Input profiles}
\label{sec:input}
\begin{figure}
\input{n_cartoon.pdf_t}
\caption{\label{fig:input_sketch} The baseline density profile used
in this work, with profile parameters highlighted. }
\end{figure}
As we have seen in the previous section, even though there are
restrictions on the $T$ and $\eta$ profiles we are free to choose an
arbitrary density profile, which allows us to study the effects of
different density pedestals. For this purpose, we use model density
profiles based on the \emph{mtanh profile}
\cite{Beurskens11,frassinettiNF2017} which is often used to represent
the radial profile dependence of the pedestal. The mtanh profile
defines three regions: a \emph{core} region, where the density varies
over length scales comparable to the minor radius of the device; a
\emph{pedestal} region, where this variation is comparable to a
typical thermal ion orbit width; and a \emph{SOL} (Scrape-Off Layer)
region with very small gradients (to be discussed further in relation
to boundary conditions at the end of Sec.~\ref{sec:input}); see
\autoref{fig:input_sketch}.
Specifically, a generic mtanh plasma profile $X$ is given by
\begin{equation}
\begin{aligned}
&X = \frac{1}{2}\left[X_\text{ped} + X_\text{SOL} +
\frac{w}{2}\left\{\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{core}-\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{SOL}\right\}\right] \\ &
+\frac{\tanh{\left(x\right)}}{2}\left[X_\text{SOL} - X_\text{ped} -
\frac{w}{2}\left\{\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{core}+\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{SOL}\right\}\right] \\ &+
\frac{\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{core}(\psi_{N0}-\psi_0)\ensuremath{\mathrm{e}}^{-x} +
\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{SOL}(\psi_N-\psi_{N0})\ensuremath{\mathrm{e}}^{x}}{\ensuremath{\mathrm{e}}^{-x} +
\ensuremath{\mathrm{e}}^{x}},
\end{aligned}\label{eq:mtanh}
\end{equation}
where $x=\frac{(\psi_N - \psi_{N0})}{w/2}$ is a radial coordinate,
with $\ensuremath{\psi_N}=\psi/\psi_{\rm LCFS}$ being the normalized poloidal flux,
$2\pi\psi$ the poloidal magnetic flux (satisfying $|\nabla \psi|=R
B_{\rm P}$, with $R$ the major radius and $B_{\rm P}$ the poloidal
magnetic field), $\psi_{\rm LCFS}$ is the value of $\psi$ at the last
closed flux surface (LCFS), $\psi_{N0}$ the $\ensuremath{\psi_N}$-point in the
middle of the pedestal and $w$ characterizes the pedestal width.
Parameters $X_\text{Ped}$ and $X_\text{LCFS}$ represent the values of
the the asymptotic, linear core and SOL profiles extrapolated to the
pedestal top and the LCFS locations, respectively (marked with red
circles in \autoref{fig:input_sketch}), while $\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{core}$ and $\left.\tfrac{\d X}{\d
\psi_N}\right|_\text{SOL}$ are the asymptotic core and SOL
gradients.
In this work, we categorize our density pedestals in terms of four
parameters of common interest: $n_\text{Ped}$, $n_\text{LCFS}$; the
width in $\psi_N$, $w$; and the density gradient in the middle of the
pedestal, $\frac{\Delta n}{\Delta \psi_N}$. The former three
quantities appear directly in \eqref{eq:mtanh}, while the latter is
defined by the relation
\begin{equation}
n_\text{Ped} + \left(\frac{\Delta n}{\Delta \psi_N}\right) w -
n_\text{LCFS}= 0;
\label{eq:ped_relations}
\end{equation}
see also \autoref{fig:input_sketch} for a visual definition of the
four pedestal parameters.
We wish to investigate the dependence of transport on these pedestal
parameters. As the parameters are all related through
\eqref{eq:ped_relations}, we vary two of these parameters at a time,
while keeping the two remaining parameters fixed. This yields 6
different scans.
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{n.pdf}
\put(-403,135){\large a}
\put(-272,135){\large b}
\put(-142,135){\large c}
\put(-403,75){\large d}
\put(-272,75){\large e}
\put(-142,75){\large f}
\caption{\label{fig:n} Input profiles of $n_i$ in the various
scans: (a) \protect\scalebox{1}{$\frac{\Delta n}{\Delta \psi_N}$}{}-$w$, (b) \protect\scalebox{1}{$\frac{\Delta n}{\Delta \psi_N}$}{}-Ped, (c) \protect\scalebox{1}{$\frac{\Delta n}{\Delta \psi_N}$}{}-LCFS, (d)
$w$-Ped, (e) $w$-LCFS, (f) Ped-LCFS. Thinner lines correspond to
sharper or narrower pedestals in the scan.}
\end{figure*}
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{Phi.pdf}
\put(-298,135){\large a}
\put(-167,135){\large b}
\put(-37,135){\large c}
\put(-298,75){\large d}
\put(-167,75){\large e}
\put(-37,75){\large f}
\caption{\label{fig:Phi} Electrostatic potentials $\Phi$
corresponding to the $n_i$ profiles in
\autoref{fig:n}. Thinner lines correspond to sharper or narrower
pedestals in the scan.}
\end{figure*}
\begin{table}
\caption{\label{tab:n} Pedestal parameters corresponding to density
profiles in \autoref{fig:n}. The scanned parameters are
written with boldface letters.}
\begin{tabular}{l|l|l|l}\hline\hline
$w$ & $\protect\scalebox{1}{$\frac{\Delta n}{\Delta \psi_N}$}$ & $n_\text{Ped}$ & $n_\text{LCFS}$ \\\hline
\bf 0.0261 & \bf -24.5 & 0.7 & 0.06 \\
\bf 0.0522 & \bf -12.3 & 0.7 & 0.06 \\
\bf 0.104 & \bf -6.13 & 0.7 & 0.06 \\
\bf 0.157 & \bf -4.08 & 0.7 & 0.06 \\
\hline
0.0522 & \bf -24.5 & \bf 1.34 & 0.06 \\
0.0522 & \bf -12.3 & \bf 0.7 & 0.06 \\
0.0522 & \bf -6.13 & \bf 0.38 & 0.06 \\
0.0522 & \bf -4.08 & \bf 0.273 & 0.06 \\
\hline
0.0522 & \bf -12.3 & 0.7 & \bf 0.06 \\
0.0522 & \bf -6.13 & 0.7 & \bf 0.38 \\
0.0522 & \bf -4.08 & 0.7 & \bf 0.487 \\
\hline
\bf 0.0261 & -4.08 & \bf 0.167 & 0.06 \\
\bf 0.0522 & -4.08 & \bf 0.273 & 0.06 \\
\bf 0.104 & -4.08 & \bf 0.487 & 0.06 \\
\bf 0.157 & -4.08 & \bf 0.7 & 0.06 \\
\hline
\bf 0.0261 & -4.08 & 0.7 & \bf 0.593 \\
\bf 0.0522 & -4.08 & 0.7 & \bf 0.487 \\
\bf 0.104 & -4.08 & 0.7 & \bf 0.273 \\
\bf 0.157 & -4.08 & 0.7 & \bf 0.06 \\
\hline
0.0522 & -4.08 & \bf 0.273 & \bf 0.06 \\
0.0522 & -4.08 & \bf 0.593 & \bf 0.38 \\
0.0522 & -4.08 & \bf 0.7 & \bf 0.487 \\
0.0522 & -4.08 & \bf 1.4 & \bf 1.19 \\
\hline\hline
\end{tabular}
\end{table}
For our baseline density pedestal, we use the pedestal parameters
$\hat{n}_{\text{Ped}} = 0.7$, $w = 0.0522$, $\frac{\Delta
\hat{n}}{\Delta \psi_N} = -12.3$ and $\hat{n}_{\text{LCFS}} = 0.06$;
these values are comparable to those of the ASDEX Upgrade pedestal shown in
Fig.~1 of \nouncite{wolfrumASDEXped2015}. Here, $\hat{n}$ refers to
the density $n$ given in $\unit[10^{20}]{m^{-3}}$. Subsequent density
profiles were obtained by scaling two of the pedestal parameters about
the baseline value. The pedestal parameters for all scans are
displayed in \autoref{tab:n}, with the scanned values written in bold
letters. From these parameters, we construct mtanh density profiles,
shown in \autoref{fig:n}, where the different sub-figures correspond
to the various scans. These profiles all have the same asymptotic core
density gradient $\left.\frac{\ensuremath{\partial} \hat{n}}{\ensuremath{\partial}
\psi_N}\right|_\text{core} = -0.40616$ (again, similar to the
corresponding value in Fig.~1 of \nouncite{wolfrumASDEXped2015}), and
$\left.\frac{\ensuremath{\partial} \hat{n}}{\ensuremath{\partial} \psi_N}\right|_\text{SOL}$ is fixed at
zero.
\begin{figure}
\includegraphics{T.pdf}
\caption{\label{fig:T} The baseline $T_i$ (solid) and $T_e$ (dashed)
profiles.}
\end{figure}
As we cannot have a pedestal in the ion temperature profile, $T_i$ is
kept fixed at core-like gradients during the scan, as shown in
\autoref{fig:T}. The profile features a transition in $\nabla T_i$
centered around the pedestal top ($\psi_N \approx 0.96$ in \autoref{fig:T}), as
this feature is important for the qualitative behavior of both
in-flux-surface and cross-field fluxes\cite{buller2017}, and mimics
the change in gradients at the top of a real pedestal. The asymptotic
gradients are $\left.\frac{\ensuremath{\partial} \hat{T}_i}{\ensuremath{\partial} \psi_N}\right|_\text{core}
= -0.5$ and $\left.\frac{\ensuremath{\partial} \hat{T}_i}{\ensuremath{\partial} \psi_N}\right|_\text{SOL} =
-0.9$, and $\hat{T}_{i,\text{Ped}}=0.42$, where $\hat{T}$ denotes
temperature in units of $\unit[1]{keV}$.
The baseline electron temperature profile, $T_e$, is an mtanh profile
with the following parameters: $w=0.0522$, $\frac{\Delta
\hat{T}_e}{\Delta \psi_N} = -6.12$, $\hat{T}_{e,\text{Ped}}=0.42$,
and $\hat{T}_{e,\text{LCFS}} = 0.1$. In the scans, we change the
$T_e$ pedestal width to match that of $n_i$ in each case, while
$T_{e,\text{Ped}}$ and $T_{e,\text{LCFS}}$ are kept fixed. Similarly,
the transition in $\nabla T_i$ is moved to match the location of the
pedestal top, and its width is scaled when the pedestal width is varied. The
$T_i$ profile is otherwise kept fixed. The baseline $T_e$ and $T_i$ profiles
are shown in \autoref{fig:T}.
The potential, $\Phi$, is chosen to yield a slowly varying $\eta_i$:
specifically, $\eta_i$ is taken to be an $\rm{mtanh}$ profile
asymptotically equal to the $n_i$ profile in the core, and with core
and pedestal gradients equal to the $n_i$ core gradients -- the
resulting potentials are shown in \autoref{fig:Phi}. Although there
is some arbitrariness in choosing $\Phi$ this way, it yields an
electric field balancing the ion pedestal pressure gradient --
consistent with typical experimental observations
\cite{viezzerASDEXped2015,ASDEX_Er_from_ion_diamagnetic,theiler2017}.
Although the above profiles have a SOL region, the \textsc{Perfect}{} code
assumes closed field line topology. Rather than a physical SOL, these
regions should be thought of as a numerical buffer zone, such that the
radial boundary conditions we impose on the global drift-kinetic
equation do not affect the results in the pedestal. Accordingly we
do not show results in this region, because they are not physically
meaningful. In this region we set the gradients to be low, so that the
local solution can be used as a boundary condition at both radial
boundaries where particle trajectories enter the domain.
\subsection{Magnetic geometry}
\label{sec:maggeo}
For the magnetic geometry, we use a model Miller equilibrium
\cite{miller98} with the radially constant parameters: $\kappa =
1.58$, $\delta = 0.24$, $s_\delta = 0.845$, $s_\kappa = 0.479$, $\d
R/\d r = -0.14$, $q=3.5$. Here, $\kappa$ is the elongation, $\delta$
is the triangularity, and $s_\kappa$ and $s_\delta$ quantify the
radial variation of these parameters; $R$ is the major radius, $r$ the
minor radius and $q$ the safety factor.
The radially uniform magnetic geometry, together with the weakly
varying ion temperature profiles, means that the thermal ion
orbit-width is approximately constant throughout the pedestal. Thus,
the radial coupling length of a given species is close to constant in
the simulation domain, providing a simple setting to investigate
global effects. In reality, magnetic geometry parameters can change
significantly across the pedestal, which would both change the
magnitude and correlation length of the neoclassical transport in the
vicinity of the separatrix. However, our results should be
qualitatively correct in more complicated geometries, as long as the
radial coupling length continues to scale with isotope mass.
In scans affecting the pedestal width we keep the LCFS location fixed
and move only the pedestal top location.
\subsection{Normalization of simulation outputs}
\label{sec:norm}
Quantities with a hat are normalized to a reference quantity, $\hat{X}
= X/\bar{X}$. The reference quantities used in this work are
$\bar{R}=\unit[1.51]{m}$, $\bar{B}=\unit[3.00]{T}$,
$\bar{n}=\unit[10^{20}]{m^{-3}}$, $\bar{T}=e\bar{\Phi}=\unit[1]{keV}$,
$\bar{m}=m^{}_\text{D}$, where $m^{}_\text{D}$ is the mass of deuterium.
From these, we define a reference speed as
$\bar{v}=\sqrt{2\bar{T}/\bar{m}}$, and the dimensionless constant
$\Delta= \bar{m}\bar{v}/(\bar{e}\bar{B}\bar{R})\ll 1$, which is
representative of the normalized gyroradius. Specific normalizations
are as follows: particle flux, $\hat{\vec{\Gamma}}_a = \int d^3v g_a
\vec{v}_{ma}/(\bar{n}\bar{v})$; radial flux of co-current toroidal
angular momentum (divided by mass), $\hat{\vec{\Pi}}_a = \int d^3v g_a
v_\parallel I \vec{v}_{ma}/(\bar{n}\bar{v}^2\bar{R} B)$, with
$I(\psi)=RB_{\rm T}$ and $B_{\rm T}$ the toroidal magnetic field; heat flux,
$\hat{\vec{Q}}_a =\int d^3v g_a m_a v^2\vec{v}_{ma}/(2
\bar{T}\bar{n}\bar{v})$, that is related to the conductive heat flux
by $\hat{\vec{q}}_a =\hat{\vec{Q}}_a -
(5/2)\hat{T}\hat{\vec{\Gamma}}_a$; and sources $\hat{S}_a =
\bar{v}^2\bar{R} S_a/(\Delta\bar{n}\hat{m}_a^{3/2})$. In addition, we
define the normalized scalar radial particle flux
\begin{equation}
\hat{\Gamma}_a = \frac{\hat{V}'}{\Delta^{2}\pi\bar{R}\bar{B}}
\langle \hat{\vec{\Gamma}}_a \cdot \nabla \psi\rangle,
\label{normalizedflux}
\end{equation}
and analogously the scalar heat and angular momentum fluxes, where we
introduced the normalized incremental volume $\hat{V}' =
(\bar{B}/\bar{R}) d_\psi V $, with $V(\psi)$ the volume within the
flux surface $\psi$, and the flux surface average is denoted by
$\langle\cdot\rangle$.
\section{Simulation results}
\label{sec:results}
\subsection{Species effects on ion energy flux}
\label{sec:speciesonflux}
In an experiment, changing the bulk ion species causes modifications
to all plasma parameter profiles across the radius. Furthermore,
different quantities can be kept fixed in a species scan (e.g.~total
heating power, average density, etc.), while others change. Here, we
intend to isolate the direct effect of the species from such indirect
effects. Thus we keep all plasma parameter profiles fixed, as
specified in the previous section (line 2 in \autoref{tab:n}), and
perform both radially local and global simulations with various
hydrogen isotopes: protium (H, which we will simply refer to as
hydrogen), deuterium (D) and tritium (T). Out of these, tritium has
the largest orbit width, and is hence expected to show the largest
differences between the local and global models for a fixed pedestal.
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{heat_flux.pdf}
\put(-300,67){\large H}
\put(-170,67){\large D}
\put(-40,67){\large T}
\caption{\label{fig:baseQi} Normalized ion heat flux $\hat{Q}_i$ for
the baseline profile (blue in \autoref{fig:n}) in H, D and T
plasmas. Solid (dashed) curves are from global (local)
simulations.}
\end{figure*}
The resulting ion heat fluxes $Q_i$ for the different isotopes are
displayed in the panels of \autoref{fig:baseQi}, where the solid
(dashed) curves correspond to global (local) results, and vertical
lines indicate the nominal location of the pedestal top. As expected,
the deviation between local and global results is the weakest in the H
simulation. This is apparent in two ways: global effects persist for a
shorter distance into the near-pedestal core -- owing to the shorter
radial coupling length that scales with orbit width -- and the
difference at a given radius is typically smaller than for the heavier
isotopes. In particular the global \emph{pedestal peak-value} (PPV),
which is the global maximum value inside the pedestal, is closer to
the local peak value. (The PPV will be used later to characterize
differences in scans. ) In comparison, for the heavier isotopes, the
global PPV is further reduced compared to the local one, and global
effects persist further into the core.
The deviation between local and global results is not a monotonic
function of the local gradient, rather it appears as a strongly damped
oscillation that dies away as we move further into the core. In this
example it happens to lead to a local minimum in the global $Q_i$ in
the near-pedestal core, for instance, as observed around $\psi_N=0.94$
for $Q_\text{D}$ in \autoref{fig:baseQi}. Estimating the
coupling-length $r_i$ as the distance from the pedestal top where the
global and local values intersect for the first time, we get
$r_\text{H} = 0.022$, $r_\text{D} = 0.033$, and $r_\text{T} = 0.042$,
which appears to have a mass-scaling $r \propto m^{0.56}$, which
appears consistent with thermal orbit width scaling, $r \propto
m^{1/2}$. Interestingly, the global $Q_i$ inside the pedestal is rather
similar between the three isotopes, even though the local flux
increases due to $\nu_{ii}\rho_i^2 \propto m^{1/2}$ (this random walk
estimate of diffusive transport includes the ion self-collision
frequency $\nu_{ii}$, and the thermal ion Larmor radius $\rho_i$).
\subsection{Varying pedestal profiles}
\label{sec:varyingprofiles}
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{heat_fluxD.pdf}
\put(-403,135){\large a}
\put(-272,135){\large b}
\put(-142,135){\large c}
\put(-403,75){\large d}
\put(-272,75){\large e}
\put(-142,75){\large f}
\caption{\label{fig:QD} Deuterium heat flux normalized as
$\hat{Q}_D/\hat{n}_{\rm Ped}^2$ from deuterium simulations using
the profiles in \autoref{fig:n}. Solid (dashed) curves are from
global (local) simulations. Thinner lines correspond to
sharper or narrower pedestals in the scan.}
\end{figure*}
Next, we consider the qualitative changes in the ion heat flux
$\hat{Q}_i$ when the pedestal profiles are modified as in the scans
shown in \autoref{fig:n}. Here we will keep the isotope fixed. The
deuterium heat flux $\hat{Q}_{\rm D}$ calculated for the different
input profiles of \autoref{fig:n} is shown in \autoref{fig:QD}, where
again, local simulations are indicated by dashed lines. The
dimensionless heat flux $\hat{Q}$ is divided by $\hat{n}_{\rm Ped}^2$,
to compensate for its expected density scaling in the banana regime,
and so assist the comparison of the results.
In \autoref{fig:QD}a, corresponding to an increasing pedestal width at
fixed pedestal top density, we see how the fluxes become increasingly
more local as the pedestal gets wider and the pedestal gradient
decreases. The result for the narrowest profile (black) yields
significant global effects in the near-pedestal core (with a minimum
at around $\psi_N=0.95$), although the absolute effect on the PPV is
not larger than for the baseline profile result (blue).
\autoref{fig:QD}b corresponds to a pedestal height scan for fixed
pedestal width, producing the same representative pedestal gradients
as those in the \autoref{fig:QD}a scan. One crucial difference is that
while the maximum electric field in the pedestal decreased
significantly as the pedestal width increased, it remains less
affected in this scan (compare the slopes in \autoref{fig:Phi}a and
b), as here $\partial_\psi \ln n$ does not change strongly, except
near the LCFS, since $\ensuremath{n_{\rm LCFS}}$ is kept fixed. As the \autoref{fig:n}b
profiles are more similar to each other in this sense, we see less
pronounced variation in the difference between local and global
fluxes. If anything, the difference is somewhat larger in the cases
with lower pedestal top density, curiously. This may be a consequence
of keeping the ion temperature fixed in this scan: when the global effects due to
the $n$ are reduced, global effects due to $T_i$ may become
increasingly important, and these are perhaps not captured in the
$\ensuremath{n_{\rm Ped}}$ normalization.
In the case shown in \autoref{fig:QD}c the pedestal width and pedestal
top density are kept fixed, while the $\ensuremath{n_{\rm LCFS}}$ is modified leading to a
variation in density gradient. The resulting density gradients are the
same as for the baseline profile and the reduced gradient cases in
\autoref{fig:n}a, with the largest gradient pedestal displaying the largest
global effects. As the $\ensuremath{n_{\rm LCFS}}$ increases, the maximum of the fluxes --
both local and global -- is shifted outward.
In \autoref{fig:QD}d-e, we study the influence of pedestal width using
profiles with maximum gradients similar to that in the widest pedestal
of \autoref{fig:n}a. In \autoref{fig:QD}d we show simulations with
fixed $\ensuremath{n_{\rm LCFS}}$, which implies that $\ensuremath{n_{\rm Ped}}$ increases with $w$. While the
wide pedestal cases are rather close to local behavior, the thin
pedestal results become surprisingly strongly non-local. This may
partly be due to the large electric field in that case (compare the
slopes in \autoref{fig:Phi}d), and the fact that $\partial_\psi \ln n$
reaches higher values in the small pedestal (as $\partial_\psi \ln n$
is largest in the middle of our model pedestals). Finally, it could
also be related to more abrupt radial changes in the profile that
give rise to strong sources.
However, the latter cause alone is not sufficient to generate large
deviations from the local behavior, as seen from the results keeping
the pedestal top density fixed in \autoref{fig:QD}e. In this scan the
deviations between local and global results are comparable for all
$\ensuremath{n_{\rm LCFS}}$ values, despite the larger (but still small) logarithmic
gradient for the narrower profile. This similarity could be a result
of the similar electric fields in these cases (consider the slopes in
\autoref{fig:Phi}e).
In the last scan, shown in \autoref{fig:QD}f, we keep the pedestal
width and the gradient fixed, but shift $\ensuremath{n_{\rm LCFS}}$ and $\ensuremath{n_{\rm Ped}}$
simultaneously. The case with the lowest density -- that has the most
realistic pedestal shape -- has the highest $\partial_\psi \ln n$ and
the strongest radial electric field and, as expected, it exhibits the
strongest deviation between the local and global results. As the
density is increased we observe the location of the maximum flux to
shift outward in both the local and the global results. This shift is
caused by the lower relative drop in density across the pedestal in
the higher density cases, noting that the local flux depends on the
local density instead of $\ensuremath{n_{\rm Ped}}$.
\subsection[Peak heat flux for various pedestals and isotopes]{Peak heat flux and its location for various pedestals and isotopes}
\label{sec:peakQ}
\begin{figure*}
\includegraphics[width=1.0\textwidth]{2diffQmax.pdf}
\put(-10,95){\large H}
\put(-10,62){\large D}
\put(-10,30){\large T}
\put(-236,105){\large a}
\put(-135,105){\large b}
\put(-34,105){\large c}
\put(-236,67){\large d}
\put(-135,67){\large e}
\put(-34,67){\large f}
\put(-236,39){\large g}
\put(-135,39){\large h}
\put(-34,39){\large i}
\caption{\label{fig:diffPPV} Relative deviation
between global and local peak heat flux values in the pedestal. Ion
species is H (a-c), D (d-f), T (g-i). Representative values of
(a,d,g) ratio of orbit width and density scale length, (b,e,h)
ratio of orbit width and pedestal width, (c,f,i) ratio of
the density drop across the pedestal and the average pedestal density.}
\end{figure*}
\begin{figure*}
\includegraphics[width=1.0\textwidth]{2diff_Qmax-psiN2.pdf}
\put(-10,95){\large H}
\put(-10,62){\large D}
\put(-10,30){\large T}
\put(-236,105){\large a}
\put(-135,105){\large b}
\put(-34,105){\large c}
\put(-236,67){\large d}
\put(-135,67){\large e}
\put(-34,67){\large f}
\put(-236,39){\large g}
\put(-135,39){\large h}
\put(-34,39){\large i}
\caption{\label{fig:diffpsiN} Relative deviation between global and local peak
heat flux locations in the pedestal relative to the pedestal
width. Ion species is H (a-c), D (d-f), T (g-i). Representative
values of (a,d,g) ratio of orbit width and density scale length,
(b,e,h) ratio of orbit width and pedestal width, (c,f,i) ratio of
the density drop across the pedestal and the average pedestal density.}
\end{figure*}
As we have seen in \autoref{sec:varyingprofiles}, the changes in heat
flux profiles in response to changes in pedestal parameters are rather
complex; in particular the strength of global effects may not follow
intuitively expected trends. To quantify the profile and isotope
effects identified in the previous sections, we extract the Pedestal
Peak Values (PPVs) of $Q_i$ and the $\psi_N$ location of these
peaks. The significance of the PPV heat flux lies in the fact that it
represents a lower bound on the total heat flux, and that in some
experiments the total ion energy flux is close to neoclassical
predictions \cite{viezzerheatflux}. Since we are mainly interested in
deviations from the local theory, we define $\ensuremath{\Delta_{\text{GL}}} X = X_\text{G} -
X_\text{L}$: the difference in parameter $X$ between a global and a
corresponding local simulation. \autoref{fig:diffPPV}, shows the
relative difference between local and global ion heat flux PPVs
$\Delta_Q\equiv (\ensuremath{\Delta_{\text{GL}}}
\hat{Q}_{i,\text{PPV}})/\hat{Q}_\text{i,\text{PPV},\text{L}}$ for
different ion species (rows of sub-figures) against different
parameters (columns of sub-figures).
Global effects arise when some radial profile length scale
$L_X=-|\nabla \ln X|^{-1}$ becomes comparable with the orbit width
$w_{\rm o}^{(r)}$, that is $\delta_X=w_{\rm
o}^{(r)}/L_X=\mathcal{O}(1)$. In our case it is the density for
which this happens, thus it is instructive to measure the magnitude of
global effects against $\delta_n$. A representative value of the
maximum $\delta_n$ in the profile is given by $\delta_n^\ast=(w_{\rm
o}/n_0) \frac{\Delta n}{\Delta \psi_N}$, where $w_{\rm o}=
R\frac{\sqrt{2\epsilon mT}}{Ze \psi_a}$ is a typical trapped orbit
width measured in $\psi_N$ (in contrast with $w_{\rm o}^{(r)}$ that
has the dimension of length), with $\psi_a$ denoting $\psi$ at the
LCFS, and $n_0 = (n_\text{Ped} + n_\text{LCFS})/2$ is the average
pedestal density. Note that the density length scale is typically
comparable to the pedestal width $w$, but these quantities can, in
general, differ significantly, as is the case in our scans. To take an
extreme example, in the scan shown in \autoref{fig:n}f, even though
$w$ and the density gradient are constant, the logarithmic density
gradient, and thus the density scale length, change significantly due
to changes in the density. It is thus also interesting to consider the
effect of the ratio between the orbit width and the pedestal width,
$w_{\rm o}/w$, as another possible indicator of globality. For
completeness, we also consider the effect of $\Delta n/n_0$. The three
parameters considered are chosen such that they increase for pedestals
where stronger global effects are expected, and can be related to each
other by
\begin{equation}
\delta_n^\ast = \frac{w_{\rm o}}{w} \frac{\Delta n}{n_0}.
\end{equation}
The \ensuremath{\delta_n^\ast}{} dependence of the relative variation of the PPV ion heat
fluxes, $\Delta_Q$, is shown in the first column of
\autoref{fig:diffPPV}. Below a certain \ensuremath{\delta_n^\ast}{} ($\approx 0.2$, but
increasing with isotope mass) global effects tend to increase $Q_i$
($\Delta_Q>0$), while $\Delta_Q$ remains below $0.1$. As \ensuremath{\delta_n^\ast}{} is
increased, global effects start to lead to a reduction $Q_i$. The
observed $\Delta_Q$ values here occupy a range between $0$ and some
negative envelope. This envelope first increases in magnitude with
\ensuremath{\delta_n^\ast}{} then it goes to saturation. Both the $\ensuremath{\delta_n^\ast}{}$ value where
this saturation occurs, and the corresponding maximum relative
reduction in the heat flux, increase with isotope mass. The saturation
is observed at $\ensuremath{\delta_n^\ast}\approx 0.3$ ($\ensuremath{\delta_n^\ast}\approx 0.6$) with a value
$\Delta_Q\approx -0.12$ ($\Delta_Q\approx-0.22$) for H (T). It is
worth pointing out that the na\"{i}vely expected mass scaling through
the orbit width is already accounted for by defining $\ensuremath{\delta_n^\ast}\propto
w_{\rm o}$. That the maximum reduction of $Q_i$ due to global effects
is larger for the heavier isotopes represents a favorable trend with
isotope mass.
Some of the symbols in \autoref{fig:diffPPV} are color coded. The
pedestal with the largest \ensuremath{\delta_n^\ast}{} (with the highest logarithmic
gradient) is black. Shades of red correspond to decreasing \ensuremath{\delta_n^\ast}{}
from its maximum value by increasing the average pedestal density
while keeping the pedestal gradient and the pedestal width fixed
(similar to \autoref{fig:n}f). In such a scan, $\Delta_Q$ increases
slowly and monotonically as a function of \ensuremath{\delta_n^\ast}{}. Shades of blue
correspond to decreasing \ensuremath{\delta_n^\ast}{} by making the pedestal wider, while
keeping the pedestal top and the LCFS densities fixed (similarly to
\autoref{fig:n}a). These cases are closer to the lower envelope of the
$\Delta_Q$ range, which exhibits the saturation. Purple shades
correspond to a scan in which both the pedestal width and the average
density are changed, as a superposition of the above mentioned extreme
cases.
It is interesting to examine, whether one of the factors in $\ensuremath{\delta_n^\ast}$,
namely $w_\text{o}/w$ or $\Delta n/n_0$, is more strongly correlated
with global effects than the other, or even with $\ensuremath{\delta_n^\ast}$. We find
that the correlation of $\Delta_Q$ with $w_\text{o}/w$ is less clear
than it was for \ensuremath{\delta_n^\ast}{}, as seen in the second column of
\autoref{fig:diffPPV}. We see that at low values of $w_\text{o}/w$ the
global effects are weaker in magnitude, but in general we find large
scatter in the results for a given value of $w_\text{o}/w$.
Finally we consider the effect of $\Delta n/n_0$, shown
in the last column of \autoref{fig:diffPPV}. As mentioned, at lower
values of this parameter $Q_i$ is increased by the global
effects. When $\Delta n/n_0>0.8$, we mostly see negative
values of $\Delta_Q$ with a large scatter and no clear trends.
As another measure of global effects besides $\Delta_Q$, we may also
consider the difference in the $\psi_N$ locations of the peaks between
global and local heat flux results, which we denote by
$\Delta_\psi$. Unless there is a substantial radiative energy loss in
the pedestal, with sharp radial variation, the location of the maximum
neoclassical heat flux should approximately coincide with the region
of strongest reduction in the ion scale turbulent fluctuation levels,
which in turn, may be measurable with certain fluctuation
diagnostics. Positive values of $\Delta_\psi$ indicate that the global
neoclassical heat flux peaks at a larger radius than the local
flux. To be able to sensibly compare effects in pedestals with
different width $w$ we show $\Delta_\psi/w \in [-1,1]$ in
\autoref{fig:diffpsiN}.
We find that the location of the PPV heat flux is shifted outward in
most cases, as seen in the first column of
\autoref{fig:diffpsiN}. However, there are a few cases when it is
shifted inwards. With increasing \ensuremath{\delta_n^\ast}{} the positive range of
$\Delta_\psi/w$ values increases up to the \ensuremath{\delta_n^\ast}{} where the
saturation of $\Delta_Q$ occurred, then the range shrinks again. As
the \ensuremath{\delta_n^\ast}{} point where the trend in the $\Delta_\psi/w$ changes
increases with isotope mass, the maximum possible $\Delta_\psi/w$
value is also significantly larger for heavier isotopes.
The second column of \autoref{fig:diffpsiN} shows the $w_0/w$
dependence of $\Delta_\psi/w$. Although in most of the cases we see
only a weak positive shift, there are significant shifts of the heat
flux peak location towards the separatrix; and the range of
$\Delta_\psi/w$ keeps increasing with $w_0/w$. This approximate
proportionality of the envelope of the $\Delta_\psi/w$ data to
$w_0/w$ is related to the appearance of the $1/w$ factor in both
quantities. Reducing the pedestal width (i.e.~increasing $w_0/w$) can
sharpen the pedestal, which would intuitively make non-local effects
stronger, while the observed increase in the maximum relative shift
$\Delta_\psi/w$ is consistent with the trivial effect from the $1/w$
factor.
The effect of $\Delta n/n_0$ on $\Delta_\psi/w$ is shown in the third
column of \autoref{fig:diffpsiN}. We see a few inward shifts of the
peak $Q_i$ location, but mostly find outward shifts. We observe the
strongest outward shift for all species somewhat above $\Delta
n/n_0=0.94$, and at higher values of $\Delta n/n_0$ we see a
decreasing trend in the maximum outward shifts. Interestingly the rate
of this reduction is faster in heavier isotopes. The largest outward
shift is only $\approx 2$ times higher for H than the shift in
the largest \ensuremath{\delta_n^\ast} simulation at $\Delta n/n_0\approx 1.68$ (black symbols),
in contrast to the factor of $\approx 11.9$ difference between the corresponding
pair of points for T. This may relate to the curious fact that when
the pedestal width is decreased for fixed $\Delta n/n_0\approx 1.68$
(symbols with blue shades) the relative outward shift of the $Q_i$
peak is increasing for sharper pedestals for H, while for T the
$\Delta_\psi/w$ points in this scan almost overlap, due to the lower
envelope.
\begin{figure}
\includegraphics{2diff_Qmax-vs-QpsiN.pdf}
\put(-30,122){\large H}
\put(-30,80){\large D}
\put(-30,40){\large T}
\caption{\label{fig:diffQPPV_vs_psiN} $\Delta_Q$ plotted against
$\Delta_\psi/w$ for different isotopes.}
\end{figure}
Next we consider possible correlations between $\Delta_Q$ and
$\Delta_\psi/w$; these quantities are plotted against each other in
\autoref{fig:diffQPPV_vs_psiN}. Although we observe that $\Delta_Q$
tend to be negative for the highest values of $\Delta_\psi/w$, and
positive for the highest negative values of $\Delta_\psi/w$, we do not
see a clear correlation between these quantities. It is interesting
though, that the three color coded scans show different behaviors for
the various species. In particular the highest \ensuremath{\delta_n^\ast}{} pedestal
(black symbols) becomes close to the observed maximum $\Delta_Q$ value
when going from H to T, while $\Delta_\psi/w$ is significantly
reduced.
\subsection{Particle and momentum fluxes}
\label{sec:gammapi}
Unlike in the plasma core, due to the presence of strong gradients,
neoclassical particle transport can be non-negligible in the pedestal,
in the sense that $T\Gamma_i \sim Q_i$, even if impurities are only
present in trace quantities.
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{particle_flux.pdf}
\put(-300,67){\large H}
\put(-170,67){\large D}
\put(-40,67){\large T}
\caption{\label{fig:baseGamma} Normalized particle flux
$\hat{\Gamma}$ for the baseline profile (blue in \autoref{fig:n})
in H, D and T plasmas. Solid (dashed) curves are from global
(local) simulations.}
\end{figure*}
In previous studies
\cite{landreman2014,pusztai2016perfect,buller2017}, the global drift
kinetic equation (\ref{ldkes}) has usually been solved together with
the constraints $\langle \int d^3v g\rangle=\langle \int d^3v \,v^2
g \rangle=0$, to obtain the radial dependence of two components of $S$,
corresponding to particle and energy sources. However, $S$ did not
contribute to the angular momentum balance. This method, in general,
does not lead to ambipolar fluxes, $\sum_a Z_a e\, \Gamma_a=0$. In the
current work we allow for an additional component in $S$,
corresponding to an angular momentum source, and this degree of
freedom is used to enforce ambipolarity, as explained in \appref{app:sources} and in Appendix C of Ref.~\citenum{buller2017}.
Accordingly, the particle fluxes shown in
\autoref{fig:baseGamma} are the same for ions and electrons. Note that
the peak particle fluxes reach values of $\hat{\Gamma}\approx 0.31$,
that is indeed comparable to $\hat{Q}$ in \autoref{fig:baseQi}. Thus,
a significant fraction of the energy flux is convective (while it is
often assumed to be dominantly conductive
\cite{pusztai10,kagan10PPCF,catto13}).
Like the energy flux, the deviation between local and global particle
fluxes increases with isotope mass. While the global effects are quite
weak for H, we find a non-negligible increase in the peak value of
$\hat{\Gamma}$, and an even more pronounced reduction inside the
pedestal top for T. Thus, a significant part of the global reduction
of $\hat{Q}$ in the near-pedestal core is due to a reduced convective
heat flux, while the reduction of $\hat{Q}$ in the pedestal
corresponds to a slight increase in convective and a stronger decrease
in conductive heat flux. The tritium particle flux even changes sign
at $\psi_N\approx 0.94$. Note that the global modifications to the
particle flux are similarly strong for electrons, since the fluxes are
ambipolar. This strong non-local behavior for electrons depends on
whether and how ambipolarity is enforced, i.e.\ it is not a result of
direct orbit width effects, which are negligible for electrons. The
question of ambipolarity and momentum sources in relation to the
particle transport are discussed in \appref{app:sources}. The specific
choices made here are not expected to have major impact on the results
of the previous section, as the peak value of the particle flux is
less sensitive than the that of the ion heat flux with respect to the
ion mass; that is, the isotope dependence of the heat flux is
dominated by the conductive component.
\begin{figure}
\includegraphics{particle_mix_flux2.pdf}
\put(-30,92){\large a}
\put(-30,47){\large b}
\caption{\label{fig:mixGamma} Normalized particle fluxes
$\hat{\Gamma}$ for the baseline profile with 1:1 D-T mixture. Blue
(red) are deuterium (tritium) fluxes. (a): momentum sources
proportional to particle mass; (b): ambipolarity enforced without
electron momentum sources, ion momentum sources proportional to
their mass. Solid (dashed) curves are from global (local)
simulations.}
\end{figure}
Nevertheless, different isotopes having different particle fluxes has
potential implications for mixtures in the form of isotope
separation. For instance the ion concentrations in a D-T fusion plasma
can shift away from the ideal 1:1 ratio. That different isotopes in a
mixture are transported differently has long been known, see
e.g.\ \nouncite{connor1973} for analytic theory relevant to the local banana-regime.
To investigate how this is modified by global effects, we performed
simulations of H-D and D-T 1:1 mixtures, with the ion densities taken
as half the baseline electron density. \autoref{fig:mixGamma} depicts the resulting particle fluxes. As the global fluxes depend on how ambipolarity is restored, we performed simulations with electron sources, similar to the pure simulations (\autoref{fig:mixGamma}a), and without electron sources (\autoref{fig:mixGamma}b).
We first consider the local particle fluxes (dashed lines, which are
the same in both \autoref{fig:mixGamma}a and b). In the core the
electron flux is small, thus the ion components are transported in
opposite directions; the D (T) flows are inward (outward). As the
electron profile gradients increase towards the pedestal and
$\Gamma_e$ becomes non-negligible (and outward) both D and T are
transported outward but on different rates; the T flux being
larger. Finally, as the ion collisionality decreases towards the edge
(due to the strong density drop and flat ion temperature profile), the D
and T fluxes get closer to each other.
Sufficiently far from the pedestal the global simulation results
approach the local ones, while closer to the pedestal ($\psi_N \approx 0.92$) the deuterium and tritium fluxes approach each other, and then diverge from each other. Inside most of the pedestal the T flux is even larger than that in the local simulation, while the D flux is somewhat lower, increasing the disparity between these fluxes. These features occur independently of whether electron momentum sources are allowed or not.
In the simulations with electron momentum sources the
individual ion fluxes for the two isotopes resemble the corresponding
single species results; compare to the last two panels of
\autoref{fig:baseGamma}). In the simulation with no electron momentum
sources, they should add up to produce the approximately local
electron result, therefore the deviations from their local results has
to mirror each other. This has the most significant effect in the near
pedestal core, especially for the D flux: while it changes sign around
$\psi_N \approx 0.94$ with electron momentum source, it remains
positive without it. Regardless of these details, as the isotopes are
transported differently in both local and global simulations with a
larger outward T flux, they are prone to develop different density
profiles in experiments, and their fueling may need to be adjusted to
optimize the isotope ratio in the deep core.
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{momentum_flux.pdf}
\put(-300,67){\large H}
\put(-170,67){\large D}
\put(-40,67){\large T}
\caption{\label{fig:basePi} Normalized total angular momentum flux
$\hat{\Pi}$ for the baseline profile (blue in \autoref{fig:n}) in
H, D and T plasmas. Solid (dashed) curves are from global (local)
simulations.}
\end{figure*}
As for the angular momentum transport, it cannot be sensibly evaluated
in the lowest order local theory as it is a higher order
effect. Indeed, in our local simulations the angular momentum
transport evaluates to zero. However, as it was pointed out in
Ref.~\citenum{eps2016_4page}, momentum transport in the pedestal due
to finite orbit width effects is not only non-negligible, but it
translates to experimentally relevant Prandtl number estimates.
\begin{figure*}
\hspace*{-0.2\textwidth}\includegraphics{momentum_fluxD.pdf}
\put(-298,135){\large a}
\put(-167,135){\large b}
\put(-37,135){\large c}
\put(-298,75){\large d}
\put(-167,75){\large e}
\put(-37,75){\large f}
\caption{\label{fig:PiD} Angular momentum flux normalized as
$\hat{\Pi}_D/\hat{n}_{\rm Ped}^2$ from deuterium simulations using
the profiles in \autoref{fig:n}. Solid (dashed) curves are from
global (local) simulations. Thinner lines correspond to
sharper or narrower pedestals in the scan.}
\end{figure*}
First we consider the isotope scaling of momentum transport for our
baseline profiles, shown in \autoref{fig:basePi}. As expected, the
local values are identically zero, while we find an inward flux of
co-current (i.e.~ion-diamagnetic direction) angular momentum inside
the pedestal, and a somewhat weaker outward flux in the near-pedestal
core. In the simulations the radial variation of these momentum fluxes
is balanced by momentum sources. (Note that qualitatively similar
momentum fluxes were reported \cite{buller2017} in simulations without
momentum sources, where a torque from finite radial currents played
the role of momentum sources). Observe that, according to our
definition of $\hat{\Pi}$ given above Eq.~(\ref{normalizedflux}), the
angular momentum transport is $\propto m \hat{\Pi}$. The toroidal ion
flow can be viewed as a drive for the momentum flux, and its $E\times
B$ and diamagnetic components are mass independent. Nevertheless, it
is somewhat unexpected that the largest negative value of $\hat{\Pi}$
in the pedestal does not increase significantly in magnitude with
increasing isotope mass, since the momentum flux we observe is a
finite orbit width effect. However, the largest positive value of
$\hat{\Pi}$, inward of the pedestal top, does increase in both
magnitude and its extent towards the core.
Finally, the effect of varying the pedestal parameters on angular
momentum transport is considered; $\hat{\Pi}/\hat{n}_{\rm Ped}^2$ is
shown in \autoref{fig:PiD} for the various density profile scans of
\autoref{fig:n} in a D plasma. The strongest momentum transport is
observed for the highest \ensuremath{\delta_n^\ast}{} case, corresponding to the narrowest
pedestal in \autoref{fig:n}a. In this scan, where the position of the
pedestal top is shifted inward, we observe a rather strong reduction
in the largest negative value of $\Pi$ (in the following discussion we
will simply refer to it as the peak $\Pi$) as the gradient
decreases. The location of the peak is shifted outward so that it
stays in the vicinity of the pedestal top; in the shallower pedestals
$\Pi$ is small in most of the pedestal, except close to the pedestal
top. We note that for the model $T_i$ profile used here, the abrupt
increase of $dT_i/d\psi$ close to the pedestal top usually leads to
more pronounced global effects in that region, correlated with a
peaking of sources. We observe a localization of momentum sources
around the pedestal top in all scans when the pedestal width is
changing; see also \autoref{fig:PiD}d and e.
\begin{figure}
\includegraphics{2Pi-vs-Sh.pdf}
\put(-30,122){\large H}
\put(-30,80){\large D}
\put(-30,40){\large T}
\caption{\label{fig:Pi_vs_Sh} Pedestal peak values of the momentum
flux $\hat{\Pi}$ and the heat source $S_h$.}
\end{figure}
The $n^2$ scaling of the local heat fluxes in the banana regime was a
useful guide to choose a convenient normalizing factor,
$1/\hat{n}_{\rm Ped}^2$, in \autoref{fig:QD}. For momentum fluxes such
simple guidance is not available, as the lowest order local momentum
fluxes are zero. However, whilst heat sources (in the form of a radial
variation of turbulent transport fluxes and actual heat sources) may
be expected to be in proportion to the heat fluxes, heat sources will
also represent an important contribution to finite orbit width
momentum fluxes, as shown in the higher order theory of
Ref.~\citenum{ParraTheory2015}). Therefore it is reasonable to assume
an $n^2$ scaling for $\Pi$ as well; indeed, with the $1/\hat{n}_{\rm
Ped}^2$ normalization we observe comparable peak values of the
momentum transport over the wide range of $\hat{n}_{\rm Ped}$ values
in the scans of \autoref{fig:n}b and f, as seen in the corresponding
\autoref{fig:PiD}b and f. In particular, apart from an inward shift of
the peak $\Pi$ location as $\hat{n}_{\rm Ped}$ increases, we find very
similar peak values of $\hat{\Pi}/\hat{n}_{\rm Ped}^2$ in
\autoref{fig:PiD}b.
To more clearly show that the momentum fluxes and the heat sources are
strongly correlated we plot the largest observed momentum fluxes
against the largest sources (considering only the magnitude of these
quantities) for all our simulations in \autoref{fig:Pi_vs_Sh}; here,
we plot the \emph{peak value} (PV), which differs from the PPV in that
the peak is allowed to be outside the pedestal. We find an
approximate proportionality with a slope that is almost mass
independent [linear fits give coefficients of $0.86\pm 0.06$ (H),
$0.68\pm 0.04$ (D), and $0.67\pm 0.04$ (T)]. We have normalized
$\hat{\Pi}$ and $\hat{S}$ such that this mass independence translates
to $\Pi \propto m \int d^3 v \, mv^2 S$, where $\Pi$ is the radial
transport of angular momentum and $S$ is the source appearing in the
kinetic equation (\ref{ldkes}), that conforms qualitatively with the
source contribution in Eq.~(104) of
Ref.~\citenum{ParraTheory2015}. This is potentially important, because
sources in the pedestal are much larger than in the core, as the
radial variation of the fluxes in the various transport channels
happens on a short radial scale.
\section{Summary}
\label{sec:conc}
We have studied cross field fluxes of heat, particles and momentum in
sharp density pedestals. We focused on differences between radially
\emph{local} and \emph{global} simulation results. The deviations
between local and global results depend on isotopic mass, and on
features of the plasma parameter profiles. This study considers
isotope effects for fixed pedestal profiles, and the impact of
changing the shape of the density pedestal. We parametrize the
pedestal by four parameters -- the densities at the pedestal top and
at the last closed flux surface, the representative pedestal gradient,
and the pedestal width -- three of which are independent.
For both particle and heat fluxes we see a clear increase in global
effects with increasing isotope mass, owing to an increasing thermal
ion orbit width. Not only does the deviation between local and global
results increase inside the pedestal, but so does the distance over
which global effects penetrate into the core. The global particle flux
is found to be particularly sensitive to isotope effects: when electron momentum sources are allowed the tritium
particle flux is strongly reduced in the near-pedestal core region,
even changing sign, due to global effects. When only the ions are allowed to have momentum sources, the global particle flux remain close to the local one. However in isotope mixtures and impure plasmas the various ion components may exhibit deviations from local results, as long as ambipolarity is satisfied.
Even though the angular momentum transport is purely a finite orbit
width effect (it vanishes in the lowest order local theory), it does
not exhibit a strong isotopic dependence, apart from its trivial
proportionality with mass (in the sense that, if momentum diffusivity
could be sensibly defined it would approximately be mass independent).
In a scan where the pedestal width and the LCFS density are fixed and
the pedestal top density is increased, we see only weak changes in
globality. Perhaps more surprisingly, we find that in a scan where
the pedestal top density and location is changed keeping the
representative gradient in the pedestal fixed, thin pedestals can be
much more global than wider ones. Although we only considered steady
state profiles, this scan may be relevant in the growth phase of
ballooning mode limited pedestals, when the large gradient region
gradually expands into the core, while the pedestal pressure gradient
is approximately constant. These observations indicate the role
of the density length scale in affecting globality.
Since experimental ion heat fluxes have been found to be consistent
with being purely neoclassical in some cases, the peak ion heat flux
and its location within the pedestal are of interest. The relative
changes in these two quantities due to global effects are used here to
quantify globality. We studied their dependence on three pedestal
shape parameters: the ratio of the ion orbit width and the density
length scale, \ensuremath{\delta_n^\ast}{}, the ratio of the orbit width and the pedestal
width, $w_{\rm o}/w$, and the relative density drop in the pedestal
$\Delta n/n_0$. We found that, the peak ion heat flux is mostly
reduced and it is shifted outward by global effects (these are modest
changes but they might be measurable). The clearest correlation was found
with \ensuremath{\delta_n^\ast}{}. Even though \ensuremath{\delta_n^\ast}{} accounts for the mass dependence
through the ion orbit width, we find additional differences between
the various isotopes. The range of possible reductions in the heat
flux peak saturates at some value of \ensuremath{\delta_n^\ast}{}. Importantly, this value
and the corresponding maximum reduction of the heat flux increases
with mass, representing a favorable isotope scaling trend. Finally, we
find that the flux of radial angular momentum is strongly correlated
with the heat sources that appear in the simulation to sustain the
steady state pedestal profiles.
\acknowledgments We are grateful to S.L. Newton and J.T. Omotani for
valuable comments on our manuscript, and to M. Landreman for providing
the \textsc{Perfect}{} code. The research was supported by the International
Career Grant of Vetenskapsr{\aa}det (Dnr.~330-2014-6313) and Marie
Sklodowska Curie Actions, Cofund, Project INCA 600398. The
simulations used SNIC computational resources at Kabnekaise (Dnr:
2017/3-29) and Hebbe (Dnr: 2017/1-95).
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 5,487 |
Gut Microbiome: Purna C. Kashyap
Gut Microbiota and Host Physiology
Diet and Gut Microbiome
Gut Microbiome and C. Difficile Infection
Irritable Bowel Syndrome, Genetics and Diet
Review news releases and articles related to the Gut Microbiome Laboratory at Mayo Clinic.
The Gut Microbiome Laboratory at Mayo Clinic brings together gastroenterology experts to drive innovative research on the mechanisms by which gut microbes influence health and disease.
News about microbiome research at Mayo Clinic encompasses items on naturally occurring gut-bacteria, microbiota designed to address diseases and conditions such as chronic constipation, precision and individualized medicine approaches, targeted diet strategies, and more.
Also get news, information and tips about trending topics in microbiome research, such as using probiotics, controlling blood sugar, bacteria-based treatments and related subjects.
Read microbiome research news releases from the Mayo Clinic News Network.
Watch videos from and about Dr. Kashyap's Gut Microbiome Lab.
Read general news and information about gastroenterology and individualized medicine from the Mayo Clinic News Network.
Read other topics in the Mayo Clinic News Network.
News about the Gut Microbiome Lab
The following articles include coverage of research in Dr. Kashyap's Gut Microbiome Lab:
Could gut bacteria microbes make you fat? (BBC Future, Feb. 12, 2019)
Microbiome role in cancer, IBD, obesity and infections (Discovery's Edge, January 2019)
Gut microbiota produced tryptamine accelerates gastrointestinal tract transit by increasing colonic secretion in mice (Gut Microbiota for Health, Aug. 9, 2018)
Diet hit a snag? Your gut bacteria may be partly to blame (NPR, Aug. 6, 2018)
Preliminary Mayo Clinic study points to new weight-loss factor — gut bacteria (Post Bulletin, Aug. 2, 2018)
Why some people may be more susceptible to deadly C. difficile infections (ScienceNews, Oct. 24, 2018)
Bacteria engineered to treat constipation (New Atlas, June 14, 2018)
Research commentary
The following articles feature Dr. Kashyap's quotes and expert opinions on gut microbiome research news:
FMT addition offers better outcomes in recurrent C. diff (MedPage Today, Jan. 9, 2019)
Probiotics: One size does not fit all (Mayo Clinic Individualized Medicine blog, Dec. 17, 2018)
Prediction: Future probiotics will be engineered to Crohn's or ulcerative colitis (MedPage Today, Oct. 4, 2018)
Do you really need probiotics? (Mother Nature Network, Sept. 7, 2018)
Gastrointestinal health features
The following opinion, advice and health-related features draw on the Gut Microbiome Lab's research to inform readers:
Could your probiotic be making you sicker? (leapsmag, Nov. 8, 2018)
8 foods you should eat instead of taking probiotic supplements (Men's Health, March 19, 2018)
Prebiotics vs. probiotics: What's the difference? (Prevention, Feb. 23, 2018)
Peer-reviewed journal articles
Yogesh Bhattarai, Bradley A. Schmidt, David R. Linden, Eric D. Larson, Madhusudan Grover, Arthur Beyder, Gianrico Farrugia, and Purna C. Kashyap. Human-derived gut microbiota modulates colonic secretion in mice by regulating 5-HT3 receptor expression via acetate production. American Journal of Physiology. 2017:313;G80.
A link to additional publications by Dr. Kashyap is available on the lab's Faculty and Staff page. | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 1,408 |
/** How to merge an entity, after query or save, when the corresponding entity in the collection has unsaved changes. */
export enum MergeStrategy {
/**
* Update the collection entities and ignore all change tracking for this operation.
* Each entity's `changeState` is untouched.
*/
IgnoreChanges,
/**
* Updates current values for unchanged entities.
* For each changed entity it preserves the current value and overwrites the `originalValue` with the merge entity.
* This is the query-success default.
*/
PreserveChanges,
/**
* Replace the current collection entities.
* For each merged entity it discards the `changeState` and sets the `changeType` to "unchanged".
* This is the save-success default.
*/
OverwriteChanges,
}
| {
"redpajama_set_name": "RedPajamaGithub"
} | 6,443 |
Q: How to access a specific item on the most similar row with euclidean distance? I have a list L of arrays:
L = ( array1,
array2,
array3,
array4... )
This list is created starting from a Pandas data frame, thus, every single row of the old data frame is now an array inside a list.
Using Euclidean Distance I want to:
*
*Iterate through all the arrays
*Select only arrays in which the 2nd item is included between 10 and 100
*Given an array arr1, select the most similar one (let's say arr4)
*Replace the 2nd item in arr4 with 2nd item in arr1
To visualize it:
*
*Iterate through all the arrays
L = ([87, 30, 45, 99],
[11, 21, 31, 41],
[560, 47, 85, 328],
[167, 32, 98, 379] )
*Select only arrays in which the 2nd item is included between 10 and 100
L = ([87, 30, 45, 99],
[11, 21, 31, 41],
[560, 47, 85, 328],
[85, 33, 43, 97] )
*Given an array arr1, select the most similar one (let's say arr4)
array 1 = ( [87, 30, 45, 99] )
array 4 = ( [85, 32, 43, 97] )
Now let's call for simplicity:
P = 30 (array 1, 2nd element)
X = 32 (array 4, 2nd element)
*Replace the 2nd item in arr4(P) inside arr1 2nd position (X)
array 1 = ([87, 32, 45, 99])
Many thank and advance for whatever hint that can be useful!
A: import numpy as np
L = np.array([
[87, 30, 45, 99],
[11, 21, 31, 41],
[560, 47, 85, 328],
[167, 32, 98, 379]
])
For point 2 you can use np.where which return an array of condition.nonzero() that indicates where condition is True. Then you can put this array as index.
result = L[np.where((L[:,1]>10)&(L[:,1]<100))]
To given array e.g arr1, we can use following method (I don't know if it's best, but it works).
L2 = np.array([
[87, 30, 45, 99],
[11, 21, 31, 41],
[560, 47, 85, 328],
[85, 33, 43, 97]
])
def dist(a):
return np.linalg.norm(L2[0]-a)
distances = np.apply_along_axis(dist, 1, L2)
index = np.ma.MaskedArray(result, result==0).argmin() #remove first element which dist is min (0)
print(L2[index])
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 8,013 |
{"url":"https:\/\/docs.microsoft.com\/en-us\/dotnet\/framework\/wpf\/app-development\/navigation-overview","text":"Windows Presentation Foundation (WPF) supports browser-style navigation that can be used in two types of applications: standalone applications and XAML browser applications (XBAPs). To package content for navigation, WPF provides the Page class. You can navigate from one Page to another declaratively, by using a Hyperlink, or programmatically, by using the NavigationService. WPF uses the journal to remember pages that have been navigated from and to navigate back to them.\n\nPage, Hyperlink, NavigationService, and the journal form the core of the navigation support offered by WPF. This overview explores these features in detail before covering advanced navigation support that includes navigation to loose Extensible Application Markup Language (XAML) files, HTML files, and objects.\n\nNote\n\nIn this topic, the term \"browser\" refers only to browsers that can host WPF applications, which currently includes Microsoft Internet Explorer and Firefox. Where specific WPF features are supported only by a particular browser, the browser version is referred to.\n\nThis topic provides an overview of the key navigation capabilities in WPF. These capabilities are available to both standalone applications and XBAPs, although this topic presents them within the context of an XBAP.\n\nNote\n\nThis topic doesn't discuss how to build and deploy XBAPs. For more information on XBAPs, see WPF XAML Browser Applications Overview.\n\nThis section explains and demonstrates the following aspects of navigation:\n\n### Implementing a Page\n\nIn WPF, you can navigate to several content types that include .NET Framework objects, custom objects, enumeration values, user controls, XAML files, and HTML files. However, you'll find that the most common and convenient way to package content is by using Page. Furthermore, Page implements navigation-specific features to enhance their appearance and simplify development.\n\nUsing Page, you can declaratively implement a navigable page of XAML content by using markup like the following.\n\n<Page xmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\" \/>\n\n\nA Page that is implemented in XAML markup has Page as its root element and requires the WPF XML namespace declaration. The Page element contains the content that you want to navigate to and display. You add content by setting the Page.Content property element, as shown in the following markup.\n\n<Page xmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\">\n<Page.Content>\n<!-- Page Content -->\nHello, Page!\n<\/Page.Content>\n<\/Page>\n\n\nPage.Content can only contain one child element; in the preceding example, the content is a single string, \"Hello, Page!\" In practice, you will usually use a layout control as the child element (see Layout) to contain and compose your content.\n\nThe child elements of a Page element are considered to be the content of a Page and, consequently, you don't need to use the explicit Page.Content declaration. The following markup is the declarative equivalent to the preceding sample.\n\n<Page xmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\">\n<!-- Page Content -->\nHello, Page!\n<\/Page>\n\n\nIn this case, Page.Content is automatically set with the child elements of the Page element. For more information, see WPF Content Model.\n\nA markup-only Page is useful for displaying content. However, a Page can also display controls that allow users to interact with the page, and it can respond to user interaction by handling events and calling application logic. An interactive Page is implemented by using a combination of markup and code-behind, as shown in the following example.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.HomePage\">\nHello, from the XBAP HomePage!\n<\/Page>\n\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class HomePage : Page\n{\npublic HomePage()\n{\nInitializeComponent();\n}\n}\n}\n\n\nImports System.Windows.Controls\n\nNamespace SDKSample\nPartial Public Class HomePage\nInherits Page\nPublic Sub New()\nInitializeComponent()\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nTo allow a markup file and code-behind file to work together, the following configuration is required:\n\n\u2022 In markup, the Page element must include the x:Class attribute. When the application is built, the existence of x:Class in the markup file causes Microsoft build engine (MSBuild) to create a partial class that derives from Page and has the name that is specified by the x:Class attribute. This requires the addition of an XML namespace declaration for the XAML schema ( xmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\" ). The generated partial class implements InitializeComponent, which is called to register the events and set the properties that are implemented in markup.\n\n\u2022 In code-behind, the class must be a partial class with the same name that is specified by the x:Class attribute in markup, and it must derive from Page. This allows the code-behind file to be associated with the partial class that is generated for the markup file when the application is built (see Building a WPF Application).\n\n\u2022 In code-behind, the Page class must implement a constructor that calls the InitializeComponent method. InitializeComponent is implemented by the markup file's generated partial class to register events and set properties that are defined in markup.\n\nNote\n\nWhen you add a new Page to your project using Visual Studio, the Page is implemented using both markup and code-behind, and it includes the necessary configuration to create the association between the markup and code-behind files as described here.\n\nOnce you have a Page, you can navigate to it. To specify the first Page that an application navigates to, you need to configure the start Page.\n\n### Configuring a Start Page\n\nXBAPs require a certain amount of application infrastructure to be hosted in a browser. In WPF, the Application class is part of an application definition that establishes the required application infrastructure (see Application Management Overview).\n\nAn application definition is usually implemented using both markup and code-behind, with the markup file configured as an MSBuildApplicationDefinition item. The following is an application definition for an XBAP.\n\n<Application\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.App\" \/>\n\nusing System.Windows;\n\nnamespace SDKSample\n{\npublic partial class App : Application { }\n}\n\n\nImports System.Windows\n\nNamespace SDKSample\nPartial Public Class App\nInherits Application\nEnd Class\nEnd Namespace\n\n\nAn XBAP can use its application definition to specify a start Page, which is the Page that is automatically loaded when the XBAP is launched. You do this by setting the StartupUri property with the uniform resource identifier (URI) for the desired Page.\n\nNote\n\nIn most cases, the Page is either compiled into or deployed with an application. In these cases, the URI that identifies a Page is a pack URI, which is a URI that conforms to the pack scheme. Pack URIs are discussed further in Pack URIs in WPF. You can also navigate to content using the http scheme, which is discussed below.\n\nYou can set StartupUri declaratively in markup, as shown in the following example.\n\n<Application\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.App\"\n\n\nIn this example, the StartupUri attribute is set with a relative pack URI that identifies HomePage.xaml. When the XBAP is launched, HomePage.xaml is automatically navigated to and displayed. This is demonstrated by the following figure, which shows an XBAP that was launched from a Web server.\n\nNote\n\nFor more information regarding the development and deployment of XBAPs, see WPF XAML Browser Applications Overview and Deploying a WPF Application.\n\n### Configuring the Host Window's Title, Width, and Height\n\nOne thing you may have noticed from the previous figure is that the title of both the browser and the tab panel is the URI for the XBAP. Besides being long, the title is neither attractive nor informative. For this reason, Page offers a way for you to change the title by setting the WindowTitle property. Furthermore, you can configure the width and height of the browser window by setting WindowWidth and WindowHeight, respectively.\n\nWindowTitle, WindowWidth, and WindowHeight can be set declaratively in markup, as shown in the following example.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.HomePage\"\nWindowTitle=\"Page Title\"\nWindowWidth=\"500\"\nWindowHeight=\"200\">\nHello, from the XBAP HomePage!\n<\/Page>\n\n\nThe result is shown in the following figure.\n\nA typical XBAP comprises several pages. The simplest way to navigate from one page to another is to use a Hyperlink. You can declaratively add a Hyperlink to a Page by using the Hyperlink element, which is shown in the following markup.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowWidth=\"250\"\nWindowHeight=\"250\">\n\n<Hyperlink NavigateUri=\"UriOfPageToNavigateTo.xaml\">\nNavigate to Another Page\n\n<\/Page>\n\n\nA Hyperlink element requires the following:\n\n\u2022 The pack URI of the Page to navigate to, as specified by the NavigateUri attribute.\n\n\u2022 Content that a user can click to initiate the navigation, such as text and images (for the content that the Hyperlink element can contain, see Hyperlink).\n\nThe following figure shows an XBAP with a Page that has a Hyperlink.\n\nAs you would expect, clicking the Hyperlink causes the XBAP to navigate to the Page that is identified by the NavigateUri attribute. Additionally, the XBAP adds an entry for the previous Page to the Recent Pages list in Internet Explorer. This is shown in the following figure.\n\nFragment navigation is the navigation to a content fragment in either the current Page or another Page. In WPF, a content fragment is the content that is contained by a named element. A named element is an element that has its Name attribute set. The following markup shows a named TextBlock element that contains a content fragment.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowTitle=\"Page With Fragments\" >\n\n<!-- Content Fragment called \"Fragment1\" -->\n<TextBlock Name=\"Fragment1\">\nEa vel dignissim te aliquam facilisis ...\n<\/TextBlock>\n\n<\/Page>\n\n\nFor a Hyperlink to navigate to a content fragment, the NavigateUri attribute must include the following:\n\n\u2022 The URI of the Page with the content fragment to navigate to.\n\n\u2022 A \"#\" character.\n\n\u2022 The name of the element on the Page that contains the content fragment.\n\nA fragment URI has the following format.\n\nPageURI # ElementName\n\nThe following shows an example of a Hyperlink that is configured to navigate to a content fragment.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowTitle=\"Page That Navigates To Fragment\" >\n\n<Hyperlink NavigateUri=\"PageWithFragments.xaml#Fragment1\">\nNavigate To pack Fragment\n\n<\/Page>\n\n\nNote\n\nThis section describes the default fragment navigation implementation in WPF. WPF also allows you to implement your own fragment navigation scheme which, in part, requires handling the NavigationService.FragmentNavigation event.\n\nImportant\n\nYou can navigate to fragments in loose XAML pages (markup-only XAML files with Page as the root element) only if the pages can be browsed via HTTP.\n\nHowever, a loose XAML page can navigate to its own fragments.\n\nNote\n\nIt is possible for a WPF application to have more than one currently active NavigationService. For more information, see Navigation Hosts later in this topic.\n\nHowever, there are situations when you need to use NavigationService directly, including the following:\n\n\u2022 When you need to instantiate a Page using a non-parameterless constructor.\n\n\u2022 When you need to set properties on the Page before you navigate to it.\n\n\u2022 When the Page that needs to be navigated to can only be determined at run time.\n\nIn these situations, you need to write code to programmatically initiate navigation by calling the Navigate method of the NavigationService object. That requires getting a reference to a NavigationService.\n\n#### Getting a Reference to the NavigationService\n\nFor reasons that are covered in the Navigation Hosts section, a WPF application can have more than one NavigationService. This means that your code needs a way to find a NavigationService, which is usually the NavigationService that navigated to the current Page. You can get a reference to a NavigationService by calling the staticNavigationService.GetNavigationService method. To get the NavigationService that navigated to a particular Page, you pass a reference to the Page as the argument of the GetNavigationService method. The following code shows how to get the NavigationService for the current Page.\n\nusing System.Windows.Navigation;\n\n\/\/ Get a reference to the NavigationService that navigated to this Page\n\n' Get a reference to the NavigationService that navigated to this Page\n\n\nAs a shortcut for finding the NavigationService for a Page, Page implements the NavigationService property. This is shown in the following example.\n\nusing System.Windows.Navigation;\n\n\/\/ Get a reference to the NavigationService that navigated to this Page\n\n' Get a reference to the NavigationService that navigated to this Page\n\n\nNote\n\nA Page can only get a reference to its NavigationService when Page raises the Loaded event.\n\n#### Programmatic Navigation to a Page Object\n\nThe following example shows how to use the NavigationService to programmatically navigate to a Page. Programmatic navigation is required because the Page that is being navigated to can only be instantiated using a single, non-parameterless constructor. The Page with the non-parameterless constructor is shown in the following markup and code.\n\n<Page\nx:Class=\"SDKSample.PageWithNonDefaultConstructor\"\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nTitle=\"PageWithNonDefaultConstructor\">\n\n<!-- Content goes here -->\n\n<\/Page>\n\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class PageWithNonDefaultConstructor : Page\n{\npublic PageWithNonDefaultConstructor(string message)\n{\nInitializeComponent();\n\nthis.Content = message;\n}\n}\n}\n\n\nNamespace SDKSample\nPartial Public Class PageWithNonDefaultConstructor\nInherits Page\nPublic Sub New(ByVal message As String)\nInitializeComponent()\n\nMe.Content = message\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nThe Page that navigates to the Page with the non-parameterless constructor is shown in the following markup and code.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\n\nNavigate to Page with Non-Default Constructor\n\n<\/Page>\n\nusing System.Windows;\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class NSNavigationPage : Page\n{\n{\nInitializeComponent();\n}\n\n{\n\/\/ Instantiate the page to navigate to\nPageWithNonDefaultConstructor page = new PageWithNonDefaultConstructor(\"Hello!\");\n\n\/\/ Navigate to the page, using the NavigationService\n}\n}\n}\n\n\nNamespace SDKSample\nInherits Page\nPublic Sub New()\nInitializeComponent()\nEnd Sub\n\nPrivate Sub hyperlink_Click(ByVal sender As Object, ByVal e As RoutedEventArgs)\n' Instantiate the page to navigate to\nDim page As New PageWithNonDefaultConstructor(\"Hello!\")\n\n' Navigate to the page, using the NavigationService\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nWhen the Hyperlink on this Page is clicked, navigation is initiated by instantiating the Page to navigate to using the non-parameterless constructor and calling the NavigationService.Navigate method. Navigate accepts a reference to the object that the NavigationService will navigate to, rather than a pack URI.\n\n#### Programmatic Navigation with a Pack URI\n\nIf you need to construct a pack URI programmatically (when you can only determine the pack URI at run time, for example), you can use the NavigationService.Navigate method. This is shown in the following example.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\n<\/Page>\n\nusing System;\nusing System.Windows;\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class NSUriNavigationPage : Page\n{\n{\nInitializeComponent();\n}\n\n{\n\/\/ Create a pack URI\nUri uri = new Uri(\"AnotherPage.xaml\", UriKind.Relative);\n\n\/\/ Get the navigation service that was used to\n\/\/ AnotherPage.xaml\n}\n}\n}\n\n\nNamespace SDKSample\nInherits Page\nPublic Sub New()\nInitializeComponent()\nEnd Sub\n\nPrivate Sub hyperlink_Click(ByVal sender As Object, ByVal e As RoutedEventArgs)\n' Create a pack URI\nDim uri As New Uri(\"AnotherPage.xaml\", UriKind.Relative)\n\n' Get the navigation service that was used to\n' AnotherPage.xaml\nEnd Sub\nEnd Class\nEnd Namespace\n\n\n#### Refreshing the Current Page\n\nA Page is not downloaded if it has the same pack URI as the pack URI that is stored in the NavigationService.Source property. To force WPF to download the current page again, you can call the NavigationService.Refresh method, as shown in the following example.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\n<\/Page>\n\nusing System.Windows;\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class NSRefreshNavigationPage : Page\n{\n\n\nNamespace SDKSample\nInherits Page\n\n void hyperlink_Click(object sender, RoutedEventArgs e)\n{\n}\n}\n}\n\n Private Sub hyperlink_Click(ByVal sender As Object, ByVal e As RoutedEventArgs)\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nThere are many ways to initiate navigation, as you've seen. When navigation is initiated, and while navigation is in progress, you can track and influence the navigation using the following events that are implemented by NavigationService:\n\n\u2022 Navigating. Occurs when a new navigation is requested. Can be used to cancel the navigation.\n\n\u2022 NavigationFailed. Occurs when an error is raised while navigating to the requested content.\n\n\u2022 LoadCompleted. Occurs when content that was navigated to is loaded and parsed, and has begun rendering.\n\n\u2022 FragmentNavigation. Occurs when navigation to a content fragment begins, which happens:\n\n\u2022 Immediately, if the desired fragment is in the current content.\n\n\u2022 After the source content has been loaded, if the desired fragment is in different content.\n\nThe navigation events are raised in the order that is illustrated by the following figure.\n\nIn general, a Page isn't concerned about these events. It is more likely that an application is concerned with them and, for that reason, these events are also raised by the Application class:\n\nEvery time NavigationService raises an event, the Application class raises the corresponding event. Frame and NavigationWindow offer the same events to detect navigation within their respective scopes.\n\nIn some cases, a Page might be interested in these events. For example, a Page might handle the NavigationService.Navigating event to determine whether or not to cancel navigation away from itself. This is shown in the following example.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\n<Button Click=\"button_Click\">Navigate to Another Page<\/Button>\n<\/Page>\n\nusing System;\nusing System.Windows;\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class CancelNavigationPage : Page\n{\n{\nInitializeComponent();\n\n\/\/ Can only access the NavigationService when the page has been loaded\n}\n\nvoid button_Click(object sender, RoutedEventArgs e)\n{\n}\n\n{\n}\n\n{\n}\n\n{\n\/\/ Does the user really want to navigate to another page?\nMessageBoxResult result;\n\n\/\/ If the user doesn't want to navigate away, cancel the navigation\nif (result == MessageBoxResult.No) e.Cancel = true;\n}\n}\n}\n\n\nNamespace SDKSample\nInherits Page\nPublic Sub New()\nInitializeComponent()\n\n' Can only access the NavigationService when the page has been loaded\nEnd Sub\n\nPrivate Sub button_Click(ByVal sender As Object, ByVal e As RoutedEventArgs)\nEnd Sub\n\nEnd Sub\n\nEnd Sub\n\nPrivate Sub NavigationService_Navigating(ByVal sender As Object, ByVal e As NavigatingCancelEventArgs)\n' Does the user really want to navigate to another page?\nDim result As MessageBoxResult\n\n' If the user doesn't want to navigate away, cancel the navigation\nIf result = MessageBoxResult.No Then\ne.Cancel = True\nEnd If\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nIf you register a handler with a navigation event from a Page, as the preceding example does, you must also unregister the event handler. If you don't, there may be side effects with respect to how WPF navigation remembers Page navigation using the journal.\n\n### Remembering Navigation with the Journal\n\nWPF uses two stacks to remember the pages that you have navigated from: a back stack and a forward stack. When you navigate from the current Page to a new Page or forward to an existing Page, the current Page is added to the back stack. When you navigate from the current Page back to the previous Page, the current Page is added to the forward stack. The back stack, the forward stack, and the functionality to manage them, are collectively referred to as the journal. Each item in the back stack and the forward stack is an instance of the JournalEntry class, and is referred to as a journal entry.\n\nConceptually, the journal operates the same way that the Back and Forward buttons in Internet Explorer do. These are shown in the following figure.\n\nFor XBAPs that are hosted by Internet Explorer, WPF integrates the journal into the navigation UI of Internet Explorer. This allows users to navigate pages in an XBAP by using the Back, Forward, and Recent Pages buttons in Internet Explorer.\n\nImportant\n\nIn Internet Explorer, when a user navigates away from and back to an XBAP, only the journal entries for pages that were not kept alive are retained in the journal. For discussion on keeping pages alive, see Page Lifetime and the Journal later in this topic.\n\nBy default, the text for each Page that appears in the Recent Pages list of Internet Explorer is the URI for the Page. In many cases, this is not particularly meaningful to the user. Fortunately, you can change the text using one the following options:\n\n1. The attached JournalEntry.Name attribute value.\n\n2. The Page.Title attribute value.\n\n3. The Page.WindowTitle attribute value and the URI for the current Page.\n\n4. The URI for the current Page. (Default)\n\nThe order in which the options are listed matches the order of precedence for finding the text. For example, if JournalEntry.Name is set, the other values are ignored.\n\nThe following example uses the Page.Title attribute to change the text that appears for a journal entry.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.PageWithTitle\"\n\n<\/Page>\n\nusing System.Windows.Controls;\n\nnamespace SDKSample\n{\npublic partial class PageWithTitle : Page\n{\n\n\nNamespace SDKSample\nPartial Public Class PageWithTitle\nInherits Page\n\n }\n}\n\n End Class\nEnd Namespace\n\n\nAlthough a user can navigate the journal by using the Back, Forward, and Recent Pages in Internet Explorer, you can also navigate the journal using both declarative and programmatic mechanisms provided by WPF. One reason to do this is to provide custom navigation UIs in your pages.\n\nYou can declaratively add journal navigation support by using the navigation commands exposed by NavigationCommands. The following example demonstrates how to use the BrowseBack navigation command.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\n\n<Hyperlink Command=\"NavigationCommands.BrowseBack\">Back<\/Hyperlink>\n\n<Hyperlink Command=\"NavigationCommands.BrowseForward\">Forward<\/Hyperlink>\n\n<\/Page>\n\n\nYou can programmatically navigate the journal by using one of the following members of the NavigationService class:\n\nThe journal can also be manipulated programmatically, as discussed in Retaining Content State with Navigation History later in this topic.\n\n### Page Lifetime and the Journal\n\nConsider an XBAP with several pages that contain rich content, including graphics, animations, and media. The memory footprint for pages like these could be quite large, particularly if video and audio media are used. Given that the journal \"remembers\" pages that have been navigated to, such an XBAP could quickly consume a large and noticeable amount of memory.\n\nFor this reason, the default behavior of the journal is to store Page metadata in each journal entry rather than a reference to a Page object. When a journal entry is navigated to, its Page metadata is used to create a new instance of the specified Page. As a consequence, each Page that is navigated has the lifetime that is illustrated by the following figure.\n\nAlthough using the default journaling behavior can save on memory consumption, per-page rendering performance might be reduced; reinstantiating a Page can be time-intensive, particularly if it has a lot of content. If you need to retain a Page instance in the journal, you can draw on two techniques for doing so. First, you can programmatically navigate to a Page object by calling the NavigationService.Navigate method.\n\nSecond, you can specify that WPF retain an instance of a Page in the journal by setting the KeepAlive property to true (the default is false). As shown in the following example, you can set KeepAlive declaratively in markup.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.KeepAlivePage\"\nKeepAlive=\"True\">\n\n<\/Page>\n\n\nThe lifetime of a Page that is kept alive is subtly different from one that is not. The first time a Page that is kept alive is navigated to, it is instantiated just like a Page that is not kept alive. However, because an instance of the Page is retained in the journal, it is never instantiated again for as long as it remains in the journal. Consequently, if a Page has initialization logic that needs to be called every time the Page is navigated to, you should move it from the constructor into a handler for the Loaded event. As shown in the following figure, the Loaded and Unloaded events are still raised each time a Page is navigated to and from, respectively.\n\nWhen a Page is not kept alive, you should not do either of the following:\n\n\u2022 Store a reference to it, or any part of it.\n\n\u2022 Register event handlers with events that are not implemented by it.\n\nDoing either of these will create references that force the Page to be retained in memory, even after it has been removed from the journal.\n\nIn general, you should prefer the default Page behavior of not keeping a Page alive. However, this has state implications that are discussed in the next section.\n\n### Retaining Content State with Navigation History\n\nIf a Page is not kept alive, and it has controls that collect data from the user, what happens to the data if a user navigates away from and back to the Page? From a user experience perspective, the user should expect to see the data they entered previously. Unfortunately, because a new instance of the Page is created with each navigation, the controls that collected the data are reinstantiated and the data is lost.\n\nFortunately, the journal provides support for remembering data across Page navigations, including control data. Specifically, the journal entry for each Page acts as a temporary container for the associated Page state. The following steps outline how this support is used when a Page is navigated from:\n\n1. An entry for the current Page is added to the journal.\n\n2. The state of the Page is stored with the journal entry for that page, which is added to the back stack.\n\n3. The new Page is navigated to.\n\nWhen the page Page is navigated back to, using the journal, the following steps take place:\n\n1. The Page (the top journal entry on the back stack) is instantiated.\n\n2. The Page is refreshed with the state that was stored with the journal entry for the Page.\n\n3. The Page is navigated back to.\n\nWPF automatically uses this support when the following controls are used on a Page:\n\nIf a Page uses these controls, data entered into them is remembered across Page navigations, as demonstrated by the Favorite ColorListBox in the following figure.\n\nWhen a Page has controls other than those in the preceding list, or when state is stored in custom objects, you need to write code to cause the journal to remember state across Page navigations.\n\nIf you need to remember small pieces of state across Page navigations, you can use dependency properties (see DependencyProperty) that are configured with the FrameworkPropertyMetadata.Journal metadata flag.\n\nIf the state that your Page needs to remember across navigations comprises multiple pieces of data, you may find it less code intensive to encapsulate your state in a single class and implement the IProvideCustomContentState interface.\n\nIf you need to navigate through various states of a single Page, without navigating from the Page itself, you can use IProvideCustomContentState and NavigationService.AddBackEntry.\n\nAnother way that WPF applications can store data is with cookies, which are created, updated, and deleted by using the SetCookie and GetCookie methods. The cookies that you can create in WPF are the same cookies that other types of Web applications use; cookies are arbitrary pieces of data that are stored by an application on a client machine either during or across application sessions. Cookie data typically takes the form of a name\/value pair in the following format.\n\nName = Value\n\nWhen the data is passed to SetCookie, along with the Uri of the location for which the cookie should be set, a cookie is created in-memory, and it is only available for the duration of the current application session. This type of cookie is referred to as a session cookie.\n\nTo store a cookie across application sessions, an expiration date must be added to the cookie, using the following format.\n\nNAME = VALUE ; expires=DAY, DD-MMM-YYYY HH:MM:SS GMT\n\nA cookie with an expiration date is stored in the current Windows installation's Temporary Internet Files folder until the cookie expires. Such a cookie is known as a persistent cookie because it persists across application sessions.\n\nYou retrieve both session and persistent cookies by calling the GetCookie method, passing the Uri of the location where the cookie was set with the SetCookie method.\n\nThe following are some of the ways that cookies are supported in WPF:\n\n\u2022 WPF standalone applications and XBAPs can both create and manage cookies.\n\n\u2022 Cookies that are created by an XBAP can be accessed from the browser.\n\n\u2022 XBAPs from the same domain can create and share cookies.\n\n\u2022 XBAPs and HTML pages from the same domain can create and share cookies.\n\n\u2022 Cookies are dispatched when XBAPs and loose XAML pages make Web requests.\n\n\u2022 Both top-level XBAPs and XBAPs hosted in IFRAMES can access cookies.\n\n\u2022 Cookie support in WPF is the same for all supported browsers.\n\n\u2022 In Internet Explorer, P3P policy that pertains to cookies is honored by WPF, particularly with respect to first-party and third-party XBAPs.\n\nIf you need to pass data from one Page to another, you can pass the data as arguments to a non-parameterless constructor of the Page. Note that if you use this technique, you must keep the Page alive; if not, the next time you navigate to the Page, WPF reinstantiates the Page by using the parameterless constructor.\n\nAlternatively, your Page can implement properties that are set with the data that needs to be passed. Things become tricky, however, when a Page needs to pass data back to the Page that navigated to it. The problem is that navigation doesn't natively support mechanisms for guaranteeing that a Page will be returned to after it is navigated from. Essentially, navigation doesn't support call\/return semantics. To solve this problem, WPF provides the PageFunction<T> class that you can use to ensure that a Page is returned to in a predictable and structured fashion. For more information, see Structured Navigation Overview.\n\nTo this point, you've seen the gamut of navigation services that you are most likely to use to build applications with navigable content. These services were discussed in the context of XBAPs, although they are not limited to XBAPs. Modern operating systems and Windows applications take advantage of the browser experience of modern users to incorporate browser-style navigation into standalone applications. Common examples include:\n\n\u2022 Word Thesaurus: Navigate word choices.\n\n\u2022 File Explorer: Navigate files and folders.\n\n\u2022 Wizards: Breaking down a complex task into multiple pages that can be navigated between. An example is the Windows Components Wizard that handles adding and removing Windows features.\n\nTo incorporate browser-style navigation into your standalone applications, you can use the NavigationWindow class. NavigationWindow derives from Window and extends it with the same support for navigation that XBAPs provide. You can use NavigationWindow as either the main window of your standalone application or as a secondary window such as a dialog box.\n\nTo implement a NavigationWindow, as with most top-level classes in WPF (Window, Page, and so on), you use a combination of markup and code-behind. This is shown in the following example.\n\n<NavigationWindow\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.MainWindow\"\nSource=\"HomePage.xaml\"\/>\n\nusing System.Windows.Navigation;\n\nnamespace SDKSample\n{\npublic partial class MainWindow : NavigationWindow\n{\npublic MainWindow()\n{\nInitializeComponent();\n}\n}\n}\n\n\nNamespace SDKSample\nPartial Public Class MainWindow\nPublic Sub New()\nInitializeComponent()\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nThis code creates a NavigationWindow that automatically navigates to a Page (HomePage.xaml) when the NavigationWindow is opened. If the NavigationWindow is the main application window, you can use the StartupUri attribute to launch it. This is shown in the following markup.\n\n<Application\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nStartupUri=\"MainWindow.xaml\" \/>\n\n\nThe following figure shows the NavigationWindow as the main window of a standalone application.\n\nFrom the figure, you can see that the NavigationWindow has a title, even though it wasn't set in the NavigationWindow implementation code from the preceding example. Instead, the title is set using the WindowTitle property, which is shown in the following code.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\n\n<\/Page>\n\n\nSetting the WindowWidth and WindowHeight properties also affects the NavigationWindow.\n\nUsually, you implement your own NavigationWindow when you need to customize either its behavior or its appearance. If you do neither, you can use a shortcut. If you specify the pack URI of a Page as the StartupUri in a standalone application, Application automatically creates a NavigationWindow to host the Page. The following markup shows how to enable this.\n\n<Application\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nStartupUri=\"HomePage.xaml\" \/>\n\n\nIf you want a secondary application window such as a dialog box to be a NavigationWindow, you can use the code in the following example to open it.\n\n\/\/ Open a navigation window as a dialog box\ndlg.Source = new Uri(\"HomePage.xaml\", UriKind.Relative);\ndlg.Owner = this;\ndlg.ShowDialog();\n\n' Open a navigation window as a dialog box\ndlg.Source = New Uri(\"HomePage.xaml\", UriKind.Relative)\ndlg.Owner = Me\ndlg.ShowDialog()\n\n\nThe following figure shows the result.\n\nAs you can see, NavigationWindow displays Internet Explorer-style Back and Forward buttons that allow users to navigate the journal. These buttons provide the same user experience, as shown in the following figure.\n\nIf your pages provide their own journal navigation support and UI, you can hide the Back and Forward buttons displayed by NavigationWindow by setting the value of the ShowsNavigationUI property to false.\n\nAlternatively, you can use customization support in WPF to replace the UI of the NavigationWindow itself.\n\n## The Frame Class\n\nBoth the browser and NavigationWindow are windows that host navigable content. In some cases, applications have content that does not need to be hosted by an entire window. Instead, such content be hosted inside other content. You can insert navigable content into other content by using the Frame class. Frame provides the same support as NavigationWindow and XBAPs.\n\nThe following example shows how to add a Frame to a Page declaratively by using the Frame element.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowTitle=\"Page that Hosts a Frame\"\nWindowWidth=\"250\"\nWindowHeight=\"250\">\n\n<Frame Source=\"FramePage1.xaml\" \/>\n\n<\/Page>\n\n\nThis markup sets the Source attribute of the Frame element with a pack URI for the Page that the Frame should initially navigate to. The following figure shows an XBAP with a Page that has a Frame that has navigated between several pages.\n\nYou don't only have to use Frame inside the content of a Page. It is also common to host a Frame inside the content of a Window.\n\nBy default, Frame only uses its own journal in the absence of another journal. If a Frame is part of content that is hosted inside either a NavigationWindow or an XBAP, Frame uses the journal that belongs to the NavigationWindow or XBAP. Sometimes, though, a Frame might need to be responsible for its own journal. One reason to do so is to allow journal navigation within the pages that are hosted by a Frame. This is illustrated by the following figure.\n\nIn this case, you can configure the Frame to use its own journal by setting the JournalOwnership property of the Frame to OwnsJournal. This is shown in the following markup.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowTitle=\"Page that Hosts a Frame\"\nWindowWidth=\"250\"\nWindowHeight=\"250\">\n\n<Frame Source=\"FramePage1.xaml\" JournalOwnership=\"OwnsJournal\" \/>\n\n<\/Page>\n\n\nThe following figure illustrates the effect of navigating within a Frame that uses its own journal.\n\nNotice that the journal entries are shown by the navigation UI in the Frame, rather than by Internet Explorer.\n\nNote\n\nIf a Frame is part of content that is hosted in a Window, Frame uses its own journal and, consequently, displays its own navigation UI.\n\nIf your user experience requires a Frame to provide its own journal without showing the navigation UI, you can hide the navigation UI by setting the NavigationUIVisibility to Hidden. This is shown in the following markup.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nWindowTitle=\"Page that Hosts a Frame\"\nWindowWidth=\"250\"\nWindowHeight=\"250\">\n\n<Frame\nSource=\"FramePage1.xaml\"\nJournalOwnership=\"OwnsJournal\"\n\n<\/Page>\n\n\nFrame and NavigationWindow are classes that are known as navigation hosts. A navigation host is a class that can navigate to and display content. To accomplish this, each navigation host uses its own NavigationService and journal. The basic construction of a navigation host is shown in the following figure.\n\nEssentially, this allows NavigationWindow and Frame to provide the same navigation support that an XBAP provides when hosted in the browser.\n\nBesides using NavigationService and a journal, navigation hosts implement the same members that NavigationService implements. This is illustrated by the following figure.\n\nThis allows you to program navigation support directly against them. You may consider this if you need to provide a custom navigation UI for a Frame that is hosted in a Window. Furthermore, both types implement additional, navigation-related members, including BackStack (NavigationWindow.BackStack, Frame.BackStack) and ForwardStack (NavigationWindow.ForwardStack, Frame.ForwardStack), which allow you to enumerate the journal entries in the back stack and forward stack, respectively.\n\nAs mentioned earlier, more than one journal can exist within an application. The following figure provides an example of when this can happen.\n\nThroughout this topic, Page and pack XBAPs have been used to demonstrate the various navigation capabilities of WPF. However, a Page that is compiled into an application is not the only type of content that can be navigated to, and pack XBAPs aren't the only way to identify content.\n\nAs this section demonstrates, you can also navigate to loose XAML files, HTML files, and objects.\n\nA loose XAML file is a file with the following characteristics:\n\n\u2022 Contains only XAML (that is, no code).\n\n\u2022 Has an appropriate namespace declaration.\n\n\u2022 Has the .xaml file name extension.\n\nFor example, consider the following content that is stored as a loose XAML file, Person.xaml.\n\n<!-- Person.xaml -->\n<TextBlock xmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\">\n<TextBlock FontWeight=\"Bold\">Name:<\/TextBlock>\n<TextBlock>Nancy Davolio<\/TextBlock>\n<LineBreak \/>\n<TextBlock FontWeight=\"Bold\">Favorite Color:<\/TextBlock>\n<TextBlock>Yellow<\/TextBlock>\n<\/TextBlock>\n\n\nWhen you double-click the file, the browser opens and navigates to and displays the content. This is shown in the following figure.\n\nYou can display a loose XAML file from the following:\n\n\u2022 A Web site on the local machine, the intranet, or the Internet.\n\n\u2022 A Universal Naming Convention (UNC) file share.\n\n\u2022 The local disk.\n\nA loose XAML file can be added to the browser's favorites, or be the browser's home page.\n\nNote\n\nOne limitation with respect to loose XAML is that you can only host content that is safe to run in partial trust. For example, Window cannot be the root element of a loose XAML file. For more information, see WPF Partial Trust Security.\n\nAs you might expect, you can also navigate to HTML. You simply need to provide a URI that uses the http scheme. For example, the following XAML shows a Frame that navigates to an HTML page.\n\n<Frame Source=\"http:\/\/www.microsoft.com\/default.aspx\" \/>\n\n\nNavigating to HTML requires special permissions. For example, you can't navigate from an XBAP that is running in the Internet zone partial trust security sandbox. For more information, see WPF Partial Trust Security.\n\nThe WebBrowser control supports HTML document hosting, navigation and script\/managed code interoperability. For detailed information regarding the WebBrowser control, see WebBrowser.\n\nLike Frame, navigating to HTML using WebBrowser requires special permissions. For example, from a partial-trust application, you can navigate only to HTML located at the site of origin. For more information, see WPF Partial Trust Security.\n\nIf you have data that is stored as custom objects, one way to display that data is to create a Page with content that is bound to those objects (see Data Binding Overview). If you don't need the overhead of creating an entire page just to display the objects, you can navigate directly to them instead.\n\nConsider the Person class that is implemented in the following code.\n\nusing System.Windows.Media;\n\nnamespace SDKSample\n{\npublic class Person\n{\nstring name;\nColor favoriteColor;\n\npublic Person() { }\npublic Person(string name, Color favoriteColor)\n{\nthis.name = name;\nthis.favoriteColor = favoriteColor;\n}\n\npublic string Name\n{\nget { return this.name; }\nset { this.name = value; }\n}\n\npublic Color FavoriteColor\n{\nget { return this.favoriteColor; }\nset { this.favoriteColor = value; }\n}\n}\n}\n\n\nNamespace SDKSample\nPublic Class Person\nPrivate _name As String\nPrivate _favoriteColor As Color\n\nPublic Sub New()\nEnd Sub\nPublic Sub New(ByVal name As String, ByVal favoriteColor As Color)\nMe._name = name\nMe._favoriteColor = favoriteColor\nEnd Sub\n\nPublic Property Name() As String\nGet\nReturn Me._name\nEnd Get\nSet(ByVal value As String)\nMe._name = value\nEnd Set\nEnd Property\n\nPublic Property FavoriteColor() As Color\nGet\nReturn Me._favoriteColor\nEnd Get\nSet(ByVal value As Color)\nMe._favoriteColor = value\nEnd Set\nEnd Property\nEnd Class\nEnd Namespace\n\n\nTo navigate to it, you call the NavigationWindow.Navigate method, as demonstrated by the following code.\n\n<Page\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nx:Class=\"SDKSample.HomePage\"\nWindowTitle=\"Page that Navigates to an Object\">\n\n<Hyperlink Name=\"hyperlink\" Click=\"hyperlink_Click\">\nNavigate to Nancy Davolio\n\n<\/Page>\n\nusing System.Windows;\nusing System.Windows.Controls;\nusing System.Windows.Media;\n\nnamespace SDKSample\n{\npublic partial class HomePage : Page\n{\npublic HomePage()\n{\nInitializeComponent();\n}\n\n{\nPerson person = new Person(\"Nancy Davolio\", Colors.Yellow);\n}\n}\n}\n\n\nNamespace SDKSample\nPartial Public Class HomePage\nInherits Page\nPublic Sub New()\nInitializeComponent()\nEnd Sub\n\nPrivate Sub hyperlink_Click(ByVal sender As Object, ByVal e As RoutedEventArgs)\nDim person As New Person(\"Nancy Davolio\", Colors.Yellow)\nEnd Sub\nEnd Class\nEnd Namespace\n\n\nThe following figure shows the result.\n\nFrom this figure, you can see that nothing useful is displayed. In fact, the value that is displayed is the return value of the ToString method for the Person object; by default, this is the only value that WPF can use to represent your object. You could override the ToString method to return more meaningful information, although it will still only be a string value. One technique you can use that takes advantage of the presentation capabilities of WPF is to use a data template. You can implement a data template that WPF can associate with an object of a particular type. The following code shows a data template for the Person object.\n\n<Application\nxmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\"\nxmlns:x=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\"\nxmlns:local=\"clr-namespace:SDKSample\"\nx:Class=\"SDKSample.App\"\nStartupUri=\"HomePage.xaml\">\n\n<Application.Resources>\n\n<!-- Data Template for the Person Class -->\n<DataTemplate DataType=\"{x:Type local:Person}\">\n<TextBlock xmlns=\"http:\/\/schemas.microsoft.com\/winfx\/2006\/xaml\/presentation\">\n<TextBlock FontWeight=\"Bold\">Name:<\/TextBlock>\n<TextBlock Text=\"{Binding Path=Name}\" \/>\n<LineBreak \/>\n<TextBlock FontWeight=\"Bold\">Favorite Color:<\/TextBlock>\n<TextBlock Text=\"{Binding Path=FavoriteColor}\" \/>\n<\/TextBlock>\n<\/DataTemplate>\n\n<\/Application.Resources>\n\n<\/Application>\n\n\nHere, the data template is associated with the Person type by using the x:Type markup extension in the DataType attribute. The data template then binds TextBlock elements (see TextBlock) to the properties of the Person class. The following figure shows the updated appearance of the Person object.\n\nAn advantage of this technique is the consistency you gain by being able to reuse the data template to display your objects consistently anywhere in your application.\n\n## Security\n\nWPF navigation support allows XBAPs to be navigated to across the Internet, and it allows applications to host third-party content. To protect both applications and users from harmful behavior, WPF provides a variety of security features that are discussed in Security and WPF Partial Trust Security.","date":"2020-08-05 11:37:34","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 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\": 0.29753637313842773, \"perplexity\": 3715.7656600960686}, \"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-2020-34\/segments\/1596439735939.26\/warc\/CC-MAIN-20200805094821-20200805124821-00066.warc.gz\"}"} | null | null |
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A minibar is a small refrigerator, typically an absorption refrigerator, in a hotel room or cruise ship stateroom. The hotel staff fill it with drinks and snacks for the guest to purchase during their stay. It is stocked with a precise inventory of goods, with a price list. The guest is charged for goods consumed when checking out of the hotel. Some newer minibars use infrared or other automated methods of recording purchases. These detect the removal of an item, and charge the guest's credit card right away, even if the item is not consumed. This is done to prevent loss of product, theft and lost revenue.
The minibar is commonly stocked with small bottles of alcoholic beverages, juice, bottled water, and soft drinks. There may also be candy, cookies, crackers, and other small snacks. Prices are generally very high compared to similar items purchased from a store, because the guest is paying for the convenience of immediate access and also the upkeep of the bar. Prices vary, but it is common for one can of non-alcoholic beverage to cost $6–10 USD. Due to the convenience of room service and the minibar, prices charged to the patron are much higher than the hotel's restaurant or tuck shop. As premium bottled water has become popular with guests since the 2000s, there is "ambient placement" of such chargeable products outside the minibar and in the guests' line of vision; for example "by placing [bottled] water on bedside tables, during the night, people are more likely to grab it than get up to get a glass of water".
The world's first minibar was introduced at the Hong Kong Hilton Hotel by manager Robert Arnold in 1974. In the months following its introduction in-room drink sales increased 500%, and the Hong Kong Hilton's overall annual revenue was boosted by 5%. The following year the Hilton group rolled out the minibar concept across all its hotels.
In recent years, as minibars become less and less popular with guests, hotels have been eliminating this feature from their rooms. It takes staff considerable time to re-stock the traditional mini-bar inventory and monitor its use precisely, and such manual work is prone to human error. In recent years cunning guests have managed to game the traditional minibar system, such as replacing or emptying the contents of items (also known as "shrinkage"), consuming items before immediately lodging a complaint to switch hotel rooms, and disputing the minibar charges at check-out time. Some newer minibars use infrared or other automated methods of recording purchases, detecting the removal of an item and automatically charge the guest's credit card right away, even if the item is not consumed. A hotel may also charge a "personal use" fee if the guest uses the minibar to store their own items.
From absorption cooling unit to compressor
Typically the minibar cooling unit was different from standard refrigerators, using absorption technology. An Italian company was the first manufacturer to install a compressor mini-refrigerator in the NASA Space Shuttle in 1982. A compressor refrigeration unit, in addition to a timer
and a eutectic plate, allow saving more energy, compared to a traditional absorption minibar.
See also
References
External links
Hotel terminology
Food storage
Cooling technology
Food preservation
Refrigerators | {
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{"url":"http:\/\/encyclopedia.kids.net.au\/page\/ha\/Hack_(game)","text":"## Encyclopedia > Hack (game)\n\nArticle Content\n\n# Hack (game)\n\nHack is a roguelike computer game originally written in 1985 by Jay Fenlason[?] with the assistance of Kenny Woodland, Mike Thome, and Jon Payne.\n\nHack was an improved version of the Rogue computer game. It introduced character classes, pets, and shops as additional gameplay elements and expanded available lists of monsters, items, and spells.\n\nAll Wikipedia text is available under the terms of the GNU Free Documentation License\n\nSearch Encyclopedia\n Search over one million articles, find something about almost anything!\n\nFeatured Article\n Quadratic formula ... yields $x+\\frac{b}{2a}=\\frac{\\pm\\sqrt{b^2-4ac}}{2a}.$ Subtracting b\/(2a) from both sides, w ...","date":"2020-09-20 11:30:50","metadata":"{\"extraction_info\": {\"found_math\": true, \"script_math_tex\": 0, \"script_math_asciimath\": 0, \"math_annotations\": 0, \"math_alttext\": 0, \"mathml\": 0, \"mathjax_tag\": 0, \"mathjax_inline_tex\": 1, \"mathjax_display_tex\": 0, \"mathjax_asciimath\": 0, \"img_math\": 0, \"codecogs_latex\": 0, \"wp_latex\": 0, \"mimetex.cgi\": 0, \"\/images\/math\/codecogs\": 0, \"mathtex.cgi\": 0, \"katex\": 0, \"math-container\": 0, \"wp-katex-eq\": 0, \"align\": 0, \"equation\": 0, \"x-ck12\": 0, \"texerror\": 0, \"math_score\": 0.6100918650627136, \"perplexity\": 8706.814501872665}, \"config\": {\"markdown_headings\": true, \"markdown_code\": true, \"boilerplate_config\": {\"ratio_threshold\": 0.18, \"absolute_threshold\": 10, \"end_threshold\": 15, \"enable\": true}, \"remove_buttons\": true, \"remove_image_figures\": true, \"remove_link_clusters\": true, \"table_config\": {\"min_rows\": 2, \"min_cols\": 3, \"format\": \"plain\"}, \"remove_chinese\": true, \"remove_edit_buttons\": true, \"extract_latex\": true}, \"warc_path\": \"s3:\/\/commoncrawl\/crawl-data\/CC-MAIN-2020-40\/segments\/1600400197946.27\/warc\/CC-MAIN-20200920094130-20200920124130-00113.warc.gz\"}"} | null | null |
/* Licensed under the Apache License, Version 2.0 (the "License");
* you may not use this file except in compliance with the License.
* You may obtain a copy of the License at
*
* http://www.apache.org/licenses/LICENSE-2.0
*
* Unless required by applicable law or agreed to in writing, software
* distributed under the License is distributed on an "AS IS" BASIS,
* WITHOUT WARRANTIES OR CONDITIONS OF ANY KIND, either express or implied.
* See the License for the specific language governing permissions and
* limitations under the License.
*/
package org.flowable.engine.impl.cmd;
import java.io.Serializable;
import org.flowable.engine.common.api.FlowableIllegalArgumentException;
import org.flowable.engine.common.api.FlowableObjectNotFoundException;
import org.flowable.engine.delegate.event.FlowableEngineEventType;
import org.flowable.engine.delegate.event.impl.FlowableEventBuilder;
import org.flowable.engine.impl.context.Context;
import org.flowable.engine.impl.interceptor.Command;
import org.flowable.engine.impl.interceptor.CommandContext;
import org.flowable.engine.impl.persistence.entity.HistoryJobEntity;
import org.flowable.engine.runtime.Job;
import org.slf4j.Logger;
import org.slf4j.LoggerFactory;
/**
* @author Tijs Rademakers
*/
public class DeleteHistoryJobCmd implements Command<Object>, Serializable {
private static final Logger log = LoggerFactory.getLogger(DeleteHistoryJobCmd.class);
private static final long serialVersionUID = 1L;
protected String historyJobId;
public DeleteHistoryJobCmd(String historyJobId) {
this.historyJobId = historyJobId;
}
public Object execute(CommandContext commandContext) {
HistoryJobEntity jobToDelete = getJobToDelete(commandContext);
sendCancelEvent(jobToDelete);
commandContext.getHistoryJobEntityManager().delete(jobToDelete);
return null;
}
protected void sendCancelEvent(HistoryJobEntity jobToDelete) {
if (Context.getProcessEngineConfiguration().getEventDispatcher().isEnabled()) {
Context.getProcessEngineConfiguration().getEventDispatcher().dispatchEvent(FlowableEventBuilder.createEntityEvent(FlowableEngineEventType.JOB_CANCELED, jobToDelete));
}
}
protected HistoryJobEntity getJobToDelete(CommandContext commandContext) {
if (historyJobId == null) {
throw new FlowableIllegalArgumentException("jobId is null");
}
if (log.isDebugEnabled()) {
log.debug("Deleting job {}", historyJobId);
}
HistoryJobEntity job = commandContext.getHistoryJobEntityManager().findById(historyJobId);
if (job == null) {
throw new FlowableObjectNotFoundException("No history job found with id '" + historyJobId + "'", Job.class);
}
return job;
}
}
| {
"redpajama_set_name": "RedPajamaGithub"
} | 4,418 |
Maxim Kontsevich, Ph.D.
Permanent Professor, AXA-IHES Chair in Mathematics , Institut des Hautes Études Scientifiques
Kontsevich was born in 1964 in the USSR. He studied mathematics at Moscow State University where he was a student of Israel Gelfand. In 1992, he received his Ph.D. from the University of Bonn in Germany. Don Zagier served as his thesis advisor. For one year, he was a professor at the University of California, Berkeley. Since 1995, he has been a permanent professor at the Institut des Hautes Etudes Scientifiques in Bures-sur-Yvette, France. Kontsevich works in many areas of modern mathematics and mathematical physics and has received numerous prizes, including the Fields Medal in 1998.
Advancing Research in Basic Science and Mathematics Subscribe to our newsletters to receive news & updates | {
"redpajama_set_name": "RedPajamaCommonCrawl"
} | 8,596 |
T. R. Halvorson is a lawyer in sole practice in Sidney, MT, President of Pastel Programming Co. , and author of How to Avoid Liability: The Information Professional's Guide to Negligence and Warranty Risks and Legal Liability Problems in Cyberspace: Craters in the Information Highway.
Searchers have responsibility for the quality of information in the Web world. We should publish quality evaluations of selected Web resources to commend information providers when they do well and promote improvement where quality problems exist. The Southern California Online Users Group (SCOUG) Rating Scale is an apt instrument for measuring quality.1 Previously I presented a SCOUG-inspired quality evaluation of the LOIS Law Library.2 In this article I apply the same Rating Scale to V.
V. is a subscription legal research service on the Web covering state and federal appellate court opinions provided by VersusLaw, Inc. V. provides databases for all 50 states and the District of Columbia, the federal courts of appeals for all circuits including the D.C. Circuit and the Federal Circuit, and the United States Supreme Court. The databases cover only court decisions; there is no coverage of statutes, administrative codes, court rules, jury instructions, attorney general opinions, or other material.
The earliest full-orbed view of quality and value of information in the electronic age I can find is the work of the 1990 annual SCOUG retreat. The retreat produced the SCOUG Rating Scale, a framework for judging performance in ten broad categories: consistency, coverage and scope, timeliness, accuracy/error rate, accessibility/ease of use, integration, output, documentation, customer support and training, and value-to-cost ratio.3 The SCOUG Rating Scale has proven sturdy as we moved into the Web world and has inspired a number of rating scales adapted to Web resources. My proposal to publish SCOUG-inspired evaluations of selected Web resources would be ridiculous for many legal research sites: they aren't worth rating. While viewing V. through SCOUG lenses reveals its defects, as with LOIS, at least this is a resource worth looking at that closely.
All of these are flat-rate prices. The single price includes everything. There are no connect time, printing, or downloading charges. Though the backfiles are not as deep as on Westlaw and Lexis and the kinds of materials are not as broad as on LOIS, at 6.95 per month V. presents an extremely favorable value-to-cost ratio. It is especially attractive for many solo practitioners, smaller law firms, and non-lawyers. VersusLaw uses PLWeb Turbo, a well known and credible search engine. Though viewing the service through the lenses of the SCOUG Rating Scale does reveal defects in the service, at these prices, the value-to-cost ratio holds up.
Searching V. is thoroughly consistent from file to file. The individual jurisdictions do not have their own search pages. State court opinions are searched on cross-file searching pages. Check boxes for state court databases appear on the state opinions searching page. The search page for each federal circuit includes check boxes for state court opinions from states with each respective federal circuit. V. obtains court opinions directly from the courts and reformats them very neatly and consistently. They are much more attractive than they way they look as typed by the courts and they have a consistent look and feel from file to file. In each opinion, V. provides a medium-neutral citation. In most instances this is a value-added feature since the courts themselves only began giving medium-neutral citations in recent years. The documentation pages at the site quote from the Bluebook telling how to use these citations. V.'s opinions provide internal paragraph numbering for pinpoint citation. This again is a value-added feature included in all opinions however old they may be. V. often provides the official citation and the parallel citation to West's reporters. Footnotes within opinions are hyperlinked bi-directionally.
You can determine the depth of the backfile for any of the included jurisdictions easily in either of two ways. On the opening page of V. (not the home page of VersusLaw), click on the Contents navigational button on the left side of the page. That takes you to a page documenting the depth of all files. You can call the same page by clicking the "Click here for jurisdiction descriptions" hyperlink near the top of any search page.
As of the date of this review, V. did not document the currency of its databases anywhere at its site. Early on March 8, 1999 I sent email to the company's president, Joe Action, inquiring about this and several other points. By the middle of the morning I received telephone call from Jim Corbett at VersusLaw's offices one time zone behind mine. You have to call that responsive. He described the frequency of loading new cases onto the system. U. S. Supreme Court cases are loaded three to four times each day the Court is in session and issuing opinions. In the files for many other jurisdictions, new cases are load daily, usually the same day they are issued by the courts. I located an independent pilot study of case law currency conducted by Paul Axel-Lute at Rutgers University one year ago. He studied the currency of a sampling of cases using decisions of the New Jersey Supreme Court and the New Jersey Appellate Division. His findings for those courts support what Corbett told me. Axel-Lute's study compared V. to Westlaw and Lexis and found V. more current than either of those services.
"otice [must be] reasonably calculated, under all the circumstances, to apprise interested parties of the pendency of the action and afford them an opportunity to present their objections . . . . hen notice is a person's due . . . he means employed must be such as one desirous of actually informing the absentee might reasonably adopt . . . . " Mullane v. Central Hanover Bank & Trust Co., 339 U.S. 306, 314-15, 70 S. Ct. 652, 657 (1950) (citations omitted).
¶14 Original jurisdiction is the "urisdiction to consider a case in the first instance. Jurisdiction of court to take cognizance of a cause at its inception, try it, and pass judgment upon the law and facts. Distinguished from appellate jurisdiction." Blacks Law Dictionary 1099 (6th ed. 1990).
¶17 Before 1988, 47 O.S. 1981, Section 6-211(a), vested the district courts with original jurisdiction over petitions filed by "ny person denied a license, or whose license has been canceled, suspended, or revoked" by DPS, except in enumerated instances.
The page is simple and loads rapidly. The whole page fits in one browser screen. Suppose you choose the Ninth Circuit, the system presents the search page. Eliminating graphics and simplifying a bit, the page looks something like this.
Please complete the following 5 steps.
1. SELECT JURISDICTION(S). Select the jurisdiction(s) you want to search.
4. NUMBER OF RESULTS YOU WANT: 50 5. SUBMIT SEARCH.
This page also is simple and loads rapidly. The sequence of pages is simple. There are only two: the jurisdiction selection page and the corresponding search page.
Notice that the search page for the example of the Ninth Circuit includes the state appellate court decisions for the states comprising that circuit and the U. S. Supreme Court. This is a sensible layout that works well for the smaller law firm. To search other states, you need to choose "State Appellate" at the jurisdiction selection page. To search other federal circuits, you need to choose "Federal Circuit." There are are no pages for individual jurisdictions. If you want to search an individual jurisdiction, click the check box for that jurisdiction only. If you want to search multiple jurisdictions, click as many check boxes as you like. If you click the last check box labeled "All the above jurisdictions," be sure not to check any others.
V. includes a hyperlink on every search page, Search Query Operators, letting you call a page summarizing how its operators work. That's accessibility. The summary page is nicely formatted in a table. That facilitates its rapid-reminder purpose making for ease of use. At the bottom of that page, you can click on another link that calls a Search Operator Comparison Chart page. The comparison chart allows you to see quickly how V.'s operators compare with the ones on Lexis and Westlaw.
The service suffers from my pet peeve: you can't just press Enter to submit a search. You have to click the Submit command button. On some search pages with many jurisdictions, the Submit command button sometimes scrolls out of view. A better design would be a vertical button that can be clicked from anywhere on the page. Any solution that would make it possible to submit a search from anywhere on the page would be an improvement.
The stemming operator, +, works at least as a bi-directional truncation operator. That is, it truncates on both the right-hand side and the left-hand side of a word. True stemming involves more: It hits on words with the same semantic root. Truncation considers only similarity of form while stemming considers relatedness of meaning. Implementing true semantic stemming is not simple.4 PLWeb Turbo by default uses a modified version of the Porter Algorithm for suffix stripping,5 but stemmers can be replaced by the administrator via dynamically loadable components. I cannot tell for sure whether V.'s stemming operator provides semantic stemming or only bi-directional truncation.
To expressly state an order of operation, you can use parentheses, ( and ), in the familiar manner. V. supports nesting with parentheses.
The search form makes it obvious how you can restrict a search by date. You can perform some additional field-restricted searching, which V. calls shortcut searching. This terminology would confuse many expert searchers who consider "shortcut" searching to be command stacking. Although you can combine shortcut search expressions on V., since it is the only way to do field-restricted searching, the choice of terminology could be better. The supported fields include: court, parties, counsel, docket number (expressed as "docket"), citation (expressed as "cite"), date (expressed as "dated"), panel, and author. The form of the expression is the field and the term separated by a colon, but in the opposite order from what might be expected: You must type the term first, then the colon followed by the field name. To search by citation, for example, the form would be "868 p.2d 772:cite" rather than "cite:868 p.2d 772." There is no data normalization on these fields: You have to know the way the court expressed it, which could vary not only from court to court but from opinion to opinion of the same court, so you are advised to combine alternatives with the OR operator.
V. says it offers natural language searching that is invoked whenever no Boolean operators appear in a search statement. It's true that PLWeb Turbo offers a sort of natural language searching. Its query processor parses and filters out noise words including those on the stop list of non-searchable words and some others that convey little or not meaningful content in a query statement, and then it inserts a default Boolean operator between the remaining words of the query. V. sets the default operator used in the natural language mode to ADJ. The manual at V.'s site gives as an example the search statement "negligent infliction of emotional distress" and explains that this will retrieve documents where those words are adjacent to each other. The ADJ operator provides the same results as if a w/1 operator were used. The result really is phrase searching. There is another example in another section of the manual, an unfortunate one: "cases of civil forfeiture under 21 U.S.C. resulting from the sale of drugs or marijuana." That example contains a Boolean operator. The second-to-last word is "or." The query processor picks up on the OR operator, so the query resolves into this: [a bunch of stuff] or [marijuana]. Since marijuana is such a common word in cases, running that query in all federal files results in 10,271 hits as of March 6, 1999. A search for the single word "marijuana" in the same files yields exactly the same number of hits. Removing the two trailing words "or marijuana" and submitting the rest of the statement yields zero hits. The non-noise words in that query never appear in that order as a phrase. The natural language searching that results from this setting is not what one might expect, but one must temper any disappointment by remembering that VersusLaw only charges 6.95 a month per lawyer. As a Volkswagen or a Ben and Jerry's, V. really is not touting natural language searching. Probably the manual mentions natural language because something has to be said given that the service uses PLWeb Turbo. If a searcher submits a query with no Boolean operators, instead of displaying a syntax error message, PLWeb Turbo will return a hit set and users need to know how that hit set was generated.
V. is reasonably well integrated. You can search multiple files. Selecting them is easy: Click check boxes for the files you want to search. Then enter your search statement.
V. fails to take advantage of hypertext technology. It does not cross-link citations the way, for example, LOIS does allowing you to immediately call a document from another database by simply clicking on the citation.
When you submit a search query, V. processes the query and presents the hit list. For each hit, three items of information are shown: an abbreviation indicating which court issued the opinion, the date of the document, and the name of the document (which is an unofficial abbreviation of the names of the parties). V. supports relevancy ranking and lists the hits in relevancy-ranked order. There are many approaches to relevancy ranking and V.'s research manual does a good job of explaining the approach it takes.
Here's the chief omission: there is no KWIC-like display format.
Search terms appear either in bold or red. V. is busy re-indexing its entire collection of over three million cases. The older format was red, and in the cases already re-indexed the newer, bold format appears.
V. displays documents in a very nice format. Internal paragraph numbers are added. Where the court issued the opinion with medium-neutral paragraph numbers, V. retains them and also provides its own pinpoint paragraph numbers. In the cases I viewed, there was no indication of pagination from the official report nor from West's regional reporters. Sometimes the cases retain the syllabi by the court and sometimes not. Graphics are omitted and only a general notice is given at the bottom of the document that "any" graphics in the original are not included. It would be helpful if V. were to insert a notation in the text where illustrations existed in the original so that a researcher would know when it might be necessary to consult a hardcopy reporter.
When you chose File Save As in your browser, the proposed file name always is fastweb.exe. If you just press Enter, your browser saves the currently displayed case to a file on your hard drive giving it that name. Be careful. Unless you think of your own file names and type them, you'll overwrite the first case you save with the second. LOIS also provides a default file name with a .exe extension, but nothing happens when you press enter. You must type a different file name. Now that I have seen what happens on V., what looked like an annoyance on LOIS now appears as a handy safeguard.
When you save a document, it becomes nicely formatted ASCII text.
Generally, documentation on V. is good. There is a "V. Research Manual" that is well organized, not too long, and yet fairly complete. There is an operator chart and an operator comparison chart to compare V.'s operators with those on Westlaw and Lexis. When you have read the manual once, probably the operator chart will be sufficient to remind you of anything you might forget. The manual discloses the list of stop words which are not searchable.
The documentation of currency is absent.
Subscribers receive both customer service and technical support. Live support is available by telephone Monday through Friday, 8 a.m. to 5 p.m. Pacific Time. The site offers a frequently asked questions page and a contacts page with email links to customer service, technical support, and departments. | {
"redpajama_set_name": "RedPajamaC4"
} | 6,713 |
Q: Extract specific values from lists in a dictionary I have a dictionary
d = {'B201': ['Alex', ' 10', 'Poor'],
'N298': ['Smith', ' 100', 'Aboveaverage'],
'N200': ['John', ' 98', 'Verygood'],
'B299': ['Mike', ' 4', 'Excellent']}
I want to extract names and store them into x, i.e. (Alex, Smith, John, Mike) and in another y variable I want to store Poor, Aboveaverage, Verygood, Excellent.
How can I achieve this task, as I am unable to select specific values from the dictionary using keys?
I tried executing d.values(),
but it is returning dict_values([['Alex', ' 10', 'Poor'], ['Smith', ' 100', 'Aboveaverage'], ['John', ' 98', 'Verygood'], ['Mike', ' 4', 'Excellent']]).
A: Options
You can use list comprehensions:
x = [entry[0] for entry in d.values()]
y = [entry[2] for entry in d.values()]
Or you can iterate over the dictionary values:
x = []
y = []
for entry in d.values():
x.append(entry[0])
y.append(entry[2])
If you want to get a bit more elegant you can use zip:
x, _, y = zip(*d.values())
How the zip approach works
The * prefix operator passes the values in the iterable supplied to it as separate arguments, essentially making the call
zip(['Alex', ' 10', 'Poor'], ['Smith', ' 100', 'Aboveaverage'], ['John', ' 98', 'Verygood'], ['Mike', ' 4', 'Excellent'])
The zip function then returns a list containing the first element of each argument, a list containing the second element of each argument, etc. We assign these lists to x and y, plus a temporary variable named _ that we ignore.
A: The values of the dict are arrays. If you know for sure that the first position from the array is the name you could iterate over the dictionary and append to x the values[0] and to y the values[2]. This is one easy to understand way to do it
x = []
y = []
for v in d.values():
x.append(v[0])
y.append(v[2])
A: To get all the names:
x = []
for value in d.values():
x.append(value[0])
or more simply, using a list comprehension:
x = [value[0] for value in d.values()]
I think you can figure out how you can do the same for the y values.
| {
"redpajama_set_name": "RedPajamaStackExchange"
} | 7,781 |
_Copyright © 1993 by Patricia Buckley Ebrey_
_Copyright © 1981 by The Free Press_
_All rights reserved. No part of this book may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage or retrieval system, without permission in writing from the Publisher._
_The Free Press
A Division of Simon & Schuster Inc.
1230 Avenue of the Americas
New York, N.Y. 10020_
www.SimonandSchuster.com
_Printed in the United States of America_
_printing number_
_17 19 20 18_
_Library of Congress Cataloging-in-Publication Data_
_Chinese civilization: a sourcebook / edited by Patricia Buckley Ebrey.—2nd ed., rev. and expanded._
_p. cm._
_Rev. and expanded ed. of: Chinese civilization and society._
_Includes bibliographical references and index._
_ISBN 0-02-908752-X_
eISBN-13: 978-1-4391-8839-2
_1. China—Civilization—Sources. 2. China—History—Sources. I. Ebrey, Patricia Buckley II. Chinese civilization and society._
_DS721.C517 1993_
_951—dc20 92-47017_
_CIP_
## **CONTENTS**
**Preface to the Second Edition**
**Preface to the First Edition**
**Contents According to Topics**
**A Note on the Selection and Translation of Sources**
**Map of China**
**I. THE CLASSICAL PERIOD**
**1. Late Shang Divination Records.** The questions and answers inscribed on oracle bones used to communicate with divine powers
**2. The Metal Bound Box.** A scene in which the Duke of Zhou offers his life to the ancestors in place of his nephew the king, from the _Book of Documents_
**3. Hexagrams in the _Book of Changes._** Two passages from an ancient diviners' manual
**4. Songs and Poems.** Songs of courtship, feasting, and war, from the _Book of Songs_
**5. The Battle Between Jin and Chu.** Description of the strategies, jockeying for position, and boasting of a major battle, from the _Zuo zbuan_
**6. Confucian Teachings.** Passages from the _Analects, Mencius,_ and _Xunzi_
**7. Daoist Teachings.** Passages from the _Laozi_ and _Zhuangzi_
**8. Legalist Teachings.** Passages from the _Book of Lord Shang_ and _Han Feizi_
**9. Two Avengers.** From the _Intrigues of the Warring States_
**10. Social Rituals.** The procedures to be followed when an inferior visits a superior and vice-versa, from the _Book of Etiquette and Ritual_
**II. THE QIN AND HAN DYNASTIES**
**11. Penal Servitude in Qin Law.** From excavated wooden-strip documents
**12. The World Beyond China.** From Sima Qian's _Historical Records_
**13. Heaven, Earth, and Man.** From the writings of Dong Zhongshu
**14. The Debate on Salt and Iron.** A court debate between the Legalist prime minister and the Confucian scholars about the role of the government in economic matters
**15. The Classic of Filial Piety.** A popular primer that glorifies the virtue of filial devotion
**16. Wang Fu on Friendship and Getting Ahead.** A second-century man's cynical view of how men get ahead
**17. Women's Virtues and Vices.** An exemplary biography of a model woman, the lament of a man whose wife was far from model, and a woman's admonitions to girls on how to behave
**18. Yin and Yang in Medical Theory.** The theory behind traditional medicine, from the _Yellow Emperor's Classic of Internal Medicine_
**19. Local Cults.** Three stone inscriptions describing shrines erected to honor various deities
**20. Uprisings.** Accounts of two religious leaders and the uprisings they staged
**III. THE ERA OF DIVISION AND THE TANG DYNASTY**
**21. Ge Hong's Autobiography.** By a fourth-century scholar and reluctant official
**22. Buddhist Doctrines and Practices.** Wei Shou's summary of Buddhist doctrines, hagiographic accounts of two monks, and documents found at Dunhuang showing Buddhist belief in practice
**23. Tales of Ghosts and Demons.** Three tales from a fourth-century collection
**24. Cultural Differences Between the North and the South.** Two views of the distinctions that developed during a period of political separation and non-Han domination in the North
**25. Emperor Taizong on Effective Government.** A summary of political theory, written by the second Tang emperor for his sons
**26. The Tang Legal Code.** Sections from the laws on theft and robbery and those on land and taxes
**27. The Errors of Geomancy.** An official's complaints about the profusion of theories
**28. The Dancing Horses of Xuanzong's Court.** Unusual and exotic entertainment
**29. Family Business.** Documents from Dunhuang on the sale of slaves, division of property, and household registration
**30. The Examination System.** Humorous and semihumorous anecodotes about men's efforts to pass the civil service examinations
**31. A Pilgrim's Visit to the Five Terraces Mountains.** From the diary of a Japanese monk who made a pilgrimage to one of the sacred sites of Buddhism
**IV. THE SONG AND YUAN DYNASTIES**
**32. The Tanguts and Their Relations with the Han Chinese.** Some Tangut maxims, a Tangut ruler's letter to the Song emperor, and the preface to a Chinese-Tangut glossary
**33. Book of Rewards and Punishments.** A moral tract associated with popular Daoism
**34. Precepts of the Perfect Truth Daoist Sect.** Principles of a Daoist monastic sect
**35. Wang Anshi, Sima Guang, and Emperor Shenzong.** A court debate between the leading activist and his conservative opponent and letters they wrote each other outlining their differences
**36. Rules for the Fan Lineage's Charitable Estate.** The rules by which a charitable trust was to be run for the benefit of the members of the lineage
**37. Ancestral Rites.** From a ritual manual giving the procedures to be followed
**38. Women and the Problems They Create.** Three folktale-like stories of unusual women and a sympathetic view of women's problems
**39. Longing to Recover the North.** Poems by six twelfth-century writers expressing their anguish at the loss of China's heartland
**40. Zhu Xi's Conversations with His Disciples.** Conversations between a leading neo-Confucian philosopher and his students
**41. The Attractions of the Capital.** A description of economic activity, entertainment, and amenities in the city of Hangzhou
**42. The Mutual Responsibility System.** One magistrate's instructions on how these units were to operate
**43. On Farming.** How to plant, weed, care for tools, budget time, and so on
**44. A Mongol Governor.** The biography of a Mongol who spent decades putting down rebellions and securing Mongol rule
**45. A Schedule for Learning.** Neo-Confucian rules and advice for teachers and students
**46. A Scholar-Painter's Diary.** Two weeks of social and intellectual activity
**V. THE MING DYNASTY**
**47. Proclamations of the Hongwu Emperor.** A despot's complaints about how difficult it was to get his subjects to act properly
**48. The Dragon Boat Race.** A description of the festival as performed in one place in Hunan
**49. Village Ordinances.** Sample ordinances a village could adopt
**50. Commercial Activities.** Sample contracts, an essay on merchants, and a biography of an admired one
**51. What the Weaver Said.** An artisan's view of his work
**52. Tenants.** Two contracts specifying the responsibilities of quasi-hereditary tenant-servants on one estate and reports of riots by tenants
**53. Shi Jin the Nine-Dragoned.** Episode from a novel describing the background of one outlaw
**54. Family Instructions.** Advice and rules found in a lineage genealogy
**55. Concubines.** How concubines were bought, the reminiscences of a man for a beloved concubine, and an episode from a novel depicting the ploys of a malicious concubine
**56. Widows Loyal Unto Death.** Accounts from a local history glorifying women who showed loyalty to their dead husbands by killing themselves
**57. Two Philosophers.** Letters and conversations of two important thinkers, Wang Yangming and Li Zhi
**58. A Censor Accuses a Eunuch.** A memorial to the emperor accusing the eunuch Wei Zhongxian of usurping his authority and acting tyrannically
**VI. THE QING DYNASTY**
**59. The Yangzhou Massacre.** One family's experiences, recounted in a diary
**60. Proverbs About Heaven.** Standard sayings
**61. Taxes and Labor Service.** A description of the forms in which taxes and service were assessed in one county
**62. Permanent Property.** The advice a man gave his sons concerning the importance of owning land and how to manage it
**63. Lan Dingyuan's Casebook.** Two examples of how an energetic Magistrate solved administrative and legal cases
**64. Exhortations on Ceremony and Deference.** A lecture delivered by an official in the hope of teaching villagers good behavior
**65. Village Organization.** Two records of village affairs, one about a water-use agreement, the other the creation of a fair
**66. The Village Headman and the New Teacher.** Episode from a novel about how a teacher was hired
**67. Boat People.** A local history's account of a minority group
**68. Placards Posted in Guangzhou.** Official orders to admit foreigners to the city after the Opium War and protests from local residents
**69. Infant Protection Society.** An account of one man's efforts to stem infanticide
**70. Mid-Century Rebels.** Confessions, proclamations, petitions, and descriptions of a number of different rebel groups
**71. The Conditions and Activities of Workers.** A stone inscription recording official disapproval of organizing by workers and an official report of working conditions in a water-logged mine
**72. Genealogy Rules.** The rules one lineage used in compiling its genealogy
**VII. THE EARLY TWENTIETH CENTURY**
**73. Liang Qichao on His Trip to America.** Comments on the amazing sights in New York, and reflections on Chinese social organization
**74. Ridding China of Bad Customs.** Proposals for ways to end footbinding, suppress opium addiction, and free young girl bondservants
**75. Rural Education.** Recollections of a teacher introducing science to a rural school
**76. My Old Home.** A story showing problems of communication between upper and lower class men
**77. The Spirit of the May Fourth Movement.** Recollections of a woman who had been in middle school at the time
**78. The Haifeng Peasant Association.** How one man tried to organize peasants
**79. The Dog-Meat General.** An account of one of the more incompetent and brutal warlords
**80. The General Strike.** A magazine account of a strike in Shanghai in 1928
**81. Funeral Processions.** A description of two funeral processions with a list of the equipment used and the cost
**82. My Children.** An essay by a man with five children
**83. The Life of Beggars.** An account of the social organization of beggars and their various techniques of earning a living
**84. Generalissimo Jiang on National Identity.** Two speeches, early and late in the War Against Japan, on China's relations with other countries and the relations of the various nationalities within China
**VIII. THE PEOPLE'S REPUBLIC**
**85. The Communist Party.** A speech by Liu Shaoqi on party organization and discipline
**86. Land Reform.** An episode from a novel showing peasants learning "to stand up"
**87. Hu Feng and Mao Zedong.** Letters of a leading intellectual which Mao published with his own commentary on how they demonstrated his counterrevolutionary tendencies
**88. A New Young Man Arrives at the Organization Department.** An episode from a story of the conflict between an idealistic young party member and the entrenched power structure
**89. Peng Dehuai's Critique of the Great Leap Forward.** Peng's letter to Mao offering measured criticism of his policies
**90. Developing Agricultural Production.** A newspaper account of efforts to inspire members of a production brigade to work harder
**91. Lei Feng, Chairman Mao's Good Fighter.** Inspirational anecdotes about a model worker and soldier, devoted to aiding the people
**92. Housing in Shanghai.** A newspaper article describing the effects of state control of housing
**93. Red Guards.** Red Guards' accounts of their activities during the Cultural Revolution
**94. Victims.** A short story written after the fall of the "Gang of Four," showing some of the negative effects on both the older and younger generations of the Cultural Revolution
**95. The Changing Course of Courtship.** Four documents that show the changing circumstances in which young people have looked for spouses
**96. The One-Child Family.** One province' regulations for fostering the one-child family and a magazine article on the pressure young mothers have experienced because of this policy
**97. Economic Liberalization and New Problems for Women.** Newspaper and magazine articles protesting some of the ways new policies have had adverse effects on women's employment or welfare
**98. Peasants in the Cities.** An interview and a newspaper article concerning the rural residents who flocked to the cities in the 1980s
**99. Posters Calling for Democracy.** Posters from the 1989 Democracy Protests
**100. Defending China's Socialist Democracy.** A newspaper article refuting the views of those who believe that the West is more democratic than China
**Glossary**
**Suggestions for Further Reading**
**Original Sources**
**Index**
## **PREFACE TO THE SECOND EDITION**
Over the years I have had the pleasure of meeting and talking with many students and teachers who used _Chinese Civilization and Society: A Sourcebook_ in their classes. Repeatedly they told me that what they liked most about it was its liveliness—the variety in the kinds of sources, the abundance of ones about ordinary life, the sprinkling of humor and glimpses of personal life. For their sakes I have long been thinking I should update it to bring it up to the 1990s and take into account reevaluations of the Mao years.
When I finally found the time to tackle revisions, I decided to do a more thorough rethinking of the overall purposes of this sourcebook and how it actually gets used. My original goal fifteen years ago was to get into print lots of new translations of the sorts of documents that had been neglected in other sourcebooks: popular stories, descriptions of local customs, texts like tenancy contracts, essays that would reveal how relatively ordinary people thought, and so on. There were already many good translations of philosophical and religious texts, of standard historical accounts of great events, and of China's relations with foreign peoples, so I did not give these topics as much space as texts about daily life or the mental world of ordinary people. From my conversations with colleagues around the country who have been assigning this book to their students, I have come to realize that few of them assign any other sourcebook or any other original texts. Chinese history is commonly taught in a rapid survey lasting only one or two semesters, with never enough time to read widely in the available translations. The _Sourcebook_ would better meet classroom needs, I now realized, if it gave balanced coverage to all aspects of Chinese civilization, regardless of whether a source had also been translated elsewhere.
Consequently I have made revisions throughout this book. The selection of sources for China since 1949 has been extensively revised and the coverage of the earliest periods expanded. Sometimes I have substituted an earlier piece for a later one on the same subject; for instance, I added a selection from the Tang code in place of one from the Ming code and some fourth-century ghost stories instead of some seventeenth-century ones. I have also expanded coverage of philosophy and religion in general, with new selections on Confucianism, Taoism, Legalism, and Buddhism. In addition, I have added quite a few pieces that relate to political ideas and practices and to China's contacts with foreign peoples. Altogether there are thirty-nine new selections, bringing the total to one hundred. To make room for these new pieces, I have had to make cuts, sometimes shortening pieces, sometimes eliminating ones that seemed, on balance, to contribute less to the overall understanding of Chinese civilization. Although the final selection is still rich in sources for social and cultural history, I now believe that it is sufficiently well rounded to serve as the sole sourcebook in a course on Chinese history or civilization. To bring attention to the change in the focus of this book, I decided to change the title as well, to _Chinese Civilization: A Sourcebook._
Several people have helped me prepare this new edition. My colleagues Kai-wing Chow, Peter Gregory, and Kenneth Klinker offered advice on new selections. Chiu-yueh Lai did the conversions from Wade-Giles to pinyin romanization. She and Chunyu Wang each translated one of the new pieces. Susan Harum helped with the final preparation of the manuscript. Two scholars at other universities generously provided translations in areas of their expertise, David Keightley of the University of California at Berkeley and Ruth Dunnell of Kenyon College. The remainder of the new translations I did myself.
P.B.E.
September 1992
## **
PREFACE TO THE FIRST EDITION**
This sourcebook came into being because of my belief that listening to what the Chinese themselves have had to say is the best way to learn about China. In teaching Chinese history and culture, however, I found that available translations were of limited use for the kinds of questions students were asking: How different were ordinary Chinese from ordinary Westerners? Did their different religions or philosophies lead to major differences in daily life? Did the Chinese have the same kinds of personal, social, and political problems as we do, or different ones? To help students find answers to these questions, I had to search for sources that could tell us more about the lives, outlooks, and habits of the full range of the Chinese population, not merely philosophers and scholars, but also women, peasants, townsmen, and undistinguished local officials. Since such people seldom wrote essays or autobiographies, I had to look for different kinds of sources—folk songs, plays, moral primers, descriptions, contracts, newspaper articles, and so on.
My efforts to make a sourcebook out of this material could never have succeeded without the generous help of others. Acknowledgment for funding must be made to the National Endowment for the Humanities for an Education Project Grant. This grant allowed me to employ several graduate-student research assistants. Jane Chen, Lucie Clark, Mark Coyle, Nancy Gibbs, Lily Hwa, Jeh-hang Lai, Barbara Matthies, and Clara Yu helped prepare, correct, and polish the translations in this book. Although all the translations we did are attributed to specific translators, they are in fact joint efforts, since in all cases either I as editor or one of the assistants extensively revised the translation to improve accuracy or style. Clara Yu's contribution to this book deserves particular note; she worked with me from the inception of the project to its completion and is responsible for thirty of the eighty-nine selections.
Over the past five years, I have also regularly profited from the advice and criticisms of colleagues. Robert Crawford and Howard Wechsler helped test the translations in courses at the University of Illinois. Several other faculty members at Illinois have been ready to answer my questions on subjects about which they knew more than I, including Richard Chang, Lloyd Eastman, James Hart, Richard Kraus, Whalen Lai, and William MacDonald. I have also benefited greatly from the reactions and suggestions of professors at other colleges who saw earlier versions of this sourcebook in whole or part. These include Suzanne Barnett (University of Puget Sound), David Buck (University of Wisconsin-Milwaukee), Parks Coble (University of Nebraska), Wolfram Eber-hard (University of California, Berkeley), Edward Farmer (University of Minnesota), Charlotte Furth (California State University at Long Beach), Peter Golas (University of Denver), John Langlois (Bowdoin College), Susan Mann Jones (University of Chicago), Susan Naquin (University of Pennsylvania), John Meskill (Barnard College), Keith Schoppa (Valparaiso University), Jonathan Spence (Yale University), Philip West (Indiana University), and Arthur Wolf (Stanford University).
Finally, I was fortunate to have excellent clerical assistance from Mary Mann, who typed several versions of this manuscript, and Sandy Price, who helped with the final typing. Christina Pheley conscientiously corrected the page proofs and galleys.
P.B.E.
## **CONTENTS ACCORDING TO TOPICS**
#### **
RELIGION AND COSMOLOGY**
1. Late Shang Divination Records
2. The Metal Bound Box
3. Hexagrams in the _Book of Changes_
7. Daoist Teachings
13. Heaven, Earth, and Man
18. Yin and Yang in Medical Theory
19. Local Cults
20. Uprisings
22. Buddhist Doctrines and Practices
23. Tales of Ghosts and Demons
27. The Errors of Geomancy
31. A Pilgrim at the Five Terraces Mountains
33. Book of Rewards and Punishments
34. Precepts of the Perfect Truth Daoist Sect
60. Proverbs About Heaven
63. Lan Dingyuan's Casebook
#### **
CONFUCIANISM**
6. Confucian Teachings
10. Social Rituals
13. Heaven, Earth, and Man
15. The Classic of Filial Piety
17. Women's Virtues and Vices
35. Wang Anshi, Sima Guang, and Emperor Shenzong
37. Ancestral Kites
40. Zhu Xi's Conversations with His Disciples
45. A Schedule for Learning
57. Two Philosophers
64. Exhortations on Ceremony and Deference
#### **
GOVERNMENT**
2. The Metal Bound Box
4. Songs and Poems
6. Confucian Teachings
8. Legalist Teachings
11. Penal Servitude in Qin Law
14. The Debate on Salt and Iron
16. Wang Fu on Friendship and Getting Ahead
25. Emperor Taizong on Effective Government
26. The Tang Legal Code
28. The Dancing Horses of Xuanzong's Court
30. The Examination System
35. Wang Anshi, Sima Guang, and Emperor Shenzong
42. The Mutual Responsibility System
47. Proclamations of the Hongwu Emperor
58. A Censor Accuses a Eunuch
61. Taxes and Labor Service
63. Lan Dingyuan's Casebook
64. Exhortations on Ceremony and Deference
70. Mid-Century Rebels
77. The Spirit of the May Fourth Movement
79. The Dog-Meat General
80. The General Strike
84. Generalissimo Jiang on National Identity
85. The Communist Party
86. Land Reform
88. A New Young Man Arrives at the Organization Department
89. Peng Dehuai's Critique of the Great Leap Forward
90. Developing Agricultural Production
91. Lei Feng, Chairman Mao's Good Fighter
92. Housing in Shanghai
93. Red Guards
93. Victims
99. Posters Calling for Democracy
100. Defending China's Socialist Democracy
#### **
HISTORY WRITING AND HISTORICAL GENRE**
2. The Metal Bound Box
5. The Battle Between Jin and Chu
9. Two Avengers
12. The World Beyond China
19. Local Cults
20. Uprisings
21. Ge Hong's Autobiography
44. A Mongol Governor
46. A Scholar-Painter's Diary
58. A Censor Accuses a Eunuch
67. Boat People
70. Mid-Century Rebels
#### **
CONTACTS WITH OUTSIDE PEOPLES**
12. The World Beyond China
22. Buddhist Doctrines and Practices
28. The Dancing Horses of Xuanzong's Court
31. A Pilgrim's Visit to the Five Terraces Mountains
32. The Tanguts and Their Relations with the Han Chinese
39. Longing to Recover the North
44. A Mongol Governor
59. The Yangchow Massacre
68. Placards Posted in Guangzhou
73. Liang Qichao on His Trip to America
84. Generalissimo Jiang on National Identity
100. Defending China's Socialist Democracy
#### **
FAMILY, KINSHIP, AND GENDER**
15. The Classic of Filial Piety
17. Women's Virtues and Vices
29. Family Business
36. Rules for the Fan Lineage's Charitable Estate
37. Ancestral Rites
38. Women and the Problems They Create
54. Family Instructions
55. Concubines
56. Widows Loyal Unto Death
72. Genealogy Rules
74. Ridding China of Bad Customs
81. Funeral Processions
82. My Children
95. The Changing Course of Courtship
96. The One-Child Family
97. Economic Liberalization and New Problems for Women
#### **
LOCAL SOCIAL AND ECONOMIC ACTIVITIES**
4. Songs and Poems
41. The Attractions of the Capital
43. On Farming
48. The Dragon Boat Race
49. Village Ordinances
50. Commercial Activities
51. What the Weaver Said
52. Tenants
53. Shi Jin the Nine-Dragoned
65. Village Organization
66. The Village Headman and the New Teacher
67. Boat People
69. Infant Protection Society
71. The Conditions and Activities of Workers
75. Rural Education
76. My Old Home
78. The Haifeng Peasant Association
83. The Life of Beggars
86. Land Reform
92. Housing in Shanghai
97. Economic Liberalization and New Problems for Women
98. Peasants in the Cities
#### **
UPPER CLASS AND INTELLECTUALS**
5. The Battle Between Jin and Chu
10. Social Rituals
16. Wang Fu on Friendship and Getting Ahead
21. Ge Hong's Autobiography
24. Cultural Differences Between the North and the South
30. The Examination System
39. Longing to Recover the North
45. A Schedule for Learning
46. A Scholar-Painter's Diary
57. Two Philosophers
62. Permanent Property
69. Infant Protection Society
73. Liang Qichao on His Trip to America
74. Ridding China of Bad Customs
76. My Old Home
77. The Spirit of the May Fourth Movement
78. The Haifeng Peasant Association
87. Hu Feng and Mao Zedong
94. Victims
#### **
TALES AND FICTION**
9. Two Avengers
23. Tales of Ghosts and Demons
38. Women and the Problems They Create
53. Shi Jin the Nine-Dragoned
55. Concubines
66. The Village Headman and the New Teacher
76. My Old Home
86. Land Reform
88. A New Young Man Arrives at the Organization Department
94. Victims
## **A NOTE ON THE SELECTION AND TRANSLATION OF SOURCES**
In selecting sources for inclusion in this book, I had to balance many goals. Each source had to reveal something important about Chinese civilization, but at the same time I wanted each to be intrinsically interesting to read. I also tried to balance the needs of topical and chronological coverage and my desire to show something of the life of people in different stations in society. I have drawn from many well-known works but have also made a concerted effort to find sources about the lives of the kinds of people who did not ordinarily write, such as women, peasants, soldiers, artisans, and merchants.
Translating the sources was as challenging as selecting them. Fully capturing meaning, style, and mood is never possible. If we transpose other peoples' common ways of expression into ways of expression common to us, important elements of the culture are lost to us, for much of culture is communicated in the metaphors and imagery people use. On the other hand, to convey all of the meanings in a text usually results in such bad English that the intelligence, grace, or humor of the original is lost. And even when the style is satisfactory, bringing out too many subtleties from texts, especially popular works, can distort their real meaning. For instance, Buddhist monks certainly read more into technical Buddhist terms than lay persons do; to bring out all possible meanings for such terms in a popular moral tract or fictional story would be to misrepresent what it meant to much of the audience that actually read it. Unfortunately, judging how much an audience understood is nearly impossible. Did most people who invoked the phrase "the tyrant Xia Jie" know anything about Xia Jie except that he was a famous tyrant? If they did know more, was it very close to the Xia Jie of the historical accounts, or was it based on the portrayal of him in popular plays or operas?
Thus a number of compromises have been made in the translations in this sourcebook. To make extensive reading more inviting, we have translated into standard, easily intelligible English, often eliminating redundancies but trying to preserve much of the imagery and style of the original. Many selections have been abridged, but omissions are marked with ellipsis points (...). To avoid cluttering the text, footnotes and interpolations have been kept to an absolute minimum. When authors mention specific people, they are not identified when the point can be understood without it. Allusions and philosophical terms are translated simply, generally with little explanation. It is hoped that wide reading will give readers a surer sense of what authors and audiences understood by such terms than footnotes ever could.
## PART I
**THE CLASSICAL PERIOD**
The archaeological record of human existence in China goes back to the remote past. By the fifth millennium b.c. neolithic cultures flourished in several parts of the country. Archaeologists have found village settlements, finely decorated pottery, carved and polished jades, and evidence of ancestor worship. With the Shang dynasty (ca. 1600-ca. 1050 B.C.), the historical and archaeological records begin to coincide; the Chinese accounts of the Shang rulers match the diviners' inscriptions on animal bones and tortoise shells found during the past century at the city of Anyang in the Yellow River valley. The Shang had built a strong state on the basis of bronze technology, chariot warfare, and elaborate social differentiation. Shang kings could mobilize large armies for warfare and huge numbers of workers to construct defensive walls or elaborate tombs.
Much fuller historical records survive for the next dynasty, the Zhou (ca. 1050-256 B.C.). The Zhou house originated in what is now Shaanxi province in northwestern China, moving eastward to conquer the Shang and establish their rule over much of northern China. The early Zhou rulers secured their position by enfeoffing loyal supporters and relatives in different regions, thus establishing a social order somewhat like the feudal system in medieval Europe. The early Zhou dynasty was an age when blood kinship was honored and social status distinctions were stressed. Members of the nobility were linked both to each other and to their ancestors by bonds of obligation based on kinship. Ancestors were seen as having great influence over the living, with powers similar to but far surpassing those of the living elders of the clan. Even the relationship between lord and peasant was supposed to be a paternalistic one, the peasant serving the lord and the lord concerned about his welfare.
The Zhou kingdom remained strong for over two centuries, but its position gradually weakened, until finally in 771 B.C., the capital was sacked by non-Chinese tribes. The Zhou rulers then established a new capital further east in the Yellow River valley, marking the beginning of the Eastern Zhou. In this period real political power lay with the feudal states. The Zhou king continued to reign only because of the prestige of his house and the fact that no one feudal state was strong enough to dominate the others.
The Eastern Zhou is divided into two major eras, the Spring and Autumn period (722-481 B.C.) and the Warring States period (403-221 B.C.). During these centuries the states attacked and absorbed each other until only a half-dozen powerful ones survived. This period of political strife witnessed social and economic advances of all sorts, including the introduction of iron, the development of infantry armies, the circulation of money, the beginning of private ownership of land, the growth of cities, and the breakdown of class barriers. During this period also there was a gradual expansion of the culture of the North southward into the Yangzi River region, and at the same time elements of the indigenous culture of the lusher southern region were incorporated into the culture of the North.
The political disruption and social change of the late Zhou drew many men's attention to the problem of how to achieve stability. Those who responded to this challenge included not only military and political leaders but also many philosophers. The foremost philosophers were Confucius (551-479 B.C.) and his followers Mencius (ca. 370-ca. 300 B.C.) and Xunzi (ca. 310-ca. 215 B.C.), who emphasized the preservation of tradition and moral cultivation. They were closely rivaled at the time by the Mohists and Legalists, the former emphasizing frugality, discipline, and universal love, the latter law and statecraft. Opposed to all of these proposed methods of reform were the Daoists, who preached a return to the Dao or Way, the true condition of man, which had been lost through the process of civilization and could be regained only if people were allowed to return to naturalness. The proliferation of philosophy in this period was so great that it came to be known as the period of the "one hundred schools." Without doubt it was one of the most intellectually creative eras in Chinese history.
The major sources for the Classical period are the oracle bones and bronze inscriptions, the _Book of Documents,_ the _Book of Changes,_ the _Book of Songs,_ the ritual classics, several historical texts, and the essays and recorded sayings of the philosophers. Passages from these texts have been selected for inclusion here first of all to illuminate the Classical period. A second, complementary goal, is to introduce the classics themselves, important because they were studied by so many generations of Students and thus profoundly shaped the thinking of the educated.
## 1 **
LATE SHANG DIVINATION RECORDS**
_The kings of the late Shang (ca. 1200-1050 B.C.) attempted to communicate with the spiritual forces that ruled their world by reading the stress cracks in cattle bones and turtle plastrons. They and their diviners produced these cracks by applying a heated brand or poker to the consecrated bones or shells, intoning as they did so a charge that conveyed their intentions, wishes, or need to know. After the divination ritual was over, a record of the topic and, sometimes, of the prognostication and the result, was engraved into the bone. Those inscriptions, only recovered in the twentieth century by archaeologists and painstakingly deciphered by paleographers, provide direct contact with many of the Shang kings' daily activities and concerns. Some 150,000 oracle-bone fragments, mainly excavated at the late Shang cult center near modern Anyang, have been preserved, of which 50,000 have been thought worth reproduction. The following inscriptions—most of them from the reign of the twenty-first king, Wu Ding (ca. 1200-1181 B.C.), the heyday of Shang divination as it is recorded in the bone inscriptions—cover the topics that were of major concern to the Shang diviners. As in the first example, many of the early charges were paired, being expressed in both the positive and negative mode and placed in matching opposition on the bone. The inscriptions, as can be seen below, include references to Di, the high god of the Shang. The offering of cult to Di, however, was rarely divined, perhaps because, unlike the ancestors, Di was virtually beyond human comprehension and influence._
#### **
Sacrifices and Rituals**
[A] [Preface:] Divined: [Charge:] "[We] should offer to Xiang Jia, Father Geng, and Father Xin [the seventeenth, eighteenth, and nineteenth kings], one cow."
[B] [Preface:] Divined: [Charge:] "[We] should not offer to Xiang Jia, Father Geng, and Father Xin, one cow."
#### **
Mobilizations**
[Preface:] Crack-making on _dingyou_ [day 34], Que divined: [Charge:] "This season, the king raises five thousand men to campaign against the Tufang; he will receive assistance in this case." [Postface:] Third moon.
#### **Military Campaigns**
[A] Divined: "It should be Zhi Guo whom the king joins to attack the Bafang, [for if he does] Di will [confer assistance] on us."
[B] "It should not be Zhi Guo whom the king joins to attack the Bafang [for if he does] Di may not [confer assistance] on us."
#### **
Meteorological Phenomena**
[A] [Preface:] Crack-making on _bingshen_ [day 33], Que divined: [Charge:] "On the coming _yisi_ [day 42], [we] will perform the _you-_ ritual to Xia Yi [the twelfth king]." [Prognostication:] The king read the cracks and said: "When [we] perform the _yow-_ ritual there will be occasion for calamities; there may be thunder." [Verification:] On _yisi_ [day 42], [we] performed the _you-_ ritual. At dawn it rained; at the beheading sacrifice it stopped raining; when the beheading sacrifice was all done, it likewise rained; when [we] displayed [the victims] and split them open, it suddenly cleared.
[B] [Verification:] In the night of _yisi_ [day 42] there was thunder in the west.
#### **
Agriculture**
[A] [Preface:] Crack-making on [ _bing-_ ] _chen_ [day 53], Que divined: [Charge:] "We will receive millet harvest."
[B] [Preface:] Crack-making on _bingchen_ [day 53], Que divined: [Charge:] "We may not receive millet harvest." (Postface:) Fourth moon.
[C] [Prognostication:] The king read the cracks and said: "Auspicious. We will receive this harvest."
#### **
Sickness**
Divined: "There is a sick tooth; it is not Father Yi [the twentieth king, Wu Ding's father] who is harming [it]."
#### **
Childbirth**
[A] [Preface:] Crack-making on _jiashen_ [day 21], Que divined: [Charge:] "Lady Hao [a consort of Wu Ding] will give birth and it will be good." [Prognostication:] The king read the cracks and said: "If it be on a _ding_ day that she give birth, it will be good. If it be on a _geng_ day that she give birth, it will be prolonged auspiciousness." [Verification:] [After] thirty-one days, on _jiayin_ [day 51], she gave birth. It was not good. It was a girl.
[B] [Preface:] Crack-making on _jiashen_ [day 21], Que divined: [Charge:] "Lady Hao will give birth and it may not be good." [Verification:] [After] thirty-one days, on _jiayin_ [day 51], she gave birth. It really was not good. It was a girl.
#### **
Disaster, Distress, or Trouble**
[A] Crack-making on _jiashen_ [day 21], Zheng divined: "This rain will be disastrous for us."
[B] Divined: "This rain will not be disastrous for us."
#### **
Dreams**
[A] Crack-making on _jichou_ [day 26], Que divined: "The king's dream was due to Ancestor Yi."
[B] Divined: "The king's dream was not due to Ancestor Yi."
#### **
Settlement Building**
[A] Crack-making on _renzi_ [day 49], Zheng divined: "If we build a settlement, Di will not obstruct [but] approve." Third moon.
[B] Crack-making on _guichou_ [day 50], Zheng divined: "If we do not build a settlement, Di will approve."
#### **
Orders**
Crack-making on [ _jia_ ] _wu_ [day 31], Bin divined: "It should be Lady Hao whom the king orders to campaign against the Yi."
#### **
Tribute Payments**
[Marginal notation:] Wo brought in one thousand [shells]; Lady Jing [a consort of Wu Ding] ritually prepared forty of them. [Recorded by the diviner] Bin.
#### **
Divine Assistance or Approval**
[A] Crack-making on _xinchou_ [day 38], Que divined: "Di approves the king."
[B] Divined: "Di does not approve the king."
#### **
Requests to Ancestral or Nature Powers**
Crack-making on _xinhai_ [day 48], Gu divined: "In praying for harvest to Yue [a mountain spirit], [we] make a burnt offering of three small penned sheep [and] split open three cattle." Second moon.
#### **
The Night or the Day**
[A] Crack-making on _renshen_ [day 9], Shi divined: "This night there will be no disasters."
[B] Divined: "This night it will not rain." Ninth moon.
#### **
Hunting Expeditions and Excursions**
On _renzi_ [day 49] the king made cracks and divined: "[We] hunt at Zhi; going and coming back there will be no harm." [Prognostication:] The king read the cracks and said: "Prolonged auspiciousness." [Verification:] This was used. [We] caught forty-one foxes, eight _mi-_ deer, one rhinoceros.
#### **
The Ten-Day Week**
[A] On _guichou_ [day 50], the king made cracks and divined: "In the [next] ten days, there will be no disasters." [Prognostication:] The king read the cracks and said: "Auspicious."
[B] On _guihai_ [day 60], the king made cracks and divined: "In the [next] ten days, there will be no disasters." [Prognostication:] The king read the cracks and said: "Auspicious."
_Translated by David N. Keightley_
## 2 **
THE METAL BOUND BOX**
_The cult of the ancestors and the practice of divination as a means of learning the wishes of the ancestors remained important in the early Zhou period. This is shown in the story below concerning the Duke of Zhou, brother of the founder of the Zhou dynasty. King Wu. When King Wu died, his son, King Cheng, was still a child. The Duke of Zhou acted as regent for him for seven years but never attempted to take the throne himself. The story here, which begins while King Wu is still alive, shows the duke's assumptions about the needs, desires, and powers of ancestors._
_This selection is from the_ Book of Documents, _a collection of purported speeches, pronouncements, and arguments of the early kings and their advisers. The oldest of these documents date from the beginning of the Zhou dynasty, although the one included here is probably of later date. This book became one of the Five Classics, held sacred by the Confucians. Even though each document deals with a particular political situation, as a group they have been taken to provide an ideal statement of how government should be conducted._
Two years after he had conquered the Shang dynasty, King Wu became ill and grew despondent. The two ducal councillors advised making a reverent divination on behalf of the king. However, the Duke of Zhou said, "We must not upset our royal ancestors."
The duke then took the burden upon himself. He constructed three altars on a single lot of cleared ground. Then he constructed another altar to the south, facing north. Standing there, he arranged the jade disc and grasped the jade baton. Then he addressed his ancestors, King Tai, King Ji, and King Wen. The scribe recorded his prayer. It read, "Your principal descendant, whose name I dare not utter, has contracted a terrible and cruel illness. Heaven has made you three kings responsible for your distinguished son. Take me as a substitute for the king. I was kind and obedient to my father. I have many talents and skills, and can serve the ghosts and spirits. Your principal descendant is not as talented or skilled as I, nor can he serve the ghosts and spirits as well. Furthermore, he was given a mandate by the imperial ancestor to lend assistance to the four quarters that he might firmly establish your sons and grandsons here on the earth below. There are no people from the four quarters who do not stand in awe of him. Alas! Do not let the precious mandate which Heaven has conferred on him fail. With him, our royal ancestors will always have a refuge. I now seek a decree from the great tortoise. If you grant my request, I shall take the jade disc and baton and return to await your decree."
He divined with three tortoises, and they all indicated good fortune. He then opened the lock and looked at the writing; it too indicated good fortune. The duke said, "The configuration shows that the king will not suffer harm, and that I, the small child, have obtained a renewed mandate from the three kings. It is the long range that must be considered, and so I await my fate. They will take care of our king." The duke returned and put the scribe's record in a metal bound box. By the next day the king had improved.
After King Wu died, the Duke of Zhou's older brother, Guan Shu, along with his younger brothers, spread rumors around the country that the duke was not benefiting the young king. The Duke of Zhou informed the two ducal councillors, "Unless I flee from my brothers, I will not be able to report to our royal ancestors." The duke then lived in the east for two years, until the criminals were caught. Afterwards, he composed a poem, called "The Owl," which he presented to the young king. King Cheng, for his part, did not blame the duke at all.
In the autumn when the grain was full and ripe but not yet harvested, Heaven sent down a wind accompanied by great thunder and lightning. The grain was completely flattened. Even great trees were uprooted, and the citizens were very much afraid. King Cheng and his officers all put on their ceremonial caps and went to open the great writings in the metal bound box. Then they discovered the burden that the Duke of Zhou had taken on himself, how he had wished to substitute himself for King Wu. The two ducal councillors and the king then asked the scribe and all of the officers whether this had in fact happened. They replied, "It is true, but, oh, the duke commanded us not to utter a word about it."
The king took up the writing and cried, saying, "We need not reverently divine. Formerly the duke worked diligently for the royal family, but I was only a child and did not realize it. Now Heaven has stirred its awesome power to reveal the virtue of the Duke of Zhou. I, a small child, must greet him anew, in accordance with the ritual of our state and clan."
King Cheng then went out to the suburbs, and Heaven sent down rain and a wind from the opposite direction, so that all the grain stood up straight again. The two ducal councillors ordered the citizens to raise up and replant all of the trees which had been flattened. In that year there was a great harvest.
_Translated by James Hart_
## 3 **
HEXAGRAMS IN THE _BOOK OF CHANGES_**
_By early Zhou the interpretation of hexagrams gained favor as a method of divination. To obtain advice a person would randomly draw six milfoil stalks, long or short, to form a hexagram of six lines, broken or unbroken. A diviner would then interpret the hexagram according to traditional meanings associated with each of its lines. These meanings and interpretations became the_ Book of Changes.
_As befits a fortunetellers' handbook, many of the passages in the_ Book of Changes _are brief, even cryptic, susceptible to varying interpretations. Nevertheless, the_ Changes _came to be revered as one of the_ Five Classics, _and over the centuries thousands of scholars have tried to reconstruct its philosophical meanings. The selection below consists of the first hexagram, all whole lines and therefore the strongest, most creative or assertive hexagram, used to represent Heaven; and the second hexagram, all broken lines, therefore the most receptive and yielding hexagram, used to represent earth. The dualistic principles found in these hexagrams also underlie the theories of Yin (female, receptive, dark) and Yang (male, assertive, bright), which were more fully developed during the late Zhou period._
#### **
1. _QIAN_ (THE CREATIVE, HEAVEN)**
_Qian_ above
_Qian_ below
**The Judgment:** _Qian_ is the ultimate source. There is great success. There is benefit in perseverance.
Nine at the beginning: There is a hidden dragon. Do not use.
Nine in the second place: See the dragon in the field. It is beneficial to see a great man.
Nine in the third place: The gentleman strives to be creative all day. At night he acts with caution and restraint. There is no fault.
Nine in the fourth place: There is an uncertain leap at the abyss. There is no fault.
Nine in the fifth place: There is a flying dragon in Heaven. It is beneficial to see a great man.
Nine in the sixth place: The overbearing dragon is cause for regret.
Nine in all the lines: There appears a myriad of dragons without heads. This is good fortune.
**Commentary:** Great indeed is _qian_ the ultimate source. The ten thousand things receive their beginnings from it. It governs Heaven. The clouds drift by and the rain falls. All things flow into their forms. The ends and the beginnings are greatly illuminated. The six lines of the hexagram take shape at their own times.
In timely fashion they ride the six dragons and so rule over the heavens. The way of _qian_ is change and transformation. Each thing thereby achieves its true nature and destiny and assures that it is in accord with great harmony. There is great benefit and constancy. It stands out from all the things of the world, and the nations of the earth enjoy peace.
**The Image:** The movements of Heaven have great force. The gentleman invigorates himself and does not become jaded. There is a hidden dragon. Do not use it. The Yang still is buried below. See the dragon in the field. Virtue is everywhere. The gentleman strives to be creative all day. He always follows the correct way. There is an uncertain leap at the abyss. There is no fault in going forward. There is a flying dragon in the heavens. The great man is creative. The overbearing dragon is cause for regret. Nine in all the lines. The virtue of Heaven is not to act as head.
#### **
2. _KUN_ (THE RECEPTIVE, EARTH)**
_Kun_ above
_Kun_ below
**The Judgment:** _Kun_ is the ultimate of receptivity. There is great success. There is benefit in the perseverance of a mare. If the gentleman has a particular goal and attempts to attain it, at first he may lose his way, but ultimately he will achieve it. It is beneficial to make friends in the west and the south, but avoid friends in the east and north. Peaceful perseverance will yield good fortune.
**Commentary:** Great indeed is that originating in _kun._ The ten thousand things all receive life from it when it is in harmonious union with Heaven. _Kun_ contains everything in abundance. Its virtue is in harmony with the infinite. It encompasses all things and illuminates the universe. Each individual thing achieves perfect success. The mare is an animal of the land. It wanders freely over the land. It is gentle and obedient and symbolizes great benefit through perseverance. The gentleman should conduct himself in a like manner. At first he may lose his way, but later by being humbly obedient he will achieve it forever. In the west and south there are friends. One may associate with people of a sympathetic nature. In the east and north there are no friends, but in the end one may gain benefit from this. The good fortune of peaceful perseverance will result from being in harmony with the forces of the earth.
**The Image:** The power of the earth lies in receptivity. The gentleman with great virtue encompasses all things.
Six at the beginning: When one steps on hoarfrost, one knows that solid ice will soon appear.
**Comment:** When one steps on hoarfrost, one knows that solid ice will appear soon. When the forces of Yin begin to congeal and follow this way, the time of solid ice is about to arrive.
Six in the second place: It is straight, square, and great. Without hustle and bustle there is nothing that does not prosper.
**Comment:** The movement of six in the second place is straight by means of being square. Without hustle and bustle there is nothing that does not prosper. There is brilliance in the Way of the earth.
Six in the third place: One's badges are hidden. One can persevere. If in the service of a king, do not try to force affairs but rather bring them to completion.
Comment: One's badges are hidden. One can persevere. At the proper time come forth. If you are in the service of a king, you should have the wisdom to spread greatness.
Six in the fourth place: To be closemouthed like a tied-up sack is neither blameworthy nor praiseworthy.
**Comment:** To be closemouthed like a tied-up sack is neither blameworthy nor praiseworthy. If one is careful there will be no trouble.
Six in the fifth place: There is great fortune in yellow clothing.
**Comment:** There is great fortune in yellow clothing. Brilliance lies within.
Six at the top: Dragons do battle in the fields. Their blood is black and yellow.
**Comment:** Dragons do battle in the fields. Their Way has run its course.
Six in all the lines: There is benefit in steadfast perseverance.
**Comment:** When all six lines yield six, it shows steadfast perseverance. In this way one can achieve great ends.
_Translated by Mark Coyle_
## 4 **
SONGS AND POEMS**
_The best source for the daily lives, hopes, complaints, and beliefs of ordinary people in the early Zhou period is the_ Book of Songs. _Over half of the 305 poems in this classic are said to have originally been popular songs and concern basic human problems such as love, marriage, work, and war. The remainder are court poems, including legendary accounts in praise of the founders of the Zhou dynasty, complaints about the decay of royal power, and hymns used in sacrificial rites. The four poems given below show something of this range of topics._
_In several ways the_ Book of Songs _set the pattern for later Chinese poetry: Its poems have fairly strict patterns in both rhyme and rhythm, they make great use of imagery, and they tend to be short. As one of the most revered of the Confucian classics, this collection of poems has been studied and memorized by centuries of scholars. The popular songs were regarded as good keys to understanding the troubles of the common people and were often read allegorically, so that complaints against faithless lovers were seen as complaints against faithless rulers._
Please, Zhongzi,
Do not climb into our hamlet,
Do not break our willow trees.
It's not that I begrudge the willows,
But I fear my father and mother.
You I would embrace,
But my parents' words—
Those I dread.
Please, Zhongzi,
Do not leap over our wall,
Do not break our mulberry trees.
It's not that I begrudge the mulberries,
But I fear my brothers.
You I would embrace,
But my brother's words—
Those I dread.
Please, Zhongzi,
Do not climb into our yard,
Do not break our rosewood tree.
It's not that I begrudge the rosewood,
But I fear gossip.
You I would embrace,
But people's words—
Those I dread.
* * *
In the seventh month the Fire star declines.
In the ninth month we give out the clothes.
In the days of the first, rushing winds.
In the days of the second, bitter cold.
Without coats or garments,
How could we finish the year?
In the days of the third, we plow.
In the days of the fourth, we step out.
Our wives and children
Bring food to us in the southern field,
And the inspector of the fields is pleased.
In the seventh month the Fire star declines.
In the ninth month we give out the clothes.
Spring days are sunny
And the oriole sings.
The girls take their fine baskets,
And walk down the little paths
To collect the tender mulberry leaves.
Spring days get longer,
In groups they go to pick the Artemesia.
A young girl is heart-sick,
Waiting to go home with the lord's son.
In the seventh month the Fire star declines.
In the eighth month the rushes are ready.
In the silkworm month, we prune the mulberry trees.
We take axes and hachet
To cut off the far and high branches
And make the small mulberry luxuriant.
In the seventh month the shrike cries.
In the eighth month we splice the thread,
Both black and yellow.
With red dye very bright
We make a robe for the lord's son.
In the fourth month the grasses mature.
In the fifth month the cicada sings.
In the eighth month the crops are gathered,
In the tenth month the leaves fall.
In the days of the first we hunt badgers.
We catch foxes and wildcats.
We make furs for the lord's son.
In the days of the second we assemble
To practice the military arts.
We keep for ourselves the young boars
And give to the lord the old ones.
In the fifth month the locusts move their legs.
In the sixth month the grasshoppers shake their wings.
In the seventh month, the insects are out in the meadows.
In the eighth month, they are under the roof.
In the ninth month, they are at the door.
In the tenth month, the crickets are under our beds.
We stop up the holes to smoke out the rats.
We seal the northern window and plaster shut the door.
Come, wife and children,
The new year is starting,
Let's move into this house.
In the sixth month we eat fruits and berries.
In the seventh month we cook vegetables and beans.
In the eighth month we pick dates.
In the tenth month we harvest rice.
We use it to make spring wine
As a tonic for long life.
In the seventh month we eat melons.
In the eighth month we split the gourds.
In the ninth month we harvest the hemp seed.
We gather herbs and firewood.
And we feed our farm workers.
In the ninth month we make the garden into a threshing ground.
In the tenth month we bring in the harvest.
Millet of all varieties,
Rice and hemp, beans and wheat.
Oh, farmworkers,
The harvest is collected;
Come up to work in the house.
In the daytime you can gather grasses,
In the evening make them into rope.
Let us get quickly to the house.
Sowing grain starts again soon.
In the days of the second we cut the ice, ding-ding.
In the days of the third we take it to the ice house.
In the days of the fourth we get up early.
We make offerings of lamb and scallions.
In the ninth month the plants wither from the frost.
In the tenth month we clear the threshing ground.
We set out a feast with a pair of wine jars,
We slaughter lambs and sheep
And go up to the public hall.
Raising our cups of rhinocerous horn,
May you live forever!
* * *
We were harvesting
At the new field,
At the newly cleared acre, When Fangshu arrived
With three thousand chariots
And a well-tested army.
Fangshu led them here,
Driving four dappled grey horses,
Such well-trained horses.
His chariot was red,
The canopy of bamboo mat, the quiver of fish skin.
He had breast plates with hooks and metal-rimmed reins.
We were harvesting
At the new field
In the central district
When Fangshu arrived
With his three thousand chariots
And emblazoned banners.
Fangshu led them here,
His wheel hubs wrapped, the yokes ornamented.
Eight bells tinkled on the bits.
He wore his official garb
With brilliant red knee-covers
And green pendants at his waist.
Swift flies the hawk,
Straight up to heaven.
Yet it stops here to roost.
Fangshu arrived
With three thousand chariots
And a well-tested army.
Fangshu led them here,
The musicians beating the drums.
He marshalled the army and lectured the troops.
Illustrious and faithful is Fangshu.
The drums sound,
And the troops move.
Foolish were you, tribes of Jing,
To make enemies of a great state.
Fangshu is an old man
Strong in his ability to plan.
Fangshu led them here,
Taking captives, capturing chiefs.
His war chariots rumble,
Rumble and crash,
Like thunder and lightning.
Illustrious and faithful is Fangshu.
He has already conquered the Xianyun
And now overawes the Jing tribes.
* * *
Which plant is not yellow?
Which day don't we march?
Which man does not go
To bring peace to the four quarters?
Which plant is not brown?
Which man is not sad?
Have pity on us soldiers,
Treated as though we were not men!
We are neither rhinos nor tigers,
Yet are led through the wilds.
Have pity on us soldiers,
Never resting morn or night.
A thick-furred fox
Scurries through the dark grass.
Our loaded carts
Proceed along the Zhou road.
_Translated by Patricia Ebrey_
## 5 **
THE BATTLE BETWEEN JIN AND CHU**
_To early historians, probably no activity better illustrated human greatness and human foibles than warfare. In the Spring and Autumn period, when China was divided among competing states but warfare was not yet incessant, battles were conceived of as dramas or rituals, with the various actors performing their assigned roles and being judged by how well they fulfilled them._
_The following account of a major battle is from the_ Zuo Chronicle, _a late Zhou history that survived in the form of a commentary to the_ Spring and Autumn Annals. _The_ Annals _is a terse, dry, month-by-month record of items of interest to the court in the state of Lu, the home state of Confucius, during the years 722 to 481 B.C. It came to be included among the Confucian classics, but its entries are so brief as to be practically meaningless. The_ Zuo Chronicle, _by contrast, provides detailed narrative of people and events, full of violence, intrigue, treachery, and heroism._
_The battle recounted here occurred in 597 B.C. The army of Jin had set out to save the besieged state of Zheng from conquest by Chu. When Zheng made peace with Chu, the Jin officers debated whether to return home and were ready to do so when two of their soldiers, eager to provoke a battle, managed to taunt some Chu soldiers into fighting._
The soldiers of Jin, afraid that Wei Yi and Zhao Zhan would anger the army of Chu, had sent out their war chariots to the Chu forces. When Pan Tang saw their dust in the distance he sent a horseman to race back with the message, "The Jin army is coming!"
The soldiers of Chu, fearful that their king might find himself surrounded by the Jin army, drew up in battle formation. Their prime minister, Wei Ao, cried, "Advance! It is better for us to hit them than for them to hit us. The poem says, 'Ten great chariots went first to open the way.' Let us move first! The _Art of War_ says, 'Move first, and rob your opponent of his will.' Let us attack them!"
Then they advanced rapidly. With the chariot horses galloping and the foot soldiers on the run, they fell upon the Jin army. Jin Commander Xun Linfu did not know what to do, so he beat the signal drum in the midst of the army and shouted, "The first to cross the river will receive a reward!" The Middle and Lower Armies fought for the boats until the severed fingers could be scooped up in handfuls from the bottoms of the boats. The whole Jin army shifted to the right, except for the Upper Army, which did not move. With the Minister of Works Chi in command, the right wing of the Chu infantry pursued the Lower Army of Jin....
When asked what to do, Commander Shi Hui replied, "Chu's army is now at the peak of its strength. If they gather their forces against us, our army will be annihilated. We had better regroup and leave. Then at least we can share the blame and save our men." Acting as rearguard for their infantry, they retreated and were thus not defeated....
A chariot from Jin became stuck and could not move, whereupon a Chu soldier told the charioteer to remove the brace-bar. After that the chariot advanced only a little before the horses wheeled around. The Chu soldier told him to pull out the flagstaff and lay it crosswise, and this time the chariot came free. The charioteer turned back and said, "We are not as experienced at fleeing as are the soldiers of your great state."
Zhao Zhan of Jin saved his older brother and uncle by giving them his two best horses. Then he turned back with other horses but met the enemy and was not able to escape. He abandoned his chariot and ran into the woods. Just then the Great Officer Feng rode by with his two sons. He told them not to look back, but they did anyway and said, "Venerable Zhao is being left behind us." Their father became angry at them and ordered them to dismount. Then he pointed to a tree and said, "Leave your corpses there." He then gave the chariot to Zhao Zhan, who made his escape. The next day Feng found the corpses of his sons piled beneath the tree to which he had pointed.
Xiong Fuji of Chu captured Zhi Ying, whose father, Great Officer Xun Shou, set off in pursuit along with his clansmen. Wei Yi drove the chariot, and many officers of the Lower Army accompanied them. Every time Xun Shou wished to shoot, he would select the best arrows but then put them back in Wei Yi's quiver. Wei Yi became angry and said, "If you want to save your son, why are you so stingy with these willow sticks? Are you afraid of using up all the willows of Dong Marsh?"
Xun Shou replied, "Unless I capture other men's sons, how can I get my own son back? I act as I do because I cannot afford to shoot carelessly." He then shot the Officer Xiang Lao, captured his body, and took it with him in his chariot. Then he shot Gongzi Guchen and took him prisoner. He then turned back with these two prizes in his chariot.
At dusk the army of Chu set up a defensive position at Bi. Jin did not have enough troops left to set up a counter position of their own, so they retreated across the Yellow River under cover of darkness. All night long the sounds of their crossing could be heard.
The next day, the Chu supply wagons reached Bi, and so the army camped at Hengyong. Pan Dang said to the king of Chu, "My Lord, we should erect a fortress and collect the bodies of the Jin soldiers in it as a war memorial. Your subject has heard that when one conquers an enemy, he should display that fact to his sons and grandsons, so that they will not forget his military achievements."
The king of Chu replied, "You do not understand this. In writing, the characters 'stop' and 'spear' fit together to make 'military.' After King Wu conquered Shang, a hymn was written which says, 'Store the shields and spears, / Encase the arrows and bows. / We seek admirable virtue, / To extend throughout this great land. / May the king genuinely preserve it.' They also wrote the 'Military' Poem. Its last stanza states, 'You have made your achievement secure.' The third stanza says, 'May we extend this continuously; / What we seek now is to make it secure.' The sixth stanza says, 'There is peace in ten thousand states, / And repeated years of plenty.'"
"'Military' means to prevent violence, store weapons, preserve greatness, secure achievements, pacify the people, harmonize groups, and increase wealth. Thus King Wu wanted to make sure that his sons and grandsons did not forget these stanzas. Now I have caused the bones of the soldiers from two states to lie exposed on the battlefield; this is violence. I have made a show of weapons to coerce the feudal lords; this is not storing weapons. Since I have caused violence and have not placed the weapons in storage, how could I have preserved greatness? Furthermore, the enemy state of Jin still exists; so how could my achievement be secure? In many ways I have gone against the people's wishes; so how could they be pacified? I have not been virtuous but have used force against the feudal lords; so how could the groups be harmonized? I have found profit in other men's crises and peace in their disorders. This has given me glory, but how has it increased wealth? There are seven military virtues, but I have not attained a single one of them. What do I have to display to my sons and grandsons? Let us set up an altar to our Ancestral Rulers and announce to them what we have done. Then we should stop there, for what I have done is not a military achievement.
"In ancient times when the enlightened kings chastised the disrespectful, they took the most monstrous offenders and buried them in mounds as a punishment of supreme disgrace. This is the origin of war memorials, and they were used to warn the evil and corrupt. But in the present conflict, there were no criminals. All of the people have been completely loyal, fighting to the death to carry out their rulers' decrees. So what reason is there to build a war memorial?"
So, the king of Chu conducted sacrifices to the Spirit of the Yellow River. Then he built an altar for his Ancestral Rulers and announced to them his accomplishment. After this he returned home....
In the autumn, when the army of Jin arrived home, the defeated Commander Xun Linfu requested to be put to death. The Duke of Jin wished to grant his request, but Shi Zhenzi admonished him, "This must not be allowed. Remember that after the battle of Chengbu, the army of Jin celebrated with three days of feasting, and yet Duke Wen still had a sad countenance. His advisers said, 'In this time of happiness you are sad. Must there be a time of sadness for you to be happy?' The duke replied, 'As long as De Chen of Chu is still alive, my sadness cannot be alleviated. A caged beast will still fight; how much more so will the chief minister of a state!' But after De Chen had been put to death, the duke's happiness was apparent, and he said, 'Now there is no one left to poison my joy.' This was a double victory for Jin and a double defeat for Chu. Because of this, for the next two generations Chu was out of contention. At the present time it may be that Heaven is sending a great warning to us; if we would kill our commander Xun Linfu and compound Chu's victory, then would we not also be out of contention for a long time? Xun Linfu in serving his ruler has always tried to be completely loyal when in office and to mend his faults when out of office. He is the guardian of the altars to our Gods of Soil and Grain. Why should we kill him? His defeat is like an eclipse of the sun or moon, which does not diminish their brilliance."
The Duke of Jin then restored Xun Linfu to his position.
_Translated by James Hart_
## 6 **
CONFUCIAN TEACHINGS**
_Confucius (traditional dates, 551-479 B.C.) was a man of no particular distinction in his own day who exerted a profound influence on the development of Chinese culture through his teachings. He tried in vain to gain a high office, traveling from state to state with his disciples in search of a ruler who would listen to him. He talked repeatedly of an ideal age in the early Zhou, revealing his vision of a more perfect society in which rulers and subjects, nobles and commoners, parents and children, men and women would all wholeheartedly accept the parts assigned to them, devoting themselves to their responsibilities to others. Confucius revered tradition and taught his disciples the traditional arts—music, rituals, the_ Book of Songs _and_ Book of Documents— _while continually holding up for them high moral standards._
_Confucius's ideas are known to us primarily through the sayings recorded by his disciples in the_ Analects. _This book does not provide carefully organized or argued philosophical discourses, and the sayings seem to have been haphazardly arranged. Yet this short text became a sacred book, memorized by beginning students and known to all educated people. As such it influenced the values and habits of thought of Chinese for centuries. Many of its passages became proverbial sayings, unknowingly cited by illiterate peasants. In the selection that follows, sayings have been reorganized and grouped under four of the topics he most frequently discussed._
_The eventual success of Confucian ideas owes much to Confucius's followers in the two centuries following his death, the most important of whom were Mencius (ca. 370-ca. 300 B.C.) and Xunzi (ca. 310-ca. 215 B.C.). The_ Mencius, _like the_ Analects, _is a collection of the philosopher's conversations, presented in no particular order, but unlike the Analects, specific points are often analyzed at length, perhaps because Mencius himself had a hand in recording them. Mencius, like Confucius, traveled around offering advice to rulers of various states. Over and over he tried to convert them to the view that the ruler who wins over the people through benevolent government would be the one to unify the realm. He proposed concrete political and financial measures for easing tax burdens and otherwise improving the people's lot. With his disciples and fellow philosophers, he discussed other issues in moral philosophy, particularly ones related to the goodness of human nature._
_Xunzi, a half century later, had much more actual political and administrative experience than either Confucius or Mencius and was less committed to the precedents set in the early Zhou. He wrote fully argued essays on many of the issues in social, political, and moral philosophy that engaged thinkers of his age. He carried further than either Confucius or Mencius the tendency in Confucianism toward a humanistic and rationalistic view of the cosmos. Divination was to him fine as a social ritual but did not reveal Heaven's desires or tell anything about the future. He directly attacked Mencius's argument that human nature is inherently good, claiming to the contrary that men's inborn tendencies are bad and therefore education is essential._
### **SELECTIONS FROM THE _ANALECTS_**
#### **
The Gentleman**
Confucius said, "The gentleman concerns himself with the Way; he does not worry about his salary. Hunger may be found in plowing; wealth may be found in studying. The gentleman worries about the Way, not about poverty."
Confucius said, "When he eats, the gentleman does not seek to stuff himself. In his home he does not seek luxury. He is diligent in his work and cautious in his speech. He associates with those who possess the Way, and thereby rectifies himself. He may be considered a lover of learning."
Zigong inquired about being a gentleman. Confucius said, "First he behaves properly and then he speaks, so that his words follow his actions."
Sima Niu asked about the nature of the gentleman. Confucius replied, "The gentleman does not worry and is not fearful." Si asked, "Then, can not fearing and not worrying be considered the essence of being a gentleman?" Confucius responded, "If you can look into yourself and find no cause for dissatisfaction, how can you worry and how can you fear?"
Confucius said, "The gentleman reveres three things. He reveres the mandate of Heaven; he reveres great people; and he reveres the words of the sages. Petty people do not know the mandate of Heaven and so do not revere it. They are disrespectful to great people and they ridicule the words of the sages."
Confucius said, "The gentleman must exert caution in three areas. When he is a youth and his blood and spirit have not yet settled down, he must be on his guard lest he fall into lusting. When he reaches the full vigor of his manhood in his thirties and his blood and spirit are strong, he must guard against getting into quarrels. When he reaches old age and his blood and spirit have begun to weaken, he must guard against envy."
Confucius said, "The gentleman understands integrity; the petty person knows about profit."
Confucius said, "For the gentleman integrity is the essence; the rues of decorum are the way he puts it into effect; humility is the way he brings it forth; sincerity is the way he develops it. Such indeed is what it means to be a gentleman."
Confucius said that Zichan possessed the way of the gentleman in four areas. In his personal conduct he was respectful; in serving his superiors he was reverent; in nourishing the people he was kind; in governing the people he was righteous.
Confucius said, "The gentleman has nine concerns. In seeing he is concerned with clarity. In hearing he is concerned with acuity. In his expression he wishes to be warm. In his bearing he wishes to be respectful. In his words he is concerned with sincerity. In his service he is concerned with reverence. When he is in doubt, he wants to ask questions. When he is angry, he is wary of the pitfalls. When he sees the chance for profit, he keeps in mind the need for integrity."
Confucius said, "The gentleman is easy to serve but difficult to please. When you try to please him, if your manner of pleasing is not in accord with the Way, then he will not be pleased. On the other hand, he does not expect more from people than their capacities warrant. The petty individual is hard to serve and easy to please. When you try to please him, even if your method of pleasing him is not in accord with the Way, he will be pleased. But in employing people he expects them to be perfectly accomplished in everything."
Confucius said, "The gentleman is in harmony with those around him but not on their level. The small man is on the level of those around him but not in harmony with them."
Confucius said, "The gentleman aspires to things lofty; the petty person aspires to things base."
Confucius said, "The gentleman looks to him- self; the petty person looks to other people."
Confucius said, "The gentleman feels bad when his capabilities fall short of some task. He does not feel bad if people fail to recognize him."
Confucius said, "The gentleman fears that after his death his name will not be honored."
Confucius said, "The gentleman does not promote people merely on the basis of their words, nor does he reject words merely because of the person who uttered them."
Confucius said, "The gentleman is exalted and yet not proud. The petty person is proud and yet not exalted."
Zixia said, "The gentleman has three transformations. Seen from afar he appears majestic. Upon approaching him you see he is amiable. Upon hearing his words you find they are serious."
Confucius said, "If the gentleman is not dignified, he will not command respect and his teachings will not be considered solid. He emphasizes sincerity and honesty. He has no friends who are not his equals. If he finds a fault in himself, he does not shirk from reforming himself."
Zigong said, "When the gentleman falls into error, it is like the eclipse of the sun and moon: everyone sees it. When he corrects it, everyone will look up to him again."
Zigong said, "Does not the gentleman also have his hatreds?" Confucius replied, "Yes, he has his hatreds. He hates those who harp on the weak points of others. He hates those who are base and yet slander those who are exalted. He hates those who are bold but do not observe the proprieties. He hates those who are brash and daring and yet have limited outlook." Confucius then asked, "You too have your hatreds, do you not?" Zigong replied, "I hate those who pry into things and consider it wisdom. I hate those who are imprudent and consider it courage. I hate those who leak out secrets and consider it honesty."
Zengzi said, "The gentleman knows enough not to exceed his position."
Confucius said, "The gentleman is not a tool."
#### **
Humanity**
Zizhang asked Confucius about humanity. Confucius said, "If an individual can practice five things anywhere in the world, he is a man of humanity." "May I ask what these things are?" said Zizhang. Confucius replied, "Reverence, generosity, truthfulness, diligence, and kindness. If a person acts with reverence, he will not be insulted. If he is generous, he will win over the people. If he is truthful, he will be trusted by people. If he is diligent, he will have great achievements. If he is kind, he will be able to influence others."
Zhonggong asked about humanity. Confucius said, "When you go out, treat everyone as if you were welcoming a great guest. Employ people as if you were conducting a great sacrifice. Do not do unto others what you would not have them do unto you. Then neither in your country nor in your family will there be complaints against you." Zhonggong said, "Although I am not intelligent, please allow me to practice your teachings."
Sima Niu asked about humanity. Confucius said, "The man of humanity is cautious in his speech." Sima Niu replied, "If a man is cautious in his speech, may it be said that he has achieved the virtue of humanity?" Confucius said, "When a man realizes that accomplishing things is difficult, can his use of words be anything but cautious?"
Confucius said, "A person with honeyed words and pious gestures is seldom a man of humanity."
Confucius said, "The individual who is forceful, resolute, simple, and cautious of speech is near to humanity."
Confucius said, "The man of wisdom takes pleasure in water; the man of humanity delights in the mountains. The man of wisdom desires action; the man of humanity wishes for quietude. The man of wisdom seeks happiness; the man of humanity looks for long life."
Confucius said, "If a man does not have humanity, how can he have propriety? If a man does not have humanity, how can he be in tune with the rites or music?"
Confucius said, "The humanity of a village makes it beautiful. If you choose a village where humanity does not dwell, how can you gain wisdom?"
Confucius said, "Humanity is more important for people than water or fire. I have seen people walk through water and fire and die. I have never seen someone tread the path of humanity and perish."
Confucius said, "Riches and honors are the things people desire; but if one obtains them by not following the Way, then one will not be able to hold them. Poverty and low position in society are the things that people hate; but if one can avoid them only by not following the Way, then one should not avoid them. If the gentleman abandons humanity, how can he live up to his name? The gentleman must not forget about humanity for even the space of time it takes him to finish a meal. When hurried, he must act according to it. Even when confronted with a crisis, he must follow its tenets."
Confucius said, "The strong-minded scholar and the man of humanity do not seek to live by violating the virtue of humanity. They will suffer death if necessary to achieve humanity."
Confucius said, "In practicing the virtue of humanity, one should not defer even to one's teacher."
Confucius said, "Is humanity far away? Whenever I want the virtue of humanity, it comes at once."
Zigong asked about the virtue of humanity. Confucius said, "The artisan who wants to do his work well must first of all sharpen his tools. When you reside in a given state, enter the service of the best of the officials and make friends with the most humane of the scholars."
Confucius said, "Only the man of humanity can rightly love some people and rightly despise some people."
Confucius said, "People can be classified according to their faults. By observing an individual's faults, you will know if he is a person of humanity."
Confucius said, "Those who possess virtue will be sure to speak out; but those who speak out do not necessarily have virtue. Those who possess the virtue of humanity certainly have strength; but those who are strong do not necessarily have the virtue of humanity."
Confucius said, "Although there have been gentlemen who did not possess the virtue of humanity, there have never been petty men who did possess it."
#### **
Filial Piety**
Ziyou inquired about filial piety. Confucius said, "Nowadays, filial piety is considered to be the ability to nourish one's parents. But this obligation to nourish even extends down to the dogs and horses. Unless we have reverence for our parents, what makes us any different?"
Confucius said, "When your father is alive observe his intentions. When he is deceased, model yourself on the memory of his behavior. If in three years after his death you have not deviated from your father's ways, then you may be considered a filial child."
Zengzi said, "I have heard from Confucius that the filial piety of Meng Zhuangzi is such that it could also be attained by others, but his not changing his father's ministers and his father's government is a virtue difficult indeed to match."
Meng Yizi inquired about filial piety. Confucius said, "Do not offend your parents." Fan Zhi was giving Confucius a ride in a wagon, and Confucius told him, "Meng Sun questioned me about filial piety and I told him, 'Do not offend your parents.'" Fan Zhi said, "What are you driving at?" Confucius replied, "When your parents are alive, serve them according to the rules of ritual and decorum. When they are deceased, give them a funeral and offer sacrifices to them according to the rules of ritual and decorum."
Confucius said, "When your father and mother are alive, do not go rambling around far away. If you must travel, make sure you have a set destination."
Confucius said, "It is unacceptable not to be aware of your parents' ages. Their advancing years are a cause for joy and at the same time a cause for sorrow."
Confucius said, "You can be of service to your father and mother by remonstrating with them tactfully. If you perceive that they do not wish to follow your advice, then continue to be reverent toward them without offending or disobeying them; work hard and do not murmur against them."
The Duke of She said to Confucius, "In my land there is an upright man. His father stole a sheep, and the man turned him in to the authorities." Confucius replied, "The upright men of my land are different. The father will shelter the son and the son will shelter the father. Righteousness lies precisely in this."
#### **
On Governing**
The Master said, "Lead them by means of government policies and regulate them through punishments, and the people will be evasive and have no sense of shame. Lead them by means of virtue and regulate them through rituals and they will have a sense of shame and moreover have standards."
Duke Ding asked about how rulers should direct their ministers and ministers serve their rulers. Confucius responded, "A ruler directs his ministers through established ritual protocols. A minister serves his ruler with loyalty."
Zigong inquired about governing. The Master said, "Make food supplies sufficient, provide an adequate army, and give the people reason to have faith." Zigong asked, "If one had no choice but to dispense with one of these three, which should it be?" "Eliminate the army." Zigong continued, "If one had no choice but to get rid of one of the two remaining, which should it be?" "Dispense with food," Confucius said. "Since ancient times, death has always occurred, but people without faith cannot stand."
Jikangzi asked Confucius about governing, posing the question, "What would you think of my killing those without principles to help those with principles?" Confucius responded, "You are the government. Why employ killing? If you want what is good, the people will be good. The virtue of a gentleman is like the wind, the virtue of a small person like the grass. When the wind blows over it, the grass must bend."
When Zhonggong was serving as chief minister to the Ji family, he asked for advice on governing. The Master said, "Put priority on your subordinate officials. Pardon their minor mistakes and promote those who are worthy and talented." "How can I recognize those who are talented and worthy to promote them?" Confucius replied, "Promote those you know. Will others neglect those you do not know?"
The Master said, "If one has corrected himself, what problem would he have in governing? But if he is unable to correct himself, how can he govern others?"
Duke Ding asked, "Is there a single saying that can bring about the success of a country?" Confucius responded, "One cannot expect so much from a saying, but the people do have this maxim: 'To be a ruler is difficult; to be a minister is not easy.' If you recognize the difficulty of being a ruler, that may come close to furthering your state through a single maxim." The Duke asked again, "Can a single saying lead to the ruin of a state?" Confucius responded, "One cannot expect so much from a saying, but the people do have this maxim, 'I get no pleasure from being ruler other than that no one can contradict what I say.' If what he says is good and no one contradicts it, that is fine. But if what he says is not good and no one contradicts it, isn't that almost a case of one maxim bringing about the ruin of the state?"
The Master said, "When superiors love ritual the people are easy to direct."
The Master said, "Shun was the one who governed effectively without activism. What was there for him to do? He simply made himself respectful and took up his position facing south."
### **
SELECTIONS FROM THE _MENCIUS_**
#### **
On Government**
Mencius had an audience with King Hui of Liang. The king said, "Sir, you did not consider a thousand _li_ too far to come. You must have some ideas about how to benefit my state." Mencius replied, "Why must Your Majesty use the word 'benefit'? All I am concerned with are the benevolent and the right. If Your Majesty says, 'How can I benefit my state?' your officials will say, 'How can I benefit my family,' and officers and common people will say, 'How can I benefit myself.' Once superiors and inferiors are competing for benefit, the state will be in danger. When the head of a state of ten thousand chariots is murdered, the assassin is invariably a noble with a fief of a thousand chariots. When the head of a fief of a thousand chariots is murdered, the assassin is invariably head of a subfief of a hundred chariots. Those with a thousand out of ten thousand, or a hundred out of a thousand, had quite a bit. But when benefit is put before what is right, they are not satisfied without snatching it all. By contrast, there has never been a benevolent person who neglected his parents or a righteous person who put his lord last. Your Majesty perhaps will now also say, 'All I am concerned with are the benevolent and the right. Why mention 'benefit?'"
After seeing King Xiang of Liang, Mencius said to someone, "When I saw him from a distance, he did not look like a ruler, and when I got closer, I saw nothing to command respect. But he asked, 'How can the realm be settled?' I answered, 'It can be settled through unity.' 'Who can unify it?' he asked. I answered, 'Someone not fond of killing people.' 'Who could give it to him?' I answered, 'Everyone in the world will give it to him. Your Majesty knows what rice plants are? If there is a drought in the seventh and eighth months, the plants wither, but if moisture collects in the sky and forms clouds and rain falls in torrents, the plants suddenly revive. This is the way it is; no one can stop the process. In the world today there are no rulers disinclined toward killing. If there were a ruler who did not like to kill people, everyone in the world would crane their necks to catch sight of him. This is really true. The people would flow toward him the way water flows down. No one would be able to repress them.'"
King Xuan of Qi asked, "Is it true that King Wen's park was seventy _li_ square?" Mencius answered, "That is what the records say." The King said, "Isn't that large?" Mencius responded, "The people considered it small." "Why then do the people consider my park large when it is forty _li_ square?" "In the forty square _li_ of King Wen's park, people could collect firewood and catch birds and rabbits. Since he shared it with the people, isn't it fitting that they considered it small? When I arrived at the border, I asked about the main rules of the state before daring to enter. I learned that there was a forty _-li_ park within the outskirts of the capital where killing a deer was punished like killing a person. Thus these forty _li_ are a trap in the center of the state. Isn't it appropriate that the people consider it too large?"
After an incident between Zou and Lu, Duke Mu asked, "Thirty-three of my officials died but no common people died. I could punish them, but I could not punish them all. I could refrain from punishing them, but they did angrily watch their superiors die without saving them. What would be the best course for me to follow?" Mencius answered, "When the harvest failed, even though your granaries were full, nearly a thousand of your subjects were lost—the old and weak among them dying in the gutters, the able-bodied scattering in all directions. Your officials never reported the situation, a case of superiors callously inflicting suffering on their subordinates. Zengzi said, 'Watch out, watch out! What you do will be done to you.' This was the first chance the people had to pay them back. You should not resent them. If Your Highness practices benevolent government, the common people will love their superiors and die for those in charge of them."
King Xuan of Qi asked, "Is it true that Tang banished Jie and King Wu took up arms against Zhou?" Mencius replied, "That is what the records say." "Then is it permissible for a subject to assassinate his lord?" Mencius said, "Someone who does violence to the good we call a villain; someone who does violence to the right we call a criminal. A person who is both a villain and a criminal we call a scoundrel. I have heard that the scoundrel Zhou was killed, but have not heard that a lord was killed."
King Xuan of Qi asked about ministers. Mencius said, "What sort of ministers does Your Majesty mean?" The king said, "Are there different kinds of ministers?" "There are. There are noble ministers related to the ruler and ministers of other surnames." The king said, "I'd like to hear about noble ministers." Mencius replied, "When the ruler makes a major error, they point it out. If he does not listen to their repeated remonstrations, then they put someone else on the throne." The king blanched. Mencius continued, "Your Majesty should not be surprised at this. Since you asked me, I had to tell you truthfully." After the king regained his composure, he asked about unrelated ministers. Mencius said, "When the king makes an error, they point it out. If he does not heed their repeated remonstrations, they quit their posts."
Bo Gui said, "I'd like a tax of one part in twenty. What do you think?" Mencius said, "Your way is that of the northern tribes. Is one potter enough for a state with ten thousand households?" "No, there would not be enough wares." "The northern tribes do not grow all the five grains, only millet. They have no cities or houses, no ritual sacrifices. They do not provide gifts or banquets for feudal lords, and do not have a full array of officials. Therefore, for them, one part in twenty is enough. But we live in the central states. How could we abolish social roles and do without gentlemen? If a state cannot do without potters, how much less can it do without gentlemen. Those who want to make government lighter than it was under Yao and Shun are to some degree barbarians. Those who wish to make government heavier than it was under Yao and Shun are to some degree [tyrants like] Jie."
#### **
On Human Nature**
Mencius said, "Everyone has a heart that is sensitive to the sufferings of others. The great kings of the past had this sort of sensitive heart and thus adopted compassionate policies. Bringing order to the realm is as easy as moving an object in your palm when you have a sensitive heart and put into practice compassionate policies. Let me give an example of what I mean when I say everyone has a heart that is sensitive to the sufferings of others. Anyone today who suddenly saw a baby about to fall into a well would feel alarmed and concerned. It would not be because he wanted to improve his relations with the child's parents, nor because he wanted a good reputation among his friends and neighbors, nor because he disliked hearing the child cry. From this it follows that anyone who lacks feelings of commiseration, shame, and courtesy or a sense of right and wrong is not a human being. From the feeling of commiseration benevolence grows; from the feeling of shame righteousness grows; from the feeling of courtesy ritual grows; from a sense of right and wrong wisdom grows. People have these four germs, just as they have four limbs. For someone with these four potentials to claim incompetence is to cripple himself; to say his ruler is incapable of them is to cripple his ruler. Those who know how to develop the four potentials within themselves will take off like a fire or burst forth like a spring. Those who can fully develop them can protect the entire land, while those unable to develop them cannot even take care of their parents."
Gaozi said, "Human nature is like whirling water. When an outlet is opened to the east, it flows east; when an outlet is opened to the west, it flows west. Human nature is no more inclined to good or bad than water is inclined to east or west." Mencius responded, "Water, it is true, is not inclined to either east or west, but does it have no preference for high or low? Goodness is to human nature like flowing downward is to water. There are no people who are not good and no water that does not flow down. Still, water, if splashed, can go higher than your head; if forced, it can be brought up a hill. This isn't the nature of water; it is the specific circumstances. Although people can be made to be bad, their natures are not changed."
### **
SELECTIONS FROM _XUNZI_**
#### **
A Discussion of Heaven**
Constant principles underlie Heaven's behavior. Heaven does not prevail because you are the sage Yao or disappear because you are the tyrant Jie. Blessings result when you respond to Heaven by creating order; misfortune results when you respond to it with disorder. When you concentrate on agriculture and industry and are frugal in expenditures, Heaven cannot impoverish your state. When you store provisions and act quickly in emergencies, Heaven cannot afflict illness on your people. When you are singleminded in your cultivation of the Way, Heaven cannot send disasters. Thus, even if they come, droughts and floods will not bring starvation, extremes of temperature will not bring illness, uncanny phenomena will not prove unlucky.
On the other hand, if you ignore agriculture and industry and spend extravagantly, then Heaven cannot make your country rich. If you are negligent concerning provisions and slow to respond to crises, Heaven cannot keep your country whole. If you renounce the Way and act recklessly, Heaven cannot make you lucky. In such a case, starvation will result even without flood or drought; illness will occur even without severe weather; misfortunes will occur without any uncanny phenomena. Even though the seasons are identical to those of an orderly age, the resulting fortune or misfortune is different. But you should not resent Heaven. It is your Way that is responsible. Thus those who can distinguish what is in the realm of Heaven and what is in the realm of man are men of the highest order....
Are order and disorder the product of Heaven? I say, the sun and the moon, the stars and the constellations are the same as they were in the time of Yu and Jie. Yu brought order, Jie created disorder, so order and disorder do not come from Heaven. Are they a product of the seasons? I say, plants sprout and grow in spring and summer, and are harvested and stored in fall and winter, just the way they were during the reigns of Yu and Jie. Yet Yu brought order, Jie disorder, so order and disorder are not the product of seasons. Is it land then? I say, obtaining land leads to life, losing it leads to death, just as in the time of Yu and Jie. Yet Yu brought order, Jie disorder, so order and disorder are not a product of land....
Why does it rain after a prayer for rain? I say, for no reason. It is the same as raining when you had not prayed. When there is an eclipse of the sun or moon, you "save" it; when there is a drought, you pray for rain; when an important decision is to be made, you divine. It is not that you can get anything by doing so. It is just decoration. Hence, the gentleman considers them ornament, but the common people think spirits are involved. To consider them ornament is auspicious; to consider them as spiritual acts is inauspicious.
#### **
A Discussion of Ritual**
Where does ritual come from? I say, people have desires from the time they are born. When they want something they do not get, they inevitably try to get it. When there are no limits imposed on how they can try to get it, they inevitably struggle for it. Struggles lead to disorder, disorder to exhaustion. The ancient kings detested disorder and so instituted ritual and moral principles to set shares, thus satisfying people's desires and supplying their wants. They saw to it that desires and the supply of goods were kept in balance. This is how ritual began....
Sacrifices are concerned with the feelings of devotion and longing. Feelings of depression and melancholy cannot be prevented from occasionally arising. Thus, even when enjoying himself in pleasant company, a loyal official or a filial son will occasionally be overcome by grief. If he is greatly moved by his feelings, but he restrains himself and does not express them, he will be incomplete in ritual. Therefore the ancient kings established ways to fulfill the principle of honoring those deserving honor and expressing closeness to relatives. Hence, sacrifices are concerned with the feelings of devotion and longing. They fulfill loyalty, faith, love, and respect. Ritual conduct is the perfection of decorum. Only sages can fully understand this. Sages comprehend it, gentlemen comfortably carry them out, officials preserve them, and the common people consider them the custom. Gentlemen consider them to be part of the way of man; common people think they have something to do with ghosts....
#### **
Human Nature Is Bad**
Human nature is bad. Good is a human product. Human nature is such that people are born with a love of profit. If they follow these inclinations, they will struggle and snatch from each other, and inclinations to defer or yield will die. They are born with fears and hatreds. If they follow them, they will become violent and tendencies toward good faith will die. They are born with sensory desires for pleasing sounds and sights. If they indulge them, the disorder of sexual license will result and ritual and moral principles will be lost. In other words, if people accord with human nature and follow their desires, they inevitably end up struggling, snatching, violating norms, and acting with violent abandon. Consequently, only after men are transformed by teachers and by ritual and moral principles do they defer, conform to culture, and abide in good order. Viewed this way, it is obvious that human nature is bad and good is a human product.
A warped piece of wood must be steamed and forced before it is made straight; a metal blade must be put to the whetstone before it becomes sharp. Since the nature of people is bad, to become corrected they must be taught by teachers and to be orderly they must acquire ritual and moral principles. When people lack teachers, their tendencies are not corrected; when they do not have ritual and moral principles, then their lawlessness is not controlled. In antiquity the sage kings recognized that men's nature is bad and that their tendencies were not being corrected and their lawlessness controlled. Consequently, they created rituals and moral principles and instituted laws and limitations to give shape to people's feelings while correcting them, to transform people's emotional nature while guiding it. Thus all became orderly and conformed to the Way. Those people today who are transformed by teachers, accumulate learning, and follow ritual and moral principles are gentlemen. Those who indulge their instincts, act impulsively, and violate ritual and moral principles are inferior people. Seen from this perspective, it is obvious that human nature is bad, and good is a human product.
Mencius said that people's capacity to learn is evidence that their nature is good. I disagree. His statement shows he does not know what human nature is and has not pondered the distinction between what is human nature and what is created by man. Human nature is what Heaven supplies. It cannot be learned or worked at. Ritual and moral principles were produced by the sages; they are things people can master by study and effort. Human nature refers to what is in people but which they cannot study or work at achieving. Human products refers to what people acquire through study and effort....
Now, it is human nature to want to eat to one's fill when hungry, to want to warm up when cold, to want to rest when tired. These all are a part of people's emotional nature. When a man is hungry and yet on seeing an elder lets him eat first, it is because he knows he should yield. When he is tired but does not dare rest, it is because he knows it is his turn. When a son yields to his father, or a younger brother yields to his elder brother, or when a son takes on the work for his father or a younger brother for his elder brother, their actions go against their natures and run counter to their feelings. And yet these are the way of the filial son and the principles of ritual and morality. Thus, if people followed their feelings and nature, they would not defer or yield, for deferring and yielding run counter to their emotional nature. Viewed from this perspective, it is obvious that man's nature is bad and good is a human product....
Fanruo and Jushu were great bows of ancient times, but they could not on their own have become accurate without being pressed and straightened. The great swords of ancient times—Duke Huan's Cong, King Wen's Lu, Lord Zhuang's Hu, and King Helü's Ganjiang, Moyeh, Juque, and Bilü—would never have become sharp without being put to the grindstone. Nor could they have cut without men using their strength. The great horses of ancient times—Hualiu, Qiji, Xianli, and Luer—could never have run a thousand _li_ in a day if they had not first been restrained by the bit and bridle, taught to respond to the whip, and driven by someone like Zaofu. Similarly, a man may have a fine temperament and a discriminating mind, but he must first seek a wise teacher to study under and good friends to associate with. If he studies with a wise teacher, what he hears will concern the way of Yao, Shun, Yü, and Tang. If he finds good friends to associate with, what he observes will be loyalty, good faith, respect, and deference. Each day he will come closer to humanity and morality without realizing it, all because of their influence. But if he lives with bad people, what he will hear will be deceit and lies, and what he will observe will be wild, undisciplined, greedy behavior. Without knowing it, he will end up a criminal, all because of their influence. It has been said, "If you do not know the man, observe his friends. If you do not know the lord, look at his attendants." Influence affects everyone.
_Translated by Mark Coyle and Patricia Ebrey_
## 7 **
DAOIST TEACHINGS**
_Amid the intellectual ferment of the three centuries after Confucius, a bewildering array of new ideas were propounded. Two strands that proved particularly long-lasting are those generally labeled "Daoist" and "Legalist" The two key texts of Daoism are the_ Laozi, _also called the_ Classic of the Way and Its Power, _traditionally ascribed to Lao Dan (sixth century B.C.) but probably written in the third century, and the_ Zhuangzi, _a good portion of which was probably written by the philosopher Zhuang Zhou (369-286 B.C.). These two works share disapproval of the unnatural and artificial. Whereas plants and animals act spontaneously in the ways appropriate to them, humans have separated themselves from the Way by plotting and planning, analyzing and organizing. Both texts reject social conventions for an ecstatic surrender to the spontaneity of cosmic processes. The two books, nevertheless, differ in many regards as well. The Laozi is a long philosophical poem, so elliptical that it can be read in many ways. The_ Zhuangzi _is more like a collection of tall tales; it is full of flights of fancy, parables, and fictional encounters between historical figures. Whereas Laozi seems concerned with protecting each person's life, Zhuangzi searches for a view of man's place in the cosmos which will reconcile him to death._
_These two works are of interest not only for what they reveal of the intellectual ferment of the late Zhou, but also because they were among the favorite books of Chinese readers throughout history, enriching the Chinese imagination and giving pleasure to people who accepted most social conventions. Both books were also granted canonical status in the literature of the Daoist religion which developed after the second century A.D._
### **
PASSAGES FROM THE _LAOZI_**
The Way that can be discussed
Is not the constant Way.
The name that can be named Is not the invariant name.
The nameless is the source of Heaven and earth.
The named is the mother of all creatures.
Ever without desires, one can observe its secrets.
Ever possessed of desires, one can observe its manifestations.
These two truths are the same, but appear under different names.
Their identity can be called a mystery. Mystery upon mystery—the gate of the many secrets.
When everyone in the world sees beauty in the beautiful,
Ugliness is already there.
When everyone sees good in the good,
Bad is already there.
Thus existence and nonexistence give birth to each other,
The hard and the easy complement each other,
The long and the short stand in comparison to each other,
The high and the low incline toward each other,
Sounds and notes harmonize with each other,
And before and after follow each other.
Thus the sage takes on the task of doing nothing
And teaches without speaking.
All things arise from him, and he does not reject them.
He produces them but does not own them.
He acts on their behalf but does not depend on them.
He succeeds but does not stay.
Because he does not stay,
Nothing leaves.
Do not honor the worthy,
And the people will not compete.
Do not value rare treasures,
And the people will not steal.
Do not display what others want,
And the people will not have their hearts confused.
A sage governs this way:
He empties people's minds and fills their bellies.
He weakens their wills and strengthens their bones.
Keep the people always without knowledge and without desires,
For then the clever will not dare act.
Engage in no action and order will prevail.
Heaven and earth are ruthless.
They treat all creatures like straw dogs [to be discarded after the sacrifice].
The sage is ruthless and treats the common people like straw dogs.
Isn't the realm of Heaven and earth like a bellows?
Empty, it does not collapse,
But the more it is moved, the more that comes out.
But too much talking leads to depletion.
It is better to preserve what is within.
The spirit of the valley never dies.
Call it the mysterious female.
The gateway to the mysterious female
Is called the root of Heaven and earth.
Hard to perceive,
It cannot be used up.
Heaven persists and earth endures.
The reason they can do this is that they do not generate themselves.
Therefore the sage puts his own person behind and yet is ahead.
He puts his own person outside and yet survives.
Isn't it because he is without selfishness that he is able to be successfully selfish?
The highest good is like water. Water benefits all creatures but does not compete. It occupies the places people disdain. Thus it comes near to the Way.
For dwelling, the earth is good,
For minds, depth is good,
In social relations, human-heartedness is good,
In speaking, trustworthiness is good,
In governing, order is good.
For tasks, ability is good,
For action, timeliness is good.
Simply by not contending,
Blame is avoided.
The Way is eternally nameless.
The uncarved block may be small,
But no one in the world can subordinate it.
If lords and kings could preserve it,
All creatures would pay homage of their own accord,
Heaven and earth would join to send down sweet dew,
And without any decrees being issued, the people would be equitable.
As soon as cuts are made names appear.
Once there are names, one should sense it is time to stop.
Knowing when to stop is the means of avoiding danger.
The Way functions in the world
Much like the rivers flow into the sea.
If you want to shrink something,
Be sure to stretch it.
If you want to weaken something,
Be sure to strengthen it.
If you want to discard something,
Be sure to promote it.
If you want to take from something,
Be sure to give to it.
This is called the brilliance of the minute.
The soft and weak overcomes the hard and strong.
Fish should not be taken from the water;
The tools of statecraft should not be shown to people.
In ancient times, those who excelled in the Way
Did not use it to enlighten the people but to keep them ignorant.
When people are hard to govern, it is because they know too much.
Thus those who use knowledge to rule a state
Are a plague on the country.
Those who do not use knowledge to rule the state
Are the country's blessing.
Understand these two—they are the standard.
Constant recognition of the standard is called mysterious virtue.
Mysterious virtue is deep and far-reaching;
It returns with things all the way to the great conformity.
Make the state small and its people few.
Let the people give up use of their tools.
Let them take death seriously and desist from distant campaigns.
Then even if they have boats and wagons, they will not travel in them.
Even though they have weapons and armor, they will not form ranks with them.
Let people revert to the practice of rope-tying [instead of writing].
Then they will find their food sweet,
Their clothes beautiful,
Their houses comfortable,
Their customs enjoyable.
People from neighboring states so close that they can see each other and hear the sounds of each other's dogs and chickens will then grow old without ever visiting each other.
### **
SELECTIONS FROM THE _ZHUANGZI_**
Hui Shi said to Zhuangzi, "I have a large tree, of the sort people call a shu tree. Its trunk is too gnarled for measuring lines to be applied to it, its branches are too twisted for use with compasses or T-squares. If you stood it on the road, no carpenter would pay any attention to it. Now your talk is similarly vast but useless; people are unanimous in rejecting it."
Zhuangzi replied, "Haven't you ever seen a wildcat or a weasel? It crouches down to wait for something to pass, ready to pounce east or west, high or low, only to end by falling into a trap and dying in a net. But then there is the yak. It is as big as a cloud hanging in the sky. It has an ability to be big, but hardly an ability to catch mice. Now you have a large tree but fret over its uselessness. Why not plant it in Nothing At All town or Vast Nothing wilds? Then you could roam about doing nothing by its side or sleep beneath it. Axes will never shorten its life and nothing will ever harm it. If you are of no use at all, who will make trouble for you?"
* * *
How do I know that enjoying life is not a delusion? How do I know that in hating death we are not like people who got lost in early childhood and do not know the way home? Lady Li was the child of a border guard in Ai. When first captured by the state of Jin, she wept so much her clothes were soaked. But after she entered the palace, shared the king's bed, and dined on the finest meats, she regretted her tears. How do I know that the dead do not regret their previous longing for life? One who dreams of drinking wine may in the morning weep; one who dreams of weeping may in the morning go out to hunt. During our dreams we do not know we are dreaming. We may even dream of interpreting a dream. Only on waking do we know it was a dream. Only after the great awakening will we realize that this is the great dream. And yet fools think they are awake, presuming to know that they are rulers or herdsmen. How dense! You and Confucius are both dreaming, and I who say you are a dream am also a dream. Such is my tale. It will probably be called preposterous, but after ten thousand generations there may be a great sage who will be able to explain it, a trivial interval equivalent to the passage from morning to night.
* * *
Once Zhuang Zhou dreamed he was a butterfly, a fluttering butterfly. What fun he had, doing as he pleased! He did not know he was Zhou. Suddenly he woke up and found himself to be Zhou. He did not know whether Zhou had dreamed he was a butterfly, or a butterfly had dreamed he was Zhou. Between Zhou and the butterfly there must be some distinction. This is what is meant by the transformation of things.
* * *
Cook Ding was cutting up a cow for Duke Wenhui. With a touch of his hand, a lunge of his shoulder, a stamp of his foot, a bend of his knee, zip, his knife slithered, never missing a beat, in time to "the dance of the mulberry forest," or the "Jingshou suite." Lord Wenhui exclaimed, "How amazing that your skill has reached such heights!"
Cook Ding put down his knife and replied, "What I love is the Way, which goes beyond skill. When I first butchered cows, I saw nothing but cows. After three years, I never saw a cow as a whole. At present, I deal with it through my spirit rather than looking at it with my eyes. My perception stops and my spirit runs its course. I rely on the natural patterning, striking at the big openings, leading into the main cavities. By following what is inherently so I never cut a ligament or tendon, not to mention a bone. A good cook changes his knife once a year, because he cuts. An ordinary cook changes his knife every month, because he hacks. This knife of mine is nineteen years old. It has carved several thousand cows, yet its blade looks like it had just come from the grindstone. There are spaces in the joints, and the blade has no thickness. So when something with no thickness enters something with space, it has plenty of room to move about. This is why after nineteen years it seems fresh from the grindstone.
However, when I come to something complicated, I inspect it closely to prepare myself. I keep my eyes on what I am doing and proceed deliberately, moving my knife imperceptibly. Then with a stroke it all comes apart like a clod of earth crumbling. I stand there, my knife in my hand, look all around, enjoying my success. Then I clean the knife and put it away."
Lord Wenhui said, "Excellent! By listening to Cook Ding I learned how to nurture life."
* * *
Consider Cripple Shu. His chin is down by his navel. His shoulders stick up above his head. The bones at the base of his neck point to the sky. The five pipes of his spine are on top; his two thighs form ribs. Yet by sewing and washing he is able to fill his mouth; by shaking the fortune-telling sticks he earns enough to feed ten. When the authorities draft soldiers, a cripple can walk among them confidently flapping his sleeves; when they are conscripting work gangs, cripples are excused because of their infirmity. When the authorities give relief grain to the ailing, a criple gets three measures, along with ten bundles of firewood. Thus one whose form is crippled can nurture his body and live out the years Heaven grants him. Think what he could do if his virtue was crippled too!
* * *
Root of Heaven roamed on the south side of Mount Vast. When he came to the bank of Clear Stream, he met Nameless Man and asked him, "Please tell me how to manage the world."
"Go away, you dunce," Nameless Man said. "Such questions are no fun. I was just about to join the Creator of Things. If I get bored with that, I'll climb on the bird Merges with the Sky and soar beyond the six directions. I'll visit Nothing Whatever town and stay in Boundless country. Why do you bring up managing the world to disturb my thoughts?"
Still Root of Heaven repeated his question and Nameless Man responded, "Let your mind wander among the insipid, blend your energies with the featureless, spontaneously accord with things, and you will have no room for selfishness. Then the world will be in order."
* * *
Duke Huan was reading a book in the hall. Wheelwright Pian, who had been chiseling a wheel in the courtyard below, set down his tools and climbed the stairs to ask Duke Huan, "May I ask what words are in the book Your Grace is reading?"
"The words of the sages," the duke responded.
"Are these sages alive?"
"They are already dead."
"That means you are reading the dregs of long gone men, doesn't it?"
Duke Huan said, "How does a wheelwright get to have opinions on the books I read? If you can explain yourself, I'll let it pass; otherwise, it's death."
Wheelwright Pian said, "In my case, I see things in terms of my own work. When I chisel at a wheel, if I go slow, the chisel slides and does not stay put; if I hurry, it jams and doesn't move properly. When it is neither too slow nor too fast, I can feel it in my hand and respond to it from my heart. My mouth cannot describe it in words, but there is something there. I cannot teach it to my son, and my son cannot learn it from me. So I have gone on for seventy years, growing old chiseling wheels. The men of old died in possession of what they could not transmit. So it follows that what you are reading is their dregs."
* * *
When Zhuangzi's wife died and Hui Shi came to convey his condolences, he found Zhuangzi squatting with his knees out, drumming on a pan and singing. "You lived with her, she raised your children, and you grew old together," Hui Shi said. "Not weeping when she died would have been bad enough. Aren't you going too far by drumming on a pan and singing?"
"No," Zhuangzi said, "when she first died, how could I have escaped feeling the loss? Then I looked back to the beginning before she had life. Not only before she had life, but before she had form. Not only before she had form, but before she had vital energy. In this confused amorphous realm, something changed and vital energy appeared; when the vital energy was changed, form appeared; with changes in form, life began. Now there is another change bringing death. This is like the progression of the four seasons of spring and fall, winter and summer. Here she was lying down to sleep in a huge room and I followed her, sobbing and wailing. When I realized my actions showed I hadn't understood destiny, I stopped."
* * *
When Zhuangzi was about to die, his disciples wanted to bury him in a well-appointed tomb. Zhuangzi said, "I have the sky and the earth for inner and outer coffins, the sun and the moon for jade disks, the stars for pearls, and the ten thousand things for farewell gifts. Isn't the paraphernalia for my burial adequate without adding anything?"
"We are afraid the crows and kites will eat you, master," a disciple said.
"Above ground, I will be eaten by crows and kites; below ground by ants. You are robbing from the one to give to the other. Why play favorites?"
_Translated by Patricia Ebrey_
## 8 **
LEGALIST TEACHINGS**
_By the third century B.C., as small states one after another were conquered by large ones and the number of surviving states dwindled, those rulers still in contention were receptive to political theorists who claimed to understand power and the techniques that would allow rulers to strengthen control over officials and subjects. These advisors argued that strong government depended not on the moral qualities of the ruler and his officials, as Confucians claimed, but on establishing effective institutional structures. Because of their emphasis on laws, these thinkers are usually labeled the Legalists._
_Below are selections from the two fullest Legalist treatises. The first has traditionally been ascribed to Lord Shang (Gongsun Yang, died in 338 B.C.), long chief minister of the state of Qin, the state most fully to adopt legalist policies. The second is from the major synthesizer of Legalist thought, Han Feizi. Han Feizi once studied with Xunzi and eventually traveled to Qin, where he had access to high court politics. Slandered by his former fellow student Li Si, then in power, he was forced to commit suicide in 233 B.C._
### **
SELECTIONS FROM _THE BOOK OF LORD SHANG_**
#### **
Changing the Laws**
Duke Xiao was discussing policies. Three great officers, Gongsun Yang, Gan Long, and Du Zhi, were assisting him. They considered changes in social practices, debated the basis for laws, and searched for ways to lead the people.
The ruler said, "The proper course for the ruler is to keep in mind the sacrifices to the soil and grain from the time he first succeeds to his position. The job of the minister is to shape the laws and devote himself to the lord of the people. Now I wish to change the laws in order to govern better and reform the rituals in order to instruct the common people. I am afraid that everyone will criticize me."
Gongsun Yang said, "I have heard that those who hesitate to act accomplish nothing. Your Highness should quickly make up your mind about reforming the laws, ignoring everyone's criticisms. After all, those who excel in what they do or have independent thoughts are always condemned by their contemporaries. There is a saying, 'The dull cannot even see what has already happened, but the intelligent can see what is yet to sprout.' The people should not be consulted in the beginning; but they should join in in enjoying the results. The laws of Guo Yan said, 'Those who discuss the highest virtues do not accord with common sentiments; those who attain the greatest feats do not ask ordinary people for advice.' Laws exist to love the people; rites exist to make affairs go smoothly. Therefore, the sage does not stick to ancient laws if he can strengthen his state by changing them and does not keep ancient rituals if he can benefit the people by altering them."
Duke Xiao said, "Good."
Gan Long objected, "I disagree. I have heard that a sage teaches the people without changing them and a wise man governs without altering the laws. One can attain success without much effort when one teaches on the basis of the people's ways. When one governs on the basis of the established laws, the officials will have experience and the common people will feel secure. If you now change the laws, abandoning the old practices of the state of Qin, and alter the rituals to instruct the people, I fear that everyone will criticize Your Highness. Please give the matter careful consideration."
Gongsun Yang responded, "You have expressed the conventional wisdom. Ordinary people feel secure with old habits and scholars are mired in what they have heard. Both may be all right for occupying offices and enforcing laws, but they cannot be brought into discussion of matters outside the law. The founders of the three dynasties became kings using different rituals; the five hegemons established their supremacy using different laws. Therefore the wise person creates laws while the ignorant are controlled by them; the worthy alter the rites while the unworthy are held fast by them. Those held fast by rituals or controlled by laws are not the people with whom to discuss policies. Your Highness, have no doubts."
Du Zhi countered, "I have heard that unless the advantage is a hundredfold, one does not change the laws, and unless the success will be up tenfold, one does not alter the equipment. I have also heard that modeling on the past eliminates errors and preserving rituals eliminates deviance. Let Your Highness plan that way."
Gongsun Yang said, "Former ages did not all have the same teachings. Which past will you use as a model? The great kings did not repeat each other. Which rituals will you follow? Fu Xi and Shen Nong taught but did not punish; the Yellow Emperor, Yao, and Shun punished but not in anger. More recently, Kings Wen and Wu each created laws suited to their time and rituals suited to the circumstances. Rituals and laws should be established according to the times, rules and regulations according to what is right, and military equipment according to what is needed. Therefore I say, 'There is more than one way to bring peace to the world and no need to follow the past.' The kings Tang and Wu flourished without copying the past; the Shang and Xia dynasties fell despite preserving their rituals. Consequently opposing the past is not necessarily wrong; following conventions is not worth much praise. Your Highness, have no doubts."
Duke Xiao said, "Good. I have heard that poor villagers are easily alarmed and pedantic scholars love to argue. What amuses the ignorant grieves the wise; what gives joy to the foolish gives grief to the wise. I will not worry about what people say." Thereupon he issued the law on reclaiming wastelands.
### **
SELECTIONS FROM _HAN FEIZI_**
#### **
Precautions with Regard to the Inner Quarters**
The ruler gets into difficulties through placing his trust in others. When he trusts someone, he falls under the person's control. Ministers are not attached to their ruler through kinship, but serve only because they suit his needs. Therefore ministers observe their ruler's moods constantly while the ruler gets to take his ease. This is the reason some rulers are deposed or assassinated.
When a ruler puts great confidence in his son, treacherous ministers will make use of the son to achieve their private ends. Li Dai, for instance, helped the King of Zhao starve his father. When a ruler places great trust in his wife, then treacherous ministers will make use of her to achieve their private ends. The actor Shi, for instance, helped Lady Li kill [the heir apparent] Shensheng and set up Xiqi in his stead. Since one cannot trust even someone as close as a wife or child, there is no one who should be trusted.
Among the wives, concubines, and sons of a ruler of a state, large or small, there will probably be someone who would like to see the ruler die early. How do I know this? A wife is not tied by flesh and blood. When the ruler loves her, they are close; when he does not love her, they are distant. It is like the saying, "The child whose mother is loved is cherished." The opposite also holds true: The child whose mother is hated is cast aside. A man of fifty has not lost his interest in women, but a woman begins to lose her looks before thirty. When a woman whose looks are deteriorating serves a man who still loves sex, she will be despised and her son is not likely to be made heir. This is the reason queens, consorts, and concubines plot the death of the ruler. When the mother of the ruler is the queen, all orders are carried out and all prohibitions are effective. She enjoys male-female relations as much as when the previous ruler lived and can control all the powers of a large state without raising suspicions. [To preserve this situation she may well] poison (her son) the ruler or hang him in secret. It is for these reasons that Tao Zuo, in the _Spring and Autumn Annals,_ said, "Not even half of all rulers die of illness." When a ruler does not realize this, his troubles will worsen. Hence the saying, "When many people will profit from his death, a ruler is in danger."
#### **
Lords**
Lords' lives are endangered and their states perish when the high ministers are too honored and the rulers' attendants are too influential. Those too highly honored will act on their own authority, disregarding the law and manipulating the organs of the state for their selfish ends. Those too influential will take advantage of the situation and act arbitrarily. One must be on guard for both of these.
The strength of their muscles is what makes it possible for horses to carry heavy loads and pull carriages long distances. The power of position is what makes it possible for lords of large or small states to control the world and subjugate the feudal lords. The power of position is a ruler's muscular strength. Now for senior officials to get influence and attendants to get power reduces the ruler's strength. Not one ruler in a thousand can keep his state if he loses his power. Tigers and leopards can win over men and catch other animals because of their claws and fangs, without which they would be dominated by men. Now, superior power constitutes the lords's claws and fangs, loss of it is comparable to tigers and leopards losing their claws and fangs. The ruler of Song lost his claws and fangs to Zihan, and Duke Jian lost his to Tian Chang. Because they could not get them back quickly enough, they lost their lives and their states were destroyed. Today, even rulers with no knowledge of techniques of control understand Song Jian's error. Still, they do not see their own failings and how similar they are.
Men of law and techniques of control [i.e., Legalists] do not get along with these sorts of ministers. How can I show this? When the ruler has men who know techniques of control, then the high ministers are not able to act arbitrarily and the close attendants will not dare to sell favors. When the influence of the ministers and attendants ceases, the ruler's way will be bright. This is not the case today. These sorts of ministers have the power to protect their private interests and the attendants and intimates form factions and control access in order to keep out those more distant from the ruler. When, then, can men of law and techniques of control get the chance to be employed? When can the lord get to discuss strategy and make decisions? It is for these reasons that techniques of control are not always employed and legalists cannot coexist with these ministers and attendants.
#### **Six Examples of Having It Backwards**
The sort of person who out of fear of death avoids trouble and surrenders or retreats is honored by the world as a man who values life. The sort of person who studies the Way and proposes plans but distances himself from the law is honored by the world as a man of learning. The sort of person who travels around letting others support him is honored by the world as a man of talent. The sort of person who twists words, pretends to have knowledge, and practices deception, the world honors as a skilled debater. The sort of person who wields a sword to kill or intimidate is honored by the world as a man of courage. The sort of person who deserves to die because he has harbored criminals is honored by the world as a man of chivalry. The world praises these six sorts of people.
By contrast, the sort of person who will risk his life for matters of principle, the world belittles as a person who cannot calculate the odds. The sort of person who knows little but obeys the law, the world belittles as a simple rustic. The sort of person who does productive work, feeding himself through his own efforts, the world belittles as a fellow of little ability. The sort of person who is generous, honest, and good, the world belittles as silly. The sort of person who obeys orders and respects authority, the world belittles as timid. The sort of person who resists criminals and informs the authorities about them, the world belittles as a slanderer. The world belittles these six sorts of people.
The six sorts who plot, deceive, and do nothing of value the world honors; the six sorts who farm, wage war, and prove of use the world disparages. These are the six examples of having it backwards. Ordinary people, out of partiality, praise someone; then the ruler, hearing of his undeserved reputation, treats him with courtesy. Those who are treated courteously always end up gaining profit as well. Ordinary people, because of a private grudge, slander someone; then the ruler, following convention, despises him. Those who are despised always come to harm. Thus rewards go to selfish and evil people who ought to be punished and harm comes to public-minded men who ought to be rewarded. Consequently there is no hope of enriching and strengthening the state.
The ancients had a saying, "Governing is like washing hair. Even if some hairs fall out, it must be done." Anyone who begrudges the loss of some hair and forgets the advantage to the growing hair has no understanding of expediency. Lancing boils hurts, drinking medicine tastes bitter. But if on that account one does not lance them or drink them, one will not recover.
Now, the relationship between superior and subordinate is not based on affection like that between father and son. So if one wishes to curb subordinates by acting righteously, the relationship will be flawed. Think of parents' relations to their children. They congratulate each other when a son is born, but complain to each other when a daughter is born. Why do parents have these divergent responses when both are equally their offspring? It is because they calculate their long-term advantage. Since even parents deal with their children in this calculating way, what can one expect where there are no parent-child bonds? When present-day scholars counsel rulers, they all tell them to rid themselves of thoughts of profit and follow the path of mutual love. This is expecting rulers to go further than parents. These are immature ideas, false and deceptive. Therefore the intelligent ruler does not accept them.
The sage's method of governing is as follows. He scrutinizes the laws and prohibitions, and once they are made clear, his officials are orderly. He defines the rewards and punishments, and when they are fair, the people can be employed by the officials. When the officials are orderly and the people are employed, the state will get rich and from that the army will be strong. Then it is possible to succeed in establishing hegemony over other states. For rulers, becoming hegemon or king is the ultimate benefit. A ruler must keep this ultimate benefit in mind in governing. Therefore he must employ officials according to their talents and give rewards and punishments impartially so that all can see. When men work hard and risk their lives, military campaigns can succeed and rewards of rank and salary are deserved. Thus one succeeds in gaining wealth and high rank. For subjects, wealth and high rank are the ultimate benefit. When subjects attend to their work with these goals in mind, they will face danger and risk their lives, putting out every last bit of effort. This is what is meant by the saying that unless the ruler is generous and the subjects loyal hegemony cannot be achieved.
Criminals are careful if they are likely to be discovered and stop if they are likely to be executed. But they are reckless if they will not be discovered and carry out their plans if they will not be punished. If goods of little value are left in a deserted place, even Zeng and Shi could be tempted. But if a hundred pieces of gold are hung up in the marketplace, even great robbers will not take them. When no one will know, even Zeng and Shi can be suspected. When sure to be discovered, then even great robbers do not take the gold hung in the marketplace. Therefore the enlightened ruler, in ruling his country, increases the guards and makes the penalties heavier; he depends on laws and prohibitions to control the people, not on their sense of decency. A mother loves her son twice as much as a father does, but a father's orders are ten times more effective than a mother's. The relationship between officials and the people is not based on love and their orders are ten thousand times more effective than parents'. Parents pile up love, but their orders fail; officials are strict and the people obey. Such is the basis for choosing between severity and love.
Furthermore, parents make every effort to keep their children safe and far from trouble, but a ruler's relation to his people is different. In times of difficulty he needs them to risk death and in times of peace he needs them to exhaust their strength for him. Parents, who lovingly consider their children's comfort and benefit, are not obeyed. Rulers, who with no concern for their benefit demand that they risk their lives or work hard, have their orders followed. The intelligent ruler recognizes this and so does not cultivate feelings of empathy but builds up awe for his power. Indulgent mothers generally spoil their sons through their love. Harsh fathers generally rear good sons through their strictness.
#### **
Esteemed Scholars**
When a sage rules a state he does not count on people doing good on their own but rather takes measures to keep them from doing wrong. If he depended on people who do good of themselves, he could hardly find a few dozen in the whole realm. But if he uses methods to keep them from doing wrong, then everyone in the state can be made to act the same. In governing it is better to disregard the small minority to make use of the bulk of the population. Thus the ruler should concentrate on laws rather than on moral influence. After all, if one had to depend on shafts that were naturally straight, a hundred generations would go by before one could make an arrow, and if one had to depend on wood that was naturally curved, a thousand generations would go by without a wheel. Naturally straight shafts and naturally curved wood appear not even once in a hundred generations yet people ride carriages and shoot birds in every generation. How do they accomplish this? They use the techniques for straightening and bending. A skilled craftsman places no particular value on shafts that are straight or boards that are round of themselves even before straightening or bending. Why? Because there isn't only one person who wants to ride or shoot. In the same way, a ruler does not value people who are good of themselves even without rewards and punishments. Why? Because the state's laws should not be ignored and it is not enough to govern just one man. Therefore a ruler who knows the techniques is not swayed by accidental goodness but carries out policies that will assure success....
Those who do not understand how to govern all say: "Obtain the hearts of the people."... The people are no more intelligent than an infant. If an infant's head is not shaved, his sores will not heal; if his boils are not lanced, his illness will worsen. Even when someone holds him and his loving mother does the shaving or lancing, he will howl without stop, for a baby cannot see that a small discomfort will result in a major improvement. Now the ruler wants to people to till land and maintain pastures to increase their production, but they think he is cruel. He imposes heavy penalties to prevent wickedness, but they think he is harsh. He levies taxes in cash and grain to fill the storehouses and thus relieve them in time of famine and have funds for the army, but they consider him greedy. He imposes military training on everyone in the land and makes his forces fight hard in order to capture the enemy, but they consider him violent. In all four cases, he uses means that will lead to peace, but the people are not happy.
_Translated by Patricia Ebrey_
## 9 **
TWO AVENGERS**
_As the states fought ruthlessly against one another, old hierarchies and old loyalties were repeatedly put to the test. When a state was conquered, its nobles lost their aristocratic ranks and fell to the level of ordinary gentlemen_ (shi). _At the same time, ambitious rulers were recruiting men of humble background to serve them, thus adding further social diversity to the ranks of gentlemen. This social movement was compounded by the practice of ambitious men moving from one state or one lord to another. Some men opportunistically served under one lord after another, even moving to a former lord's opponent. Such disloyalty, however, also evoked its opposite: a cult of personal devotion to one's lord and his honor._
_Below are accounts of two men who undertook to avenge slights to a patron who had honored them. The stories were recorded in the_ Intrigues of the Warring States, _a collection of records of events in the Warring States period, often highly dramatized or even fictionalized, dating from the third century B.C. and edited in the Han._
#### **
YURANG**
Yurang, grandson of Bi Yang of Jin, had served the Fan and Zhonghang families but, discontented, took up service under Earl Zhi, who favored him. When the Three Jin states conquered and divided Zhi's land, Viscount Xiang of Zhao hated Earl Zhi so much he lacquered his skull and used it as a wine cup.
Yurang, having escaped to the mountains, sighed and said, "A man of valor dies for the one who appreciates him, just as a woman makes herself beautiful for the man who loves her. I must avenge Earl Zhi." He changed his name and disguised himself as a convict laborer. He got into the palace of the ruler of Zhao to plaster the privy, hoping for a chance to stab Viscount Xiang. But as Viscount Xiang was entering the privy he acted on a premonition and checked on the plasterer. Yurang, with his sharpened trowel, admitted he had planned to avenge Earl Zhi.
The attendants wanted to kill him but Viscount Xiang of Zhao said, "This is a man of honor. I shall just keep out of his way. Earl Zhi died and his descendants were all killed, yet his officer feels called on to avenge him. He is one of the most worthy men in the land." With that he released him.
Yurang disguised himself by painting his skin with lacquer to cause sores, shaving off his hair and eyebrows, and mutilating his face. When he went and his begged, his wife did not recognize him. "You don't look like my husband," she said, "but your voice is identical to his." So Yurang drank lye to hoarsen his voice.
A friend said to him, "Your way is so difficult and it may not succeed. Your determination is apparent, but you are hardly being intelligent. A man of your talent could gain Viscount Xiang's patronage by serving him well. Once you gained his favor, you could easily carry out your plan. Such a strategy would be easy to implement and sure to work."
Yurang laughed, "This would be taking vengeance on someone who appreciated me later for the sake of someone who appreciated me first, and harming my new lord for the sake of my old lord. Nothing could more confuse the proper duty of lord and subordinate. My goal in what I am doing is to illustrate these duties, not to find an easy out. To take an oath of fealty to a man one is seeking to assassinate would be to serve a lord duplicitously. I have taken the hard way to shame all those who in the future are guilty of such duplicity."
Sometime later Yurang heard that Viscount Xiang was going on an excursion. Yurang hid under a bridge the lord would cross. When Viscount Xiang reached the bridge his horse shied and he said, "Yurang must be here!" He sent men to investigate and discovered him.
Viscount Xiang of Zhao reproached Yurang to his face, "Formerly you served the houses of Fan and Zhonghang, yet when Earl Zhi destroyed them, instead of avenging them you took service under him. Why are you so determined now to avenge Lord Zhi's death?"
Yurang replied, "When I served the houses of Fan and Zhonghang, they treated me as an ordinary man and I repaid them as an ordinary men would. But Earl Zhi treated me as the finest man in the state, and that is how I must treat him in return."
"Ah, Yurang," sighed Viscount Xiang, with tears in his eyes. "You have made a name by your loyalty to Earl Zhi, and I have been as tolerant as I can. You must realize I can't let you off again." He ordered his troops to surround him.
"I have heard that a wise ruler does not conceal other men's good deeds," Yurang said, "and a loyal subject will die for honor. Already the whole world is praising your generosity for sparing me. Now I am ready to take my punishment. But I beg you first to give me your coat so that I can stab it to express my desire for vengeance. I know this is more than I deserve, but I dare to tell you what is in my heart."
Viscount Xiang, greatly moved by Yurang's sense of loyalty, had someone give his coat to him. Yurang unsheathed his sword and leaped three times into the air, slashing at it. "I am repaying Earl Zhi!" he cried. With that he fell upon his sword and died. News of his death made all valiant men of Zhao shed tears.
#### **
NIE ZHENG**
Han Kui, the minister of Han, and Yan Sui, favored by the ruler, hated each other. Once in a discussion of government policies, Yan Sui explicitly brought up Han Kui's faults, and Han Kui yelled at him right in the court. Yan Sui drew his sword and lunged at him, but others saved him. Fearful of being punished, Yan Sui fled to search for someone who would avenge Han Kui for him.
When he got to Qi someone there told him, "Nie Zheng of Shenjing Village in Zhi is a brave and daring man living as a butcher to escape his enemies." Yan Sui secretly tried to make friends with Nie Zheng, lavishing gifts on him.
Nie Zheng asked, "What service is it you wish me to perform?"
Yan Sui said, "I haven't been able to help you very long, so even if I had something pressing, how would I dare make a request?"
Yan Sui then prepared wine and lifted a cup in honor of Nie Zheng's mother. Yan presented her with a hundred pieces of gold and wishes for her long life. Astonished by such munificence, Nie Zheng firmly declined the gift. When Yan Sui just as persistently insisted he take it, Nie Zheng explained, "I am lucky to have my old mother living with me. I may be poor and a stranger here, but I am able to take care of her, supplying her food and clothing by selling dog meat. Since I can provide for her, I do not dare accept your gift."
Yan Sui asked the others to leave and told Nie Zheng privately, "I have an enemy. I traveled through many states before I got to Qi and learned about you and your high sense of honor. I am offering you a hundred gold pieces to help you supply food and clothing for your mother. I hope to win your friendship, but am asking for nothing else in return."
Nie Zheng replied, "I have lowered my ambitions and humbled myself to sell meat in the market solely to let me take care of my aged mother. While she survives, I cannot promise my services to anyone." Yan Sui tried to persuade him, but could not prevail upon him to accept. Yan Sui then took leave of him, careful to do so with full courtesy.
In due time Nie Zheng's mother died. After she was buried and the mourning over, Nie Zheng said to himself, "I work in the market wielding a butcher's knife, while Yan Sui is a minister to a feudal lord. Yet he drove a thousand _li_ to seek my friendship. I didn't treat him very well. I have never done anything to deserve his favor, yet he offered my mother a hundred pieces of gold. Even though I didn't accept, his act shows his appreciation of me. A worthy gentleman burning with the desire for revenge placed his faith in a humble and obscure man like me. How, then, can I remain silent? Previously I ignored his overtures because of my mother. Now that my mother has passed away, I must serve this man who appreciates me."
So he went west to Puyang to see Yan Sui. He told him, "Before I refused you because my mother was still alive, but now she has passed away. Who is it you want to take vengeance on? I am at your service."
Yan Sui then told him the whole story, "My enemy is Han Kui, chief minister of Han and uncle of the marquis of Han. He has many clansmen and is always closely guarded. All my attempts to have him assassinated have failed. Since you are so kind as to consent to help me, let me supply you with chariots, horses, and men."
"Han is not far from Wei, and our plan is to kill a man who is not only the chief minister but also the ruler's relative," said Nie Zheng. "In these circumstances, too many men would be a hindrance. With a lot of people, something will go wrong, then word will leak out. When word gets to Han, that whole state will take up arms against you. It would be disastrous."
So refusing all assistance, Nie Zheng bid farewell. He set out alone, his hand on the hilt of his sword, eventually reaching the capital of Han. At that time, there was a meeting at Dongmeng which the king and all his ministers were attending, surrounded by guards and armed attendants. Yet Nie Zheng marched straight in and up the steps and stabbed Han Kui. Han Kui ran to Marquis Ai and wrapped his arms around him. Nie Zheng stabbed him and cut Marquis Ai as well. Everyone was in total confusion. Shouting loudly, Nie Zheng then attacked the attendants, killing several dozen. Then he slashed his face, gouged out his eyes, and disemboweled himself the way he had often disemboweled animals. In this way he died.
Nie Zheng's corpse was exposed in the market place in Han. A reward of a thousand gold pieces was offered to anyone who could identify him but no one knew who he was.
Meanwhile Nie Zheng's sister heard of these events and said, "My brother was an exceptional man. I should not let his name be lost out of fear for my own body. It would not be his wish."
She set off for Han and when she saw his body said, "What courage! He surpassed Ben and Yu and even Cheng Qing. Today he is dead and nameless. His parents are dead and he has no brothers. It is up to me. I could not bear to fail to broadcast his name out of fear for my own person." So she embraced the body and wept over it. "This is my brother, Nie Zheng of Shenjing village in Zhi." Then she killed herself at his side.
When word of this reached Jin, Chu, Qi and Wei, everyone commented, "Not only was Nie Zheng able, but his sister was a woman of valor as well." The reason Nie Zheng's name has been preserved is that his sister made it known, not afraid that she would be hacked into little pieces [as an assassin's relative].
_Translated by Patricia Ebrey_
## 10 **
SOCIAL RITUALS**
_Manners and everyday rituals serve to mold interpersonal relations and orient people in everyday affairs. Although people may not consider such gestures as bowing, shaking hands, or motioning for others to go first as anything more than politeness, the habits of deference and respect they ingrain cannot help but extend into other realms of social life._
_Confucius attributed great power to ritual, once stating that "The whole world would respond to the true goodness of_ [ _a ruler_ ] _who could for one day restrain himself and return to ritual." Xunzi, as seen in Selection 6, also had high regard for the power of ritual to mold behavior. Highly precise rules for the performance of rituals were compiled in the late Zhou, with different rules for different ranks of society: rulers, nobles, high officials, low officials, and gentlemen_ (shi). _The_ Book of Etiquette and Ritual _preserves many of the rules for gentlemen. The chapter given below contains the procedures to be followed when one gentleman calls on another. Even though some of the specific rules given in this selection, such as the kinds of gifts to be given, quickly became outdated, the general outline remained influential for many centuries._
#### **
THE CEREMONIES FOR VISITS BETWEEN GENTLEMEN**
In winter one presents a freshly killed pheasant and in summer a dried one. The bird is held up in both hands, the head to the left.
THE VISITOR: I have desired an interview for some time, but have had no justification for asking for one. Now his honor So-and-so has commanded me to visit.
THE HOST: The gentleman who introduced us has ordered me to grant you an interview. But you, sir, are demeaning yourself by coming. Please return home, and I shall hasten to present myself before you.
THE GUEST: I cannot disgrace you by obeying this command. Be good enough to end by granting me this interview.
THE HOST: I do not dare to set an example of how a reception of this kind should be conducted, and so I persist in asking you to return home, and I shall call on you without delay.
THE GUEST: It is I who do not dare to show that example, and so I persist in asking you for an interview.
THE HOST: Since I have failed to receive permission to decline this honor, I shall not press it further. But I hear that you are offering me a gift, and this I must decline.
THE GUEST: Without a gift I cannot dare to come into your presence.
THE HOST: I am not worthy of these ceremonies, and so I must persist in declining.
THE GUEST: If I cannot have the support of my gift, I dare not pay you this visit; so I persist in my request.
THE HOST: I also am decided in declining; but as I cannot secure your consent, how dare I refuse?
Then the host goes to meet the guest outside the gate, and there bows twice, answered by two bows from the guest. Then the host, with a salute, invites him to enter. The host goes in by the right side of the door, the guest holding up the present and entering by the left. When they enter the courtyard the host bows twice and accepts the present, the guest bows twice as he hands it to him, and then starts going out. Then the host invites him to carry out the visit, and the guest returns and complies. When the guest leaves, the host escorts him outside the gate and bows twice.
When the former host pays his return visit, he takes the other's present with him. He says: "Recently when your honor demeaned himself by visiting me, you commanded me to an interview. I now ask permission to return your gift to the attendant."
THE HOST: Since I have already secured an interview, how could I now refuse to grant one?
THE GUEST: I do not dare to ask for an interview; I only presume to request permission to return the gift by your attendant.
THE HOST: Since I have already obtained an interview by the help of this gift, I must persist in declining to receive it back.
THE GUEST: I dare not listen to such a speech, so I will press my request through your attendant.
THE HOST: Since I cannot secure your consent to my declining, I dare not but obey.
Then the guest enters, carrying the present. The host bows twice and receives it, the guest bowing twice as he gives it. On departure, the host escorts him outside the gate and bows twice.
When a gentleman visits an official, the latter declines altogether to receive his present. At his entrance the host bows once, acknowledging their difference in rank. When the guest withdraws, he escorts him and bows twice.
When a gentleman calls on his former superior, the host formally declines the visitor's gift: "As I have not been able to receive your consent to my declining, I dare not persist in it."
Then the guest enters, lays down his gift, and bows twice. The host replies with a single bow. When the guest leaves, the host sends the attendant to return the gift outside the gate.
THE ATTENDANT: So-and-so sends me to hand back your gift.
THE GUEST: Since I have already obtained an interview, I venture to decline to receive the gift.
THE ATTENDANT: So-and-so has issued his commands to me, and I cannot myself take the initiative in this matter. I must press his request on you.
THE GUEST: I am the humble servant of his excellency, and am not capable of observing the ceremonies of a visitor with his host; so I venture to persist in declining.
THE ATTENDANT: Since So-and-do has ordered me, I dare not take it upon myself to make decisions in this matter, but persist in this request.
THE GUEST: I have repeatedly declined, without receiving his honor's permission to do so. How then dare I not obey? [He thus bows twice and receives the present back.]
The lower officials, in visiting one another, use a live wild goose as a present. It is wrapped in a cloth, its feet bound with a cord, and is carried like the pheasant. In visits among the higher officials, a live lamb is presented. It is wrapped in a cloth, with the four legs bound in front. The head is held to the left as a fawn is held. The ceremonial is the same as that observed in visits exchanged between gentlemen.
At their first interview with the ruler, visitors carry a gift, holding it on a level with the girdle. Their deportment shows a respectful uneasiness. When commoners have an interview with their ruler, they do not assume dignified carriage, but hurry along both in advancing and retreating. Gentlemen and officials lay down their present and kowtow twice. To this the ruler responds with a single bow.
If the visitor is from another state, the usher is sent to hand him back his gift, saying: "My unworthy ruler has sent me to return your present."
The visitor replies: "A ruler has no ministers beyond his own borders, and therefore I dare not refuse to do as he commands." Then kowtowing twice, he receives it back.
Anyone who sees his ruler on business stands directly in front of him when he faces south. If that is impossible, then the minister faces squarely east or west, and not in whatever direction the ruler happens to face. If the ruler is in the hall, the minister goes up the steps nearest the ruler, without making any distinction between direction.
Except to answer questions, in addressing the ruler a person composes himself before speaking. In speaking with the ruler, one talks of official business; with an official, of service to the ruler; with older men, of the control of children; with young people, of their filial and brotherly duties; with the common man, of loyalty and geniality; with those in minor offices, of loyalty.
In speaking to an official, one begins by looking him in the face; toward the middle of the interview one looks at his breast, and at the end of the interview one's eyes are again directed to his face. The order is never changed, and is used in all cases. In talking to one's father, the eyes are allowed to wander, but not higher than the face, nor lower than the girdle. If one is not speaking when the other is standing, one looks at his feet, and, if he sits, at his knees.
When one is sitting in attendance on a great man, should he yawn, stretch himself, ask the time of day, order his dinner, or change his position, then one must ask permission to retire. When one is sitting in attendance at night, if the great man should ask the time of night or start eating pungent things to prevent sleepiness, one may ask permission to retire.
If the ruler invites a guest to dinner, after the ruler makes an offering, the guest begins the meal by first tasting all the foods. He then drinks and awaits the ruler's command before beginning to eat. If there is anyone in charge of tasting the food, then the guest waits until the ruler has eaten before he eats. If the ruler gives him a cup of wine, he gets off his mat, kowtows twice, and then receives the cup. He then returns to his mat, sits down, and pours a libation. When he has emptied the cup, he waits until the ruler has emptied his, and then hands back his empty cup.
When he is leaving, the guest takes his shoes, goes quietly to one side, and puts them on. If the ruler rises on his account, the gentleman says: "There is no reason why you, ruler, should get up, but your servant does not dare presume to decline the honor." If by any chance the ruler should escort him to the gate, he does not dare to look at him, but goes away immediately after taking his leave. In the case of an official, he declines the honor of being escorted. When he goes down the steps, and the ruler follows, he declines again. When he is escorted to the door, he declines for the third time.
Should a retired official call on a gentleman and ask to see him, the gentleman requests permission to decline. Not receiving it, he says: "I am not in a position to be visited by his honor, but not being able to secure permission to decline, I hurry to wait on him." Then he anticipates the visitor by going out and bowing to him first.
Unless a man is sent on a mission by his ruler, he does not call himself an official of his ruler. A gentleman calls himself the "old one" of his ruler.
When bearing a present of silk, one does not walk with great strides but deports himself with an anxious uneasiness. A person carrying jade steps carefully, lifting his toes and dragging his heels.
In speaking of himself to his ruler, a gentleman or official calls himself "Your servant." A speaker residing at home within the capital calls himself "Your servant of the marketplace well"; and if in the country, "Your servant of the grass and fields." A commoner calls himself "Your servant the grass-cutter." A man from another state calls himself "Your servant from outside."
_Translated by Patricia Ebrey_
## PART II
**THE QIN AND HAN DYNASTIES**
In 221 B.C., following centuries of warfare between the competing states, China was finally unified by Qin, the westernmost of the states. For more than a century this state had been organized along Legalist principles; that is, every effort had been made to strengthen the power of the government through uniformly enforced laws and punishments and through more efficient bureaucratic procedures. Attempts were made to undermine both the old nobility and the patriarchal family and clan and to create in their stead a direct relationship between the ruler and his subjects. With the unification of China these imperial policies were extended throughout the country. Currency and weights and measures were standardized, and attempts were made to eliminate the non-Legalist schools of thought by the famous "burning of the books." The position of ruler was elevated and given the new title "emperor."
The harshness of Qin rule led to an uprising in 209 B.C., and by 207 the second Qin emperor had surrendered. The eventual victor was Liu Bang, a man who had served the Qin as a local official and who proved to be an excellent general. He established the Han dynasty, and his descendants ruled for the next four centuries except for an interregnum (A.D. 9-23) when Wang Mang (a maternal relative of the imperial family) usurped the throne and declared his own dynasty. The period before Wang Mang (206 B.C.-A.D. 9) is generally referred to as the Western or Former Han and the period following him (A.D. 25-220) as the Eastern or Later Han. Western and Eastern refer to the shift in the capital from Changan (in modern Shaanxi) to Luoyang (in Henan).
The Han government, while publicly repudiating the severity of Qin rule, nevertheless built on its heritage of unified control. Despite a brief experiment with giving out large and nearly autonomous fiefs to relatives of the emperor, the overall trend of the Former Han was toward strengthening the central government. The major difference from the previous Qin administration was in the choice of men to staff the government offices. By the first century B.C. it became widely accepted that officials should be men trained in the classics. Thus officials had to reconcile their roles as agents of the emperor and the court with their Confucian values of integrity and proper behavior. The prestige and influence of government posts steadily rose, and men of wealth and local standing throughout the country began to compete to gain recognition for their learning and character so that they could gain access to office.
Under the stability of Han rule, the population of China increased to over fifty million. The centuries of peace also facilitated the growth of trade and industry and led to improved communication and transportation, all of which helped tie Chinese society more closely together. Cities flourished and the capitals became important cultural centers attracting men of education and wealth from all over the country. Extensive migrations from areas of hardship to the fertile South also contributed to integrating Chinese society. Thus, while great regional variation in customs and ideas continued to exist, people in different parts of the country were brought into greater contact with each other than ever before.
One of the aims of Legalism under the Qin was direct rule by the emperor of everyone in the society. The Han government retained this policy in its tax and labor service obligations, which were imposed directly on each subject according to age, sex, and imperially granted rank, instead of on families, plots of land, or communities. This governmental policy ran counter to some strongly entrenched particularistic forces in Chinese society. With the revival of Confucianism in the Han, family values were reasserted, as was emphasis on personal loyalty to friends and neighbors. Forms of social organization based on private relations (kinship, landlord-tenant, teacher-student, patron-client) gained in importance. Thus, whatever the theory, Han China was not a society of independent peasants subject only to the demands of the emperor and his delegated officials. Rather it was a highly complex society in which individuals were obligated to a wide variety of superiors and subordinates, and a government official might find it impossible to draft peasants who had the protection of powerful landlords.
Because of the loss of most books in the centuries of warfare following the Han, the sources for studying Han society and civilization are not much more abundant than they were for the pre-Han period. Yet there are new kinds of sources. A major intellectual achievement of the Han was the creation of the standard or dynastic history by Sima Qian (145-ca. 85 B.C.) and Ban Gu (A.D. 32-92). The three standard histories written about the Han give biographies of important men, recount political events, and describe institutional measures. Other sources useful for perceiving the structure and organization of Han society are the essays of writers, collections of popular or inspirational tales and stories, and a few contemporary documents written on wood or carved in stone and fortuitously preserved until today.
## 11 **
PENAL SERVITUDE IN QIN LAW**
_The Qin state, which unified China in 221 B.C., was remembered in later China above all for its harsh laws and extensive use of unfree labor. People were rewarded for denouncing those who broke the law, and the lawbreakers, once convicted, were punished severely by execution, mutilation, or penal labor._
_Very little was known of the exact provisions of Qin law until 1975 when 625 bamboo strips inscribed with Qin laws were found in a tomb in central Hubei. The laws inscribed on these strips (the normal sort of "book" of the period) mostly concern provisions of interest to an official who had to prepare reports and impose penalties and keep track of money, grain, and various sorts of laborers. Below are some of the scattered laws relevant to the four grades of penal servitude. The least oppressive, termed here "debt worker," was a form of penal servitude imposed to pay off debts, including debts arising from fines and commutation of other sentences. The next three levels, from lightest to heaviest, are called here convict servant, convict worker, and convict laborer. The last category could either be "mutilated" or intact, the mutilations varying from tattooing to cutting off one or both feet. Male convict laborers usually were put to work on projects such as building roads or defensive walls or digging canals or imperial tombs. Women were usually assigned other tasks, such as sifting or pounding grain._
#### **
SOME OFFENSES LEADING TO PENAL SERVITUDE**
Criminals who owe fines or redemption fees and others who have debts to the government are told to pay immediately. Those unable to pay must work off their debt from the day the order is given. Each day they work off eight cash, or six cash if they are fed by the government.
When five men jointly rob something worth one cash or more, they should have their left foot amputated, be tattooed, and made convict laborers. If fewer than five men were involved but what they robbed was worth more than 660 cash, they should be tattooed, their noses cut off, and made convict laborers. When the value falls between 220 and 660 cash, they should be tattooed and made convict laborers. Under 220 cash, they are banished.
Suppose a slave gets his master's female slave to steal the master's ox, then they sell it, take the money, and flee the country, only to be caught at the border. How should they each be sentenced? They should be made convict laborers and tattooed. [At the end of their term] they should be returned to their master.
Suppose A stole an ox when he was only 1.4 meters tall, but after being in detention for a year, he was measured at 1.57 meters [i.e. adult height]. How is A to be sentenced? He should be left intact and made a convict laborer [the lower penalty].
Suppose the holder of a low rank [granting some privileges] stole a sheep. Before the case was judged, he falsely accused someone else of stealing a pig. How should he be sentenced? He should be left intact and made a convict laborer.
Anyone who kills a child without authorization is to be made a convict laborer. This does not apply to killing a deformed or abnormal newborn. Suppose a child is born whole and normal, and a person kills it merely because he or she already has too many children. What is the sentence? It counts as killing a child.
Suppose someone arresting a person charged with a crime punishable with a fine stabs him on purpose with a sword or sharp weapon. What is the sentence? If he killed him, he is left intact and made a convict laborer. If he wounded him, he has his beard shaved off and is made a convict servant.
Suppose A ran away from her husband and married B, who had also run away, without telling him [that she had a husband]. Two years later, after she had borne children, she told him, but he did not repudiate her. After they are caught, what should the sentence be? They should be tattooed and made convict laborers.
When commoners need to pay fines, commutation fees, or debts, they may have their male or female slave, horse, or ox work it off for them.
Prisoners of war are made convict servants.
#### **
TREATMENT OF CONVICTS**
Male convict servants and convict laborers who are not 1.5 meters and female convict servants and convict laborers who are not 1.43 meters are classed as undersized. When convicts reach 1.2 meters they are all put to work.
Convict laborers are to wear red clothes and red head cloths. They are to be manacled and fettered. They are not to be supervised by capable convict laborers, but only by those assigned the task. Convict laborers sent out to work are not to enter the market and must stay outside the outer gate of buildings. If they have to go past a market, they should make a detour, not pass through it.
When working for the government, male convict servants are given two bushels of grain a month, female convict servants one and a half. Those not engaged in work are not given anything. When working, undersized convict laborers and convict servants are given one and a half bushels of grain a month; those still too young to work get one bushel. Working undersized female convict servants and convict laborers get one bushel and two and a half pecks a month; those still too young to work get one bushel. Infants, whether in the care of their mother or not, get a half bushel a month. Male convict servants doing agricultural work get two and a half bushels from the second to the ninth month, when rations stop.
Overseers who increase the rations for convict laborers performing easy tasks will be judged according to the rules on infringing the ordinances.
Convict servants, convict supervisors, and debt workers detained among the convict laborers must not be charged for their food and clothing. Anyone who works with the convict laborers should be clothed and fed like them. But a convict servant with a wife with only periodic duty or on the outside has to pay for his clothing.
Male convict servants without wives and all male convict laborers get money to cover their clothing: 110 cash in winter and 55 in summer; undersized ones get 77 in winter and 44 in summer. Women convict laborers get 55 cash in winter and 44 in summer; undersized ones get 44 in winter and 33 in summer. Women convict servants, if old or undersized and thus unable to provide their own clothes, are clothed like the women convict laborers.
Officials need not petition to use convict laborers to enlarge or repair government buildings and storehouses.
When convict laborers break pottery vessels or iron or wooden tools or break the rims of cart wheels, they should be beaten ten strokes for each cash of value, up to twenty cash, and the object is to be written off. An official who does not immediately beat them is to be charged half the value.
A commoner not guilty of any crime who has a mother or sister serving as a convict servant may if he wishes be assigned to the frontier for five years without pay to free her.
In exchange for two degrees of aristocratic rank a person may free a father or mother who has been made a convict servant.
If a convict servant lets a convict laborer escape, he will be made an intact convict laborer himself and his wife and children outside will be confiscated.
Debt workers may return home for ten days when it is time to plow or weed.
_Translated by Patricia Ebrey_
## 12 **
THE WORLD BEYOND CHINA**
_From early times the Chinese had traded, negotiated, and fought with neighboring peoples. As the Han dynasty consolidated its power, the emperors looked for ways to strengthen their border defenses and extend the territory under their control Emperor Wu (r. 140-87 B.C.) in particular pursued expansionist policies; he asserted control over the southeast down to Northern Vietnam, set up colonies in Korea, and waged several campaigns against the Xiongnu tribes who had established a strong confederation along China's north and northwest borders. He sent the explorer-diplomat Zhang Qian far into Inner Asia to look for possible allies against the Xiongnu, and while he did not succeed in finding allies he did bring back new knowledge of the societies of central and west Asia._
_Below are Sima Qian's (ca. 145-ca. 90 B.C.) descriptions of some of the peoples beyond China proper in his monumental history of China from earliest times to his own day. From it we can see the cultural traits that Chinese saw as distinguishing them from other peoples and their particular concern with traits that made some such people formidable military opponents. A fine stylist and gifted raconteur, Sima Qian was also a serious student of history who carefully mined court documents and attempted to separate his opinions from what he took as the facts. His composite history, with annals, biographies, treatises, and tables, proved extremely influential, setting the model for the later histories of each dynasty._
#### **
THE SOUTHWESTERN BARBARIANS**
Among the dozens of chieftains of the southwestern barbarians, Yelang is the greatest. To the west of his tribe live the Mimo; of the dozens of chiefs, the greatest is Dian. Of the dozens of chiefs north of Dian, the most important is Qiongdu. All of these peoples wear their hair tied up in mallet-shaped hairknots, cultivate the land, and live in towns. Beyond them to the west, east of Tongshi and north to Yeyu, are the Sui and Kunming who braid their hair and move about following their flocks, without permanent settlements or chiefs. Their territory extends several thousand _li_ in each direction. Northeast of the Sui are several dozen chieftains, the most important of whom are Xi and Zuodu. Northeast of Zuo are several dozen chiefs, the greatest of whom are Ran and Mang. Their customs vary, some settling on the land, others moving about. They live west of Shu [i.e., Sichuan]. Northeast of Ran and Mang are several dozen chieftains, of whom the Baima are the most important. All of these tribes are Di. They constitute the barbarians living outside China's borders to the southwest of Ba and Shu.
#### **DAYUAN**
Dayuan is southwest of the Xiongnu, about ten thousand _li_ directly west of the Han. Their customs are to stay in one place, cultivate the land, and grow rice and wheat. They make wine from grapes. They have many fine horses. These horses sweat blood, perhaps being descended from Heavenly horses. They have city walls and houses. With some seventy or more cities of various sizes, their population is probably several hundred thousand. Their soldiers use bows and spears, shooting while on horseback.
#### **
THE XIONGNU**
The Xiongnu are descended from the rulers of the Xia dynasty.... They live among the northern barbarians, moving to follow their flocks. They primarly raise horses, oxen, and sheep, but also keep unusual animals like camels, asses, mules, and wild horses. They move about in search of water and grass, having no cities, permanent dwellings, or agriculture. Still, they divide their territory into regions. They have no written language, so make oral agreements. Little boys are able to ride sheep and shoot birds and mice with bows and arrows. When they are somewhat older they shoot foxes and rabbits for food. Thus all the men can shoot and serve as cavalry.
It is the custom of the Xiongnu to support themselves in ordinary times by following their flocks and hunting, but in times of hardship they take up arms to raid. This would appear to be their nature. Bows and arrows are the weapons they use for distant targets; swords and spears the ones they use at close range. When it is to their advantage, they advance; when not they retreat, as they see no shame in retreat. Concern for propriety or duty does not inhibit their pursuit of advantage. Everyone, from the ruler on down, eats meat and dresses in leather or felt. The strongest eat the best food; the old eat the leftovers. They honor the young and strong and despise the old and weak. A man whose father has died marries his stepmother; a man whose brother has died marries his brother's wife. They only have personal names, no family names or polite names, and observe no name taboos....
Over a thousand years elapsed from the time of [their founder] Shunwei to Modun. Sometimes they expanded, sometimes they shrunk; they split up and scattered. Thus it is impossible to give an orderly genealogy for them. Under Modun the Xiongnu reached their apogee, subjugating all the other northern barbarians and coming into conflict with China to the south. Their political organization since that time can be described as follows. The top leaders are the left and right wise kings, Luli kings, generals, commandants, administrators, and Gudu lords.... These leaders have under them from a few thousand to ten thousand horsemen. There are twenty-four chiefs altogether, each titled a "ten thousand horsemen." All of the major offices are hereditary. The three clans of the Huyan, Lan, and later the Xubu are the nobility....
Each year in the first month all the chiefs, large and small, assemble at the Shanyu's court to make sacrifices. In the fifth month there is a great assembly at Long Fort, where they make sacrifices to their ancestors, to heaven and earth, and to gods and spirits. In the fall, when the horses are fat, there is a major assembly at Dai Forest, where the people and animals are assessed and counted.
According to their laws, anyone who draws his sword a foot is killed. Those who commit robbery have their property confiscated. For minor offenses people are flogged and for major ones executed. No one stays in jail awaiting sentence more than ten days, and there are never more than a few prisoners in the whole country.
Every morning the Shanyu leaves the camp and bows to the sun as it rises; in the evening he bows to the moon. At a feast, the honored seat is the one to the left or the one facing north. They favor the days _wu_ and _ji_ in the ten-day week. In seeing off the dead, they use inner and outer coffins, gold and silver ornaments, and clothes and furs, but do not construct mounds or plant trees over the grave or put on mourning garments. Sometimes up to several hundred or several thousand favored subordinates or concubines follow their master in death.
In making decisions, the Xiongnu take note of the stars and moon; when the moon is full, they attack; when it wanes they retreat. In battles, those who decapitate an enemy are given a cup of wine and whatever booty they have seized. Captives are made into slaves. Consequently, when they fight, they all compete for profit. They are good at setting up decoys to deceive the enemy. When they see the enemy, eager for booty, they swoop down like a flock of birds. If surrounded or defeated, they break like tiles or scatter like mist. Anyone who is able to bring back the body of someone who died in battle gets all of the dead man's property.
_Translated by Patricia Ebrey_
## 13 **
HEAVEN, EARTH, AND MAN**
_The early Han rulers, although prudently avoiding the harsh policies of the repudiated Qin government, had no particular fondness for Confucianism or at least the Confucianists of their day. Yet under the most activist of the Han emperors, Emperor Wu (r.141-87 B.C.), Confucianism was given a privileged position. Emperor Wu pronounced Confucianism the ideological basis of imperial rule, decreed that only Confucians should serve as officials, and established a national university to train officials in a Confucian curriculum of the classics._
_Credit for the political success of Confucianism belongs in large part to thinkers like Dong Zhongshu (ca. 179-104 B.C.) who developed Confucianism in ways that legitimated the new imperial state and elevated the role of emperor. Dong drew on ideas of diverse origins, especially strands of correlative thinking, to relate natural and human phenomena of all sorts. He joined Confucian ideas of human virtue and social order to notions of the workings of the cosmos in terms of Yin and Yang and the Five Agents (wood, metal, fire, water, and earth). Man still has a very major role in his cosmic scheme, and the ruler has a unique position because he can link the realms of Heaven, earth, and man through his actions. A corollary of Dong's conception of the cosmos was that a ruler who did not fulfil his role properly would directly cause disturbances of the balance of Heaven and earth such as floods, earthquakes, and other natural calamities. The selection below is from Dong's major treatise, the_ Chunqiu Fanlu.
Heaven, earth, and man are the source of all creatures. Heaven gives birth to them, earth nourishes them, and human beings complete them. Heaven endows creatures at birth with a sense of kinship loyalties; earth nourishes them with food and clothing; man completes them through ritual and music. These three aid each other like hands and feet; each is essential and together they make one body....
Heaven has the power to cause proliferation; earth the power to cause transformation; and human beings the power to make moral distinctions. Heaven's vital energy _(qi)_ rises, earth's vital energy descends, and man's is in the middle. When spring gives birth and summer nurtures, plant and animal life flourish. When fall cuts down and winter conserves, plant and animal life are stored. Hence nothing is more ethereal than vital energy, nothing richer than the earth, nothing more spiritual than Heaven.
Of the creatures born of the essence of Heaven and earth, human beings are the most noble. Human beings receive their destiny from Heaven and therefore are much above other creatures, which due to their flaws are not able to practice humanity and righteousness. Human beings alone are capable of acting humanely and on the basis of moral principles. Due to their defects, none of the other creatures can match Heaven and earth the way man alone can. Human beings have 360 joints, which is a heavenly number. With their bodies of flesh and bones, humans match the fullness of the earth. Above, the brightness of their ears and eyes correspond to the sun and moon. The cavities and veins of their bodies resemble the rivers and valleys. Their hearts feel grief, joy, and anger, much like divine entities.
Look at the human body. How superior it is to that of other creatures, and how much like Heaven! Other creatures gain life by taking from the Yin and Yang of Heaven in a bent and off-center way, but human beings brilliantly have their orderly patterns. Thus other creatures' bodies are bent and crouched as they move about in Heaven and on earth. Human beings alone stand erect and look forward, able to take an upright posture. Creatures that received little from Heaven and earth bend and crouch; those that receive much stand upright. From this we can see that human beings exceed other creatures and are on a level with Heaven and earth. Therefore in human bodies the head rises up and is round, shaped like Heaven, with the hair resembling the stars. The ears and eyes in their brilliance resemble the sun and moon; the nose and mouth, in their breathing, resemble the wind; the ability to comprehend which lies within the breast resembles the spiritual intelligence (of Heaven); the alternating fullness of bellies and wombs resembles animals. Animals are closest to earth so the part of the body below the waist has the characteristics of earth. The waist marks the division between Heavenly and earthly parts of the body. The part above the neck has a refined spirit and noble bearing, showing its resemblance to Heaven. The part below the neck has fullness and lowliness, comparable to the soil of the earth. The feet, when they step, are square, resembling the shape of the earth. Therefore when one wears ceremonial sashes and belts, the neck must be straight to distinguish it from the heart.
Everything above the belt is Yang, everything below it Yin, each with its own part to play. Yang is the vital energy of Heaven, Yin of earth. The movement of Yin and Yang causes a person to have a foot ailment or a sore throat and also causes the vital energy of the earth to rise and bring clouds and rain. The processes are comparable in each case. The matching of Heaven and earth and the correspondence of Yin and Yang are fully manifested in the human body.
The body is like Heaven, with matching numbers, so life spans are linked to Heaven. Heaven gives form to the human body through the numbers of the year. Thus the 366 small joints of the body match the number of days, the twelve large joints match the number of months; internally the five organs match the Five Agents [wood, fire, earth, metal, water]; externally the four limbs match the four seasons. The alternation of opening and shutting the eyes matches daylight and nighttime. The alternation of strength and weakness matches winter and summer. The alternation of grief and joy matches Yin and Yang. The mind can calculate and plan, which matches the measurements of the world. Conduct based on ethical principles resembles the relationship of Heaven and earth....
Whoever invented writing in ancient times connected three lines through the middle and called it "king." The three lines stand for Heaven, earth, and man. The one who connects them through the middle joins their paths. Who else but a king could take the central place among Heaven, earth, and man and connect them all?...
Heaven's constant desire is to love and bring benefit, its task to nurture. Spring, fall, winter, and summer are the instruments it uses. The king also makes loving and bringing benefit his constant desire and his task is to bring peace and happiness to his age. Love and hate, joy and anger, are the instruments he uses. His love, hate, joy, and anger are like Heaven's seasons. It is through changes in temperature that things are transformed and completed. If Heaven produces these plants and animals in the right season, then the year will be one of abundance, but if at the wrong time, then the year will be a bad one. Similarly, if the ruler expresses his four emotions in accord with moral principles, then the world will be well governed, but if not, the age will be chaotic. Thus, an orderly age is like a good harvest, a disorderly age is like a bad harvest. Thus one can see that the principles of man match the way of Heaven.
_Translated by Patricia Ebrey_
## 14 **
THE DEBATE ON SALT AND IRON**
_Even if Confucians were given honored positions in the Han government from Emperor Wu's time on, they rarely were entirely satisfied with how the government was run. Emperor Wu, in particular, pursued activist policies which they believed deleterious. To generate revenue to pay for his military campaigns, he manipulated coinage, confiscated the lands of nobles, sold offices and titles, and increased taxes. He also established government monopolies in the production of iron, salt, and liquor, enterprises that had previously been sources of great profit for private entrepreneurs. Large-scale grain dealing had also been a profitable business, which the government now took over under the name of the system of equable marketing. Grain was to be bought where it was plentiful and its price low and either stored in granaries or transported to areas of scarcity. This procedure was supposed to eliminate speculation in grain, provide more constant prices, and bring profit to the government._
_From the start these fiscal ventures were controversial. Confucians questioned their morality and their effect on the livelihood of the people. They thought that farming was an essential or "root" activity but that trade and crafts produced little of real value and were to be discouraged. Although the government claimed that it was protecting the people from the exploitation of merchants, its critics argued that it was teaching people mercantile tricks by setting itself up in commerce. In 81 B.C., after Emperor Wu's death, Confucian scholars who opposed the fiscal policies he had instituted were invited by the new emperor to argue their case with the chief minister, the man who had been instrumental in establishing them. A record was made of their debate in twenty-four chapters, the first of which is given below._
In 81 B.C. an imperial edict directed the chancellor and chief minister to confer with a group of wise and learned men about the people's hardships.
**The learned men responded:** We have heard that the way to rule lies in preventing frivolity while encouraging morality, in suppressing the pursuit of profit while opening the way for benevolence and duty. When profit is not emphasized, civilization flourishes and the customs of the people improve.
Recently, a system of salt and iron monopolies, a liquor excise tax, and an equable marketing system have been established throughout the country. These represent financial competition with the people which undermines their native honesty and promotes selfishness. As a result, few among the people take up the fundamental pursuits [agriculture] while many flock to the secondary [trade and industry]. When artificiality thrives, simplicity declines; when the secondary flourishes, the basic decays. Stress on the secondary makes the people decadent; emphasis on the basic keeps them unsophisticated. When the people are unsophisticated, wealth abounds; when they are extravagant, cold and hunger ensue.
We desire that the salt, iron, and liquor monopolies and the system of equable marketing be abolished. In that way the basic pursuits will be encouraged, and the people will be deterred from entering secondary occupations. Agriculture will then greatly prosper. This would be expedient.
**The minister:** The Xiongnu rebel against our authority and frequently raid the frontier settlements. To guard against this requires the effort of the nation's soldiers. If we take no action, these attacks and raids will never cease. The late emperor had sympathy for the long-suffering of the frontier settlers who live in fear of capture by the barbarians. As defensive measures, he therefore built forts and beacon relay stations and set up garrisons. When the revenue for the defense of the frontier fell short, he established the salt and iron monopolies, the liquor excise tax, and the system of equable marketing. Wealth increased and was used to furnish the frontier expenses.
Now our critics wish to abolish these measures. They would have the treasury depleted and the border deprived of funds for its defense. They would expose our soldiers who defend the frontier passes and walls to hunger and cold, since there is no other way to supply them. Abolition is not expedient.
**The learned men:** Confucius observed, "The ruler of a kingdom or head of a family does not worry about his people's being poor, only about their being unevenly distributed. He does not worry about their being few, only about their being dissatisfied." Thus, the emperor should not talk of much and little, nor the feudal lords of advantage and harm, nor the ministers of gain and loss. Instead they all should set examples of benevolence and duty and virtuously care for people, for then those nearby will flock to them and those far away will joyfully submit to their authority. Indeed, the master conqueror need not fight, the expert warrior needs no soldiers, and the great commander need not array his troops.
If you foster high standards in the temple and courtroom, you need only make a bold show and bring home your troops, for the king who practices benevolent government has no enemies anywhere. What need can he then have for expense funds?
**The minister:** The Xiongnu are savage and cunning. They brazenly push through the frontier passes and harass the interior, killing provincial officials and military officers at the border. Although they have long deserved punishment for their lawless rebellion, Your Majesty has taken pity on the financial exigencies of the people and has not wished to expose his officers to the wilderness. Still, we cherish the goal of raising a great army and driving the Xiongnu back north.
I again assert that to do away with the salt and iron monopolies and equable marketing system would bring havoc to our frontier military policies and would be heartless toward those on the frontier. Therefore this proposal is inexpedient.
**The learned men:** The ancients honored the use of virtue and discredited the use of arms. Confucius said, "If the people of far-off lands do not submit, then the ruler must attract them by enhancing his refinement and virtue. When they have been attracted, he gives them peace."
At present, morality is discarded and reliance is placed on military force. Troops are raised for campaigns and garrisons are stationed for defense. It is the long-drawn-out campaigns and the ceaseless transportation of provisions that burden our people at home and cause our frontier soldiers to suffer from hunger and cold.
The establishment of the salt and iron monopolies and the appointment of financial officers to supply the army were meant to be temporary measures. Therefore, it is expedient that they now be abolished.
**The minister:** The ancient founders of our country laid the groundwork for both basic and secondary occupations. They facilitated the circulation of goods and provided markets and courts to harmonize the various demands. People of all classes gathered and goods of all sorts were assembled, so that farmers, merchants, and workers could all obtain what they needed. When the exchange of goods was complete, everyone went home. The _Book of Changes_ says, "Facilitate exchange so that the people will not be overworked." This is because farmers are deprived of tools, and without merchants, desired commodities are unavailable. When farmers lack tools, grain is not planted, just as when valued goods are unavailable, wealth is exhausted.
The salt and iron monopolies and the equable marketing system are intended to circulate accumulated wealth and to regulate consumption according to the urgency of need. It is inexpedient to abolish them.
**The learned men:** If virtue is used to lead the people, they will return to honesty, but if they are enticed with gain, they will become vulgar. Vulgar habits lead them to shun duty. Vulgar habits lead them to shun duty and chase profit; soon they throng the roads and markets. Laozi said, "A poor country will appear to have a surplus." It is not that it possesses abundance, but that when wishes multiply the people become restive. Hence, a true king promotes the basic and discourages the secondary. He restrains the people's desires through the principles of ritual and duty and arranges to have grain exchanged for other goods. In his markets merchants do not circulate worthless goods nor artisans make worthless implements.
The purpose of merchants is circulation and the purpose of artisans is making tools. These matters should not become a major concern of the government.
**The minister:** Guanzi* said: "If a country possesses fertile land and yet its people are underfed, the reason is that there are not enough tools. If it possesses rich natural resources in its mountains and seas and yet the people are poor, the reason is that there are not enough artisans and merchants." The scarlet lacquer and pennant feathers from the kingdoms of Long and Shu; the leather goods, bone, and ivory from Jing and Yang; the cedar, catalpa, bamboo, and reeds from Jiangnan; the fish, salt, felt, and furs from Yan and Qi; the silk yarn, linen, and hemp cloth from Yan and You—all are needed to maintain our lives or be used in our funerals. We depend upon merchants for their distribution and on artisans for their production. For such reasons the ancient sages built boats and bridges to cross rivers; they domesticated cattle and horses to travel over mountains and plains. By penetrating to remote areas, they were able to exchange all kinds of goods for the benefit of the people.
Thus, the former emperor set up iron officials to meet the farmers' needs and started the equable marketing system to assure the people adequate goods. The bulk of the people look to the salt and iron monopolies and the equable marketing system as their source of supply. To abolish them would not be expedient.
**The learned men:** If a country possesses a wealth of fertile land and yet its people are underfed, the reason is that merchants and workers have prospered while agriculture has been neglected. Likewise, if a country possesses rich natural resources in its mountains and seas and yet its people are poor, the reason is that the people's necessities have not been attended to while luxuries have multiplied. A spring cannot fill a leaking cup; the mountains and seas cannot satisfy unlimited desires. This is why [the ancient emperor] Pan Geng practiced communal living, [the ancient emperor] Shun concealed the gold, and [the Han dynasty founder] Gaozu prohibited merchants and shopkeepers from becoming officials. Their purpose was to discourage habits of greed and to strengthen the spirit of sincerity. Now, even with all of the discriminations against commerce, people still do evil. How much worse it would be if the ruler himself were to pursue profit!
The _Zuo Chronicle_ says: "When the feudal lords take delight in profit, the officers become petty; when the officers are petty, the gentlemen become greedy; when the gentlemen are greedy, the common people steal." Thus to open the way for profit is to provide a ladder for the people to become criminals!
**The minister:** Formerly the feudal lords in the commanderies and kingdoms sent in the products of their respective regions as tribute. Transportation was troublesome and disorganized and the goods often of such bad quality as not to be worth the transport cost. Therefore, transport officers were appointed in every commandery and kingdom to assist in speeding the delivery of tribute and taxes from distant regions. This was called the equable marketing system. A receiving bureau was established at the capital for all the commodities. Because goods were bought when prices were low and sold when prices were high, the government suffered no loss and the merchants could not speculate for profit. This was called the balancing standard.
The balancing standard safeguards the people from unemployment; the equable marketing system distributes their work fairly. Both of these measures are intended to even out goods and be a convenience for the people. They do not provide a ladder for the people to become criminals by opening the way to profit!
**The learned men:** The ancients in placing levies and taxes on the people would look for what they could provide. Thus farmers contributed their harvest and the weaving women the products of their skill. At present the government ignores what people have and exacts what they lack. The common people then must sell their products cheaply to satisfy the demands of the government. Recently, some commanderies and kingdoms ordered the people to weave cloth. The officials caused the producers various difficulties and then traded with them. They requisitioned not only the silk from Qi and Tao and the broadcloth from Shu and Han, but also the ordinary cloth people make. These were then nefariously sold at "equable" prices. Thus the farmers suffered twice over and the weavers were doubly taxed. Where is the equability in this marketing?
The government officers busy themselves with gaining control of the market and cornering commodities. With the commodities cornered, prices soar and merchants make private deals and speculate. The officers connive with the cunning merchants who are hoarding commodities against future need. Quick traders and unscrupulous officials buy when goods are cheap in order to make high profits. Where is the balance in this standard?
The equable marketing system of antiquity aimed at bringing about fair division of labor and facilitating transportation of tribute. It was surely not for profit or commodity trade.
Translated by Patricia Ebrey
* I.e., Guan Zhong, a famous minister of the seventh century B.C. noted for his economic policies.
## 15 **THE CLASSIC OF FILIAL PIETY**
_The family has always been considered by the Chinese as the fundamental unit of their society. Filial piety had been praised by Confucius, and thinkers of all schools took for granted that a well-run family was one in which parents looked out for the interests of their children and children obeyed their parents and supported them in their old age. In the Han dynasty, the exaltation of filial piety was carried to new heights. Men could be made officials if they were recommended as paragons of filial piety. The brief_ Classic of Filial Piety _was probably written in the early Han. Purporting to be the recorded conversations between Confucius and his disciple, Zeng Zi, it extolled the vast powers of wholehearted devotion to parents and superiors more generally. Filial piety was presented as a political virtue, tied to loyalty to political superiors up to the Son of Heaven (the emperor). The_ Classic of Filial Piety _was widely used in the Han and later as a primer to teach children basic moral maxims while they were learning how to read._
#### **
OPENING THE DISCUSSION**
Confucius was at home and Zengzi was attending him. The Master said, "The former kings had the highest virtue and the essential Way. By using them they kept the world ordered and the people in harmony, and neither superiors nor inferiors resented each other. Do you understand this?"
Zengzi rose from his seat and replied, "Since I am not clever, how can I understand this?"
The Master said, "Filial piety is the root of virtue and the source of civilization. Sit down again and I will explain it to you. Since we receive our body, hair, and skin from our parents, we do not dare let it be injured in any way. This is the beginning of filial piety. We establish ourselves and practice the Way, thereby perpetuating our name for future generations and bringing glory to our parents. This is the fulfillment of filial piety. Thus filial piety begins with serving our parents, continues with serving the ruler, and is completed by establishing one's character."
#### **
THE SON OF HEAVEN**
The Master said, "Those who love their parents do not dare to hate others. Those who respect their parents do not dare to show contempt towards others. The filial piety of the Son of Heaven consists in serving his parents with complete love and respect so that his moral influence reaches the common people and he becomes a model for the distant regions in all directions."
#### **THE FEUDAL LORDS**
"Although in superior positions, they are not arrogant and thus can hold lofty positions without peril. By exercising restraint and caution they can have plenty without going overboard. Holding a lofty position without peril is the way to preserve high rank for a long time. Having plenty without going overboard is the way to preserve wealth for a long time. If they retain their wealth and rank they will later be able to protect their heritage and keep their people in peace. This is the filial piety of the feudal lords."
#### **
THE MINISTERS AND HIGH OFFICERS**
"They do not dare wear garments not prescribed by the former kings; they do not dare use words not approved by the former kings; they do not dare to behave in any ways outside the virtuous ways of the former kings. Thus, they will not speak improper words and will not follow anything outside the Way. Their words are not arbitrary, nor their actions capricious. Their words reach all in the world, yet offend no one. Their words fill the world, yet give no one cause for complaint. When these three conditions are fulfilled, they are able to preserve their ancestral altars. This is the filial piety of the ministers and high officers."
#### **
SCHOLARS**
"They serve their mothers as they serve their fathers; the love shown them is the same. They serve their rulers as they serve their fathers; the respect shown both is the same. Therefore mothers get love and rulers elicit respect, and fathers combine them both. To serve a ruler with filial piety is to be loyal. To serve an elder with filial piety is to be obedient. Never failing in loyalty or obedience in their service to superiors, they are able to preserve their offices and salaries and maintain their family line. This is the filial piety of the scholars."
#### **THE COMMON PEOPLE**
"They follow the laws of nature to utilize the earth to the best advantage. They take care of themselves and are cautious in expenditures in order to support their parents. This is the filial piety of the common people. Thus from the Son of Heaven to the common people, unless filial piety is pursued from beginning to end, calamities will surely result."
#### **
THE THREE POWERS**
Zengzi said, "How exceedingly great is filial piety!"
The Master responded, "Filial piety is the pattern of Heaven, the standard of the earth, the norm of conduct for the people. When people follow the pattern of Heaven and earth, they model themselves on the brilliance of Heaven and make use of the resources of the earth and through these means comply with all under Heaven. Thus, [a ruler's] instruction succeeds without being stringent, and his policies are effective without being severe. The former kings, realizing that their instruction could transform the people, showed them an example of universal love. As a consequence, men did not neglect their parents. These kings set an example of rectitude and virtue, and as a consequence the people enthusiastically copied them. The kings showed an example of respectful yielding, and the people did not contend with each other. They taught through ritual and music, and the people lived in concord. They made clear to them the difference between good and evil, and as a consequence the people knew restraint."
#### **
GOVERNMENT BY FILIAL PIETY**
The Master said, "Formerly the illustrious kings brought order to the world through filial piety. They did not dare neglect the ministers of small states—not to mention their own dukes, marquises, earls, counts, and barons. Therefore they gained the hearts of all the states and were able to serve their former kings. The rulers did not dare insult the widows and widowers—not to mention the upper class or the common people. Therefore they gained the hearts of all the people and were able to serve their former rulers. The heads of families did not dare mistreat their servants and concubines—not to mention their wives and children. Therefore they gained their hearts and were able to serve their parents. Accordingly, while living, parents were well taken care of; after their death, their ghosts received sacrifices. In this way the world was kept in peace and harmony. Calamities did not occur nor was disorder created. Such was the way the former illustrious kings brought order to the world through filial piety."
#### **
THE RULE OF THE SAGES**
Zengzi said, "May I ask if there isn't anything in the virtue of the sages that surpasses filial piety?"
The Master replied, "Of all the creatures in Heaven and earth, man is the most important. Of all man's acts, none is greater than filial piety. In the practice of filial piety, nothing is greater than respecting one's father. For respecting one's father, nothing is greater than placing him on the level with Heaven. The person who did all this was the Duke of Zhou. In former times the Duke of Zhou sacrificed to the Spirit of Agriculture, placing him on a level with Heaven. He sacrificed to his father King Wen, in the Bright Hall, placing him on a level with the Supreme Lord. Therefore, within the four seas all of the lords, according to their stations, came to sacrifice. Thus, how can there be anything in the virtue of the sages that surpasses filial piety? From infancy a child's desire to care for his parents daily grows more respectful. The sages used this natural reverence for parents to teach respect and used this natural affection to teach love. Thus, the teachings of the sages were effective though not severe and their rule was orderly though not harsh. This was because they relied on what was basic to human nature.
"The proper relation between father and son is a part of nature and forms the principles which regulate the conduct of rulers and ministers. Parents give life—no tie is stronger than this. Rulers personally watch over the people—no care is greater than this. Therefore to love others without first loving one's parents is to reject virtue. To reverence other men without first reverencing one's parents is to reject the rules of ritual. If one copies such perversity, the people will have no model to follow. Although a person who does not do good but only evil may gain a high position, a man of honor will not esteem him. The practice of a man of honor is different: his speech is praiseworthy, his behavior is pleasing, his standards are respected, his management of affairs can be taken as a model, his department is pleasant to observe, his movements are deliberate. When a man of honor deals with his people they look on him with awe and affection; they imitate and seek to resemble him. Thus he can carry out his moral instruction and put into effect his political directives."
#### **
FILIAL CONDUCT**
The Master said, "In serving his parents a filial son renders the utmost reverence to them while at home. In supporting them he maximizes their pleasure. When they are sick he takes every care. At their death he expresses all his grief. Then he sacrifices to them with full solemnity. If he has fulfilled these five requirements, then he is truly able to serve his parents. He who really loves his parents will not be proud in high position. He will not be insubordinate in an inferior position. And among equals he will not be quarrelsome. If he were proud in high station he might be ruined. If he were insubordinate in an inferior position he might incur punishment. If he were quarrelsome among his equals, he might end up fighting. Thus, unless these three evils are eliminated, a son cannot be called filial—even if every day he supplies his parents the three choice meats."
#### **THE FIVE PUNISHMENTS**
The Master said, "There are three thousand offenses subject to the five punishments, but of these none is greater than lack of filial piety. To use force against the ruler is to defy authority. To deny the sages is to be unprincipled. And to decry filial piety is to renounce kinship ties. These are the road to chaos."
#### **
ELABORATING "THE ESSENTIAL WAY"**
The Master said, "For teaching men to love one another there is nothing better than filial piety. For teaching men ceremonial behavior and obedience there is nothing better than fraternal love. For transforming their manners and habits there is nothing better than music. For giving security to the rulers and governing the people there is nothing better than ritual. Ritual is essentially reverence. The son is happy when his father is reverenced. The younger brother is happy when his elder brother is reverenced. The ministers are made happy when their ruler is reverenced. Everyone is happy when the One Man, the Son of Heaven, is reverenced. Only a few are revered but multitudes are made happy. This is said to be the essential Way."
#### **
ELABORATING "THE HIGHEST VIRTUE"**
The Master said, "A man of honor in teaching the duties of filial piety does not need to go daily to the people's homes to observe them. He merely teaches the principles of filial piety and all the fathers in the world receive the filial respect due to them. He teaches the principles of fraternal love and all the elder brothers receive the respect due to them. He teaches the duties of subjects and all the rulers of the world receive the reverence due to them. The Odes say: 'The man of honor, affectionate, is the father and mother to the people.' Unless he possessed the highest virtue, who could educate the people to such an extent?"
#### **
ELABORATING "PERPETUATING ONE'S NAME"**
The Master said, "The man of honor's service to his parents is filial; the fidelity involved in it can be transferred to his ruler. His service to his elder brothers is deferential; the obedience involved in it can be transferred to his superiors. Self-disciplined at home, he can transfer his good management to official life. Through these means when his conduct is perfect at home his name will be perpetuated to later generations."
#### **
REMONSTRATING**
Zengzi remarked, "As regards kind affection, loving respect, comforting one's parents, and bringing glory to one's name, all this I have understood. May I ask if a son can be called filial if he obeys all of his father's commands?"
The Master replied, "What kind of talk is this? In ancient times if the Son of Heaven had seven ministers to remonstrate with him, he would not lose his empire, even if he were imperfect. If a feudal lord had five good ministers to advise him, he would not lose his state, even if he were imperfect. If a high officer had three officials to remonstrate with him, he would not lose his home, even if he were imperfect. If a gentleman had a friend to correct him, he would not lose his good name. And if a father had a son to advise him, he would not fall into doing wrong. Thus, when he might do something wrong, a son must not fail to warn his father against it, nor a minister fail to warn his ruler. In short, when it is a question of doing wrong, one must remonstrate. How can following a father's orders be considered fulfilling filial piety?"
#### **
MUTUAL INTERACTION**
The Master said, "In ancient times the illustrious kings, because they were filial to their fathers were able to serve Heaven intelligently. Because they were filial to their mothers they were able to serve earth with circumspection. Superiors could govern inferiors because the young obeyed their elders. Thus, because Heaven and earth were served with intelligence and care the spirits manifested themselves brilliantly. Even the Son of Heaven had someone he paid reverence to, that is to say, his father. He had someone he deferred to, that is to say, his elder brothers. At the ancestral temple he was reverential, not forgetting his parents. He cultivated his character and acted prudently, for fear of disgracing his ancestors. When he paid reverence at the ancestral temple, the ghosts and spirits sent blessings. When his filial piety and fraternity were perfected, his influence reached the spirits. He illuminated the four seas; there was no place his virtue did not penetrate."
#### **
SERVING THE RULER**
The Master said, "In serving his superior the man of honor makes every effort to be faithful when he is in office. In retirement he tries to make up for his shortcomings. He encourages his superior in his good inclinations and tries to keep him from doing wrong. In this way, the relations between superiors and inferiors can be cordial."
#### **
MOURNING FOR PARENTS**
The Master said, "When mourning a parent a filial son cries without wailing loudly, he performs the rites without attention to his appearance, he speaks without attention to the beauty of his words, he feels uncomfortable in elegant clothes, he gets no joy from hearing music, he does not relish good food—all of this is the emotion of grief. After three days he eats again to show men that the dead should not hurt the living and that the suffering should not lead to the destruction of life. This was the regulation of the sages. The period of mourning is not allowed to exceed three years, thus showing the people that everything ends. [The filial son] prepares a double coffin and grave clothes. When he sets out the sacrificial vessels, he grieves. Beating the breast, jumping up and down, and crying, he bids a last sad farewell. He divines to choose the burial place where the body can be placed to rest. He prepares an ancestral altar, so that the ghost can receive sacrifices. Spring and autumn he offers sacrifices thus thinking of the dead once every season. When his parents were alive he served them with love and reverence; in death he grieves. With the man's fundamental duty fulfilled, relations between the living and the dead are complete, and the filial son's service to his parents is finished."
_Translated by Patricia Ebrey_
## 16 **
WANG FU ON FRIENDSHIP AND GETTING AHEAD**
_Service as a government official conferrred great prestige in the Han, and educated men competed eagerly for posts. To enter the civil service, a man generally had to be recommended by either the official in charge of his local commandery or a high central government official. The rationale for this selection system was that moral character was what mattered most and only those personally acquainted with a candidate could judge it. From the beginning, critics of this system pointed out that officials often recommended friends, relatives, and men of wealth and influence rather than the most worthy._
_In the following essay, Wang Fu (ca. 100-150) decries the effect this system of recruitment had on friendships within the educated class. He placed high demands on true friendship and believed that all talented men should have opportunities to gain office. Wang Fu himself never gained an official post, undoubtedly accounting for some of the bitterness of his complaints._
It is said, "With people, the old friends are best; with things, the new ones are best." In other words, brothers may drift apart as time goes by, but it is normal for friends to become closer with the passage of time.
Nowadays this is not so. People often seem to miss those they hardly know but forget close friends; they turn away from old friends as they seek new ones. Sometimes after several years friendships become weaker and weaker, and friendships of long standing break down. People not only discard the ancient sages' instruction to treasure old friends but also break oaths of enduring fidelity.
What are the reasons for this change in attitude toward friendship? Careful analysis makes them clear. There are common tendencies and normal ways of operating in the world. People compete to flatter and get close to those who are wealthy and prominent; this is a common tendency. People are also quick to snub those who are poor and humble; this is a normal way of operating. If a person makes friends with the rich and prominent, he will gain the benefits of influential recommendations for advancement in office and the advantages of generous presents and other emoluments. But if he makes friends with the poor and humble, he will lose money either from giving them handouts or from unrepaid loans.
A powerful official may be as evil as the tyrant Jie and the bandit Dao Zhi, but if he rides in a magnificent carriage to summon scholars to him, they will take it as a great honor and flock to his service. How can a person avoid being drawn to those who can render him tangible benefits? A scholar may have the combined talents of Yan Hui and Bao Shangyan, yet if he wears poor clothing when he pays visits, others will feel insulted and will look with dread upon the prospect of further calls. How can a person not avoid those who will bring him disadvantage? Therefore, those who are rich and prosperous find it easy to get along in society, while those who are poor and humble find it difficult to secure a place in the world.
The poor, if they wear fine clothes, are regarded as extravagant and ostentatious, but if they wear coarse clothing, they are taken to be in dire straits and difficulties. If they walk slowly, people say they are weak from hunger, but if they walk fast, they are accused of trying to flee from debts. If the poor do not visit others, they are regarded as arrogant, but if they come around too often, they are suspected of trying to sponge free meals. If they come empty-handed, they are taken for insincere friends, but if they bring a gift, they are regarded as degenerate. If they are confident and self-assured, they are regarded as unvirtuous. All these are the woes of the unemployed scholar, poor and without rank.
The poor scholar, being in a humble position, has much to bear. At home he has to put up with his wife's complaints. Outside he must endure the cutting remarks of the scholar-officials. At banquets his gifts are small and considered inadequate. His own parties are simple and not up to others' standards. He is not rich enough to come to the aid of friends in need, and his power is too meager to save them. A friendship may have been long and cordial, but since the poor scholar is unable to save his friend in need, the relationship weakens. Once this occurs, the humble scholar becomes more and more aware of his own low status, while the other individual busies himself with cultivating relationships with more useful persons and forgets his old friend.
Since friendship is founded on mutual advantage, when disadvantage arises the friendship breaks down. An oath of friendship is meaningless and eventually will be discarded. Those who communicate often become close friends because they see advantage to themselves in the relationship. A commoner will act as follows. If a person can be useful, he will draw near to him. Being close to him, he will gradually develop a feeling of love for him. Because he thinks the friend is right, he will regard him as capable, and so he will turn his heart toward him and praise him happily. A commoner will keep his distance from those whom he regards as unable to render him benefits. Because they are distant, after a time he begins to feel hatred for them. Because he hates them, he always considers them in the wrong, and so feels disgust for them. Once he feels disgust for them, his heart naturally turns away from them and he slanders them. Therefore, even if one's friendship with a wealthy and prominent man is a new one, it will become closer and closer every day; and although one's friendship with a poor and humble man is of long standing, it will tend to become weaker and more distant. These are the reasons why a poor scholar cannot compete with officials for friends.
Rulers do not understand what causes people to form friendships, and so they readily believe the words of their high officials. This is why honest scholars are always excluded from court while crafty persons always get their way. In the past when Wei Qi lost his power, his retainers abandoned him to serve in another place. When the general Wei Qing lost imperial favor and was no longer able to shower his subordinates with rewards from the court, they left him to serve the newly powerful general Huo Quping. The retainers of the Zhao general Lian Po and of the Han general Di Gong came and went, depending on whether their benefactors were in power or not. These four gentlemen were all capable and all had illustrious pasts, yet the loyalty of their subordinates wavered with the amount of power they had. How much more would this happen to those who became really poor and humble!
Only those who have the heroic virtue of the ancients will not desert their superiors and friends in such a fashion. When these people make commitments to friends, they do not abandon them their whole life long. If they love someone, their concern for him can only become greater as his situation worsens. The _Book of Songs_ says, "The virtuous man, the princely one, is uniformly correct in his deportment. His heart is as if it were tied to what is correct." Only during the cold of winter, when all other trees have lost their leaves, do people realize that the pine trees resist the cold and do not shed their needles. Likewise, it is only when difficulties are encountered that a person's virtue can be noticed. You Ying and Yu Rang gave their lives to retain their master's good grace. Zhuan Zhu and Jing Ke sacrificed their lives to render service to their masters. It is easy to die, but to die for one's master willingly when he has encountered hard times is difficult indeed....
Most scholars are very shortsighted, concerned only about the present moment. If they think that a powerful man will be of use to them, they rush to his service; but if they think that someone will be of no use, they are quick to avoid him. Those who burn for rapid promotion and advancement compete with one another to get close to persons of prominence but can find no time to associate with the humble. They scrape and claw to make their way to the front but have little time to concern themselves with those who have been left behind. When the Minister Han Anguo lost his official post, he sent some five hundred golden artifacts to the newly powerful Grand Commandant Dian Fen to seek a position. Yet not once did he give any assistance to a poor but capable scholar. Likewise the Minister Di Fangjin was eager to recommend Shun Youchang, a relative of the empress, for promotion, but was unable to recommend even one humble scholar. Now, both Han Anguo and Di Fangjin were good and loyal officials of the Han dynasty, and yet they still acted in such a snobbish way. How can one expect virtue from officials who are inferior to them? This is the reason that crafty, calculating individuals can worm their way up the official ladder while ordinary scholars slip ever more into obscurity. Unless the realm has a brilliant ruler, there may be no one to discern this....
In this world there are three things which are loathsome indeed. These may be summed up as follows: first, to express in words extremely warm affections toward others while one's heart holds nothing but cold feelings; second, to express in writing dear thoughts toward others while in fact one's thoughts are rarely with them; third, to make appointments with others while having already decided not to show up at all. If people are always suspicious of others' words, they may fear that they will dismiss the genuine sentiments of a true worthy. But if people are quick to believe what they are told, they will be often fooled. This is why those disingenuous, mediocre people are so disgusting....
Alas! The gentlemen of today speak nobly but act basely. Their words are upright, but their hearts are false. Their actions do not reflect their words, and their words are out of harmony with their thoughts. In talking of antiquity they always praise the conduct of Bo Yi, Shu Qi, Qu Yuan, and Yan Hui; but when it comes to the present, their only concern is the scramble for official ranks and positions. In their lofty speeches they refer to virtuous and righteous persons as being worthy. But when they actually recommend people for office, they consider only such requirements as influence and prominence. If a man is just an obscure scholar, even if he possesses the virtue of Yan Hui and Min Ziqian, even if he is modest and diligent, even if he has the ability of Yi Yin and Lu Shang, even if he is filled with the most devoted compassion for the people, he is clearly not going to be employed in this world.
_Translated by Lily Hwa_
## 17 **
WOMEN'S VIRTUES AND VICES**
_Pre-Han philosophers directed little of their writing to women, even women of the nobility. In the Han, however, the eminent scholar and bibliographer Liu Xiang (79-8 B.C.) wrote the_ Biographies of Heroic Women, _a collection of accounts of the gallant deeds and unselfish behavior of 125 women of antiquity. Many of these women epitomized a single virtue—for instance, loyalty to the ruler, self-sacrifice to help husband or father, or preservation of chastity under duress. As seen in the selection from this book given below, however, the mother of Mencius had several virtues. It is followed here by two of the seven sections of the_ Admonitions for Women, _an equally famous Han text on women's virtues. It was written by Ban Zhao (ca. 45-116), sister of the famous historian Ban Gu (32-92), as a guide to the cultivation of virtues appropriate to women, such as humility, resignation, subservience, self-abasement, obedience, cleanliness, and industry. The selections from these two texts show what people admired in women, but not what women were like. To complement them, a description of a real but far-from-ideal woman is also included here. It is from a letter written by the woman's husband, Feng Yan, to her younger brother explaining his reasons for divorcing her._
#### **
THE MOTHER OF MENCIUS**
The mother of Mencius lived in Zou in a house near a cemetery. When Mencius was a little boy he liked to play burial rituals in the cemetery, happily building tombs and grave mounds. His mother said to herself, "This is no place to bring up my son."
She moved near the marketplace in town. Mencius then played merchant games of buying and selling. His mother again said, "This is no place to bring up my son."
So once again she moved, this time next to a school house. Mencius then played games of ancestor sacrifices and practiced the common courtesies between students and teachers. His mother said, "At last, this is the right place for my son!" There they remained.
When Mencius grew up he studied the six arts of propriety, music, archery, charioteering, writing, and mathematics. Later he became a famous Confucian scholar. Superior men commented that Mencius's mother knew the right influences for her sons. The _Book of Songs_ says, "That admirable lady, what will she do for them!"
When Mencius was young, he came home from school one day and found his mother was weaving at the loom. She asked him, "Is school out already?"
He replied, "I left because I felt like it."
His mother took her knife and cut the finished cloth on her loom. Mencius was startled and asked why. She replied, "Your neglecting your studies is very much like my cutting the cloth. The superior person studies to establish a reputation and gain wide knowledge. He is calm and poised and tries to do no wrong. If you do not study now, you will surely end up as a menial servant and will never be free from troubles. It would be just like a woman who supports herself by weaving to give it up. How long could such a person depend on her husband and son to stave off hunger? If a woman neglects her work or a man gives up the cultivation of his character, they may end up as common thieves if not slaves!"
Shaken, from then on Mencius studied hard from morning to night. He studied the philosophy of the master and eventually became a famous Confucian scholar. Superior men observed that Mencius's mother understood the way of motherhood. The _Book of Songs_ says, "That admirable lady, what will she tell them!"
After Mencius was married, one day as he was going into his private quarters, he encountered his wife not fully dressed. Displeased, Mencius stopped going into his wife's room. She then went to his mother, begged to be sent home, and said, "I have heard that the etiquette between a man and a woman does not apply in their private room. But lately I have been too casual, and when my husband saw me improperly dressed, he was displeased. He is treating me like a stranger. It is not right for a woman to live as a guest; therefore, please send me back to my parents."
Mencius's mother called him to her and said, "It is polite to inquire before you enter a room. You should make some loud noise to warn anyone inside, and as you enter, you should keep your eyes low so that you will not embarrass anyone. Now, you have not behaved properly, yet you are quick to blame others for their impropriety. Isn't that going a little too far?"
Mencius apologized and took back his wife. Superior men said that his mother understood the way to be a mother-in-law.
When Mencius was living in Qi, he was feeling very depressed. His mother saw this and asked him, "Why are you looking so low?"
"It's nothing," he replied.
On another occasion when Mencius was not working, he leaned against the door and sighed. His mother saw him and said, "The other day I saw that you were troubled, but you answered that it was nothing. But why are you leaning against the door sighing?"
Mencius answered, "I have heard that the superior man judges his capabilities and then accepts a position. He neither seeks illicit gains nor covets glory or high salary. If the dukes and princes do not listen to his advice, then he does not talk to them. If they listen to him but do not use his ideas, then he no longer frequents their courts. Today my ideas are not being used in Qi, so I wish to go somewhere else. But I am worried because you are getting too old to travel about the country."
His mother answered, "A woman's duties are to cook the five grains, heat the wine, look after her parents-in-law, make clothes, and that is all! Therefore, she cultivates the skills required in the women's quarters and has no ambition to manage affairs outside of the house. The _Book of Changes_ says, 'In her central place, she attends to the preparation of the food.' The _Book of Songs_ says, 'It will be theirs neither to do wrong nor to do good, / Only about the spirits and the food will they have to think.' This means that a woman's duty is not to control or to take charge. Instead she must follow the 'three submissions.' When she is young, she must submit to her parents. After her marriage, she must submit to her husband. When she is widowed, she must submit to her son. These are the rules of propriety. Now you are an adult and I am old; therefore, whether you go depends on what you consider right, whether I follow depends on the rules of propriety."
Superior men observed that Mencius's mother knew the proper course for women. The _Book of Songs_ says, "Serenely she looks and smiles, / Without any impatience she delivers her instructions."
_Translated by Nancy Gibbs_
#### **
LETTER FROM FENG YAN TO HIS BROTHER-IN-LAW**
Man is a creature of emotion. Yet it is according to reason that husband and wife are joined together or put asunder. According to the rules of propriety which have been set down by the sage, a gentleman should have both a primary wife and concubines as well. Even men from poor and humble families long to possess concubines. I am old and approaching the end of my life, but I have never had a concubine. I will carry regret for this into my grave.
My wife is jealous and has destroyed the Way of a good family. Yet this mother of five children is still in my house. For the past five years her conduct has become worse and worse day after day. She sees white as black and wrong as right. I never err in the slightest, yet she lies about me and nags me without end. It is like falling among bandits on the road, for I constantly encounter unpredictable disasters through this woman. Those who slander us good officials seem to have no regard for the deleterious effects this has on the welfare of the country. Likewise, those who indulge their jealousy seem to have no concern for the unjust strain this puts on other people's lives.
Since antiquity it has always been considered a great disaster to have one's household be dominated by a woman. Now this disaster has befallen me. If I eat too much or too little or if I drink too much or too little, she jumps all over me like the tyrant Xia Jie. If I play some affectionate joke on her, she will gossip about it to everyone. She glowers with her eyes and clenches her fists tightly in anger over things which are purely the product of her imagination. I feel a severe pang in my heart, as though something is poisoning my five viscera. Anxiety cuts so deeply that I can hardly bear to on living. My rage is so great that I often forget the calamities I might cause.
When she is at home, she is always lounging in bed. After she gave birth to my principal heir, she refused to have any more children. We have no female servants at our home who can do the work of weaving clothes and rugs. Our family is of modest means and we cannot afford a man-servant, so I have to work myself like a humble commoner. My old friends see my situation and feel very sorry for me, but this woman has not the slightest twinge of sympathy or pity.
Wu Da, you have seen our one and only female servant. She has no hairpins or hair ornaments. She has no make-up for her face, looks haggard, and is in bad shape. My wife does not extend the slightest pity to her, nor does she try to understand her. The woman flies into a rage, jumps around, and yells at her. Her screaming is so shrill that even a sugar peddler's concubine would be ashamed to behave in such a manner.
I should have sent this woman back long ago, but I was concerned by the fact that the children were still young and that there was no one else to do the work in our house. I feared that my children, Jiang and Bao, would end up doing servants' work. Therefore I retained her. But worry and anxiety plunge like a dagger into my heart and cause me great pain. The woman is always screaming fiercely. One can hardly bear to listen to it.
Since the servant was so mistreated, within half a year her body was covered with scabs and scars. Ever since the servant became ill, my daughter Jiang has had to hull the grain and do the cooking, and my son Bao has had to do all sorts of dirty work. Watching my children struggle under such labor gives me distress.
Food and clothing are scattered all over the house. Winter clothes which have become frayed are not patched. Even though the rest of us are very careful to be neat, she turns the house into a mess. She does not have the manner of a good wife, nor does she possess the virtue of a good mother. I despise her overbearing aggressiveness, and I hate to see our home turned into a sty.
She relies on the power of Magistrate Zheng to get what she wants. She is always threatening people, and her barbs are numerous. It seems as if she carries a sword and lance to the door. Never will she make a concession, and it feels as if there were a hundred bows around our house. How can we ever return to a happy family life?
When the respectable members of our family try to reason with her, she flings insults at them and makes sharp retorts. She never regrets her scandalous behavior and never allows her heart to be moved. I realize that I have placed myself in a difficult position, and so I have started to plan ahead. I write you this letter lest I be remiss in keeping you informed of what is happening. I believe that I have just cause, and I am not afraid of criticism. Unless I send this wife back, my family will have no peace. Unless I send this wife back, my house will never be clean. Unless I send this wife back, good fortune will not come to my family. Unless I send this wife back, I will never again get anything accomplished. I hate myself for not having made this decision while I was still young. The decision is now made, but I am old, humiliated, and poor. I hate myself for having allowed this ulcer to grow and spread its poison. I brought a great deal of trouble on myself.
Having suffered total ruin as a result of this family catastrophe, I am abandoning the gentry life to live as a recluse. I will sever relationships with my friends and give up my career as an official. I will stay at home all the time and concentrate on working my land to supply myself with food and clothing. How can I think of success and fame?
_Translated by Lily Hwa_
#### **
BAN ZHAO'S _ADMONITIONS FOR WOMEN_**
#### **Humility**
In ancient times, on the third day after a girl was born, people placed her at the base of the bed, gave her a pot shard to play with, and made a sacrifice to announce her birth. She was put below the bed to show that she was lowly and weak and should concentrate on humbling herself before others. Playing with a shard showed that she should get accustomed to hard work and concentrate on being diligent. Announcing her birth to the ancestors showed that she should focus on continuing the sacrifices. These three customs convey the unchanging path for women and the ritual traditions.
Humility means yielding and acting respectful, putting others first and oneself last, never mentioning one's own good deeds or denying one's own faults, enduring insults and bearing with mistreatment, all with due trepidation. Industriousness means going to bed late, getting up early, never shirking work morning or night, never refusing to take on domestic work, and completing everything that needs to be done neatly and carefully. Continuing the sacrifices means serving one's husband-master with appropriate demeanor, keeping oneself clean and pure, never joking or laughing, and preparing pure wine and food to offer to the ancestors.
There has never been a woman who had these three traits and yet ruined her reputation or fell into disgrace. If a woman loses these three traits, she will have no name to preserve and will not be able to avoid shame.
#### **
Devotion**
According to the rites, a man is obligated to take a second wife but nothing is written about a woman marrying twice. Hence the saying, "A husband is one's Heaven: one cannot flee Heaven; one cannot leave a husband." Heaven punishes those whose actions offend the spirits; a husband looks down on a wife who violates the rites and proprieties. Thus the _Model for Women_ says, "To please one man is her goal; to displease one man ends her goal." It follows from this that a woman must seek her husband's love—not through such means as flattery, flirting, or false intimacy, but rather through devotion.
Devotion and proper demeanor entail propriety and purity, hearing nothing licentious, seeing nothing depraved, doing nothing likely to draw notice when outside the home; never neglecting one's appearance when at home; never gathering in groups or watching at the doorway. By contrast, those incapable of devotion and proper demeanor are careless in their actions, look at and listen to whatever they like, let their hair get messy when at home, put on an act of delicacy when away, speak of things they should not mention, and watch what they should not see.
_Translated by Patricia Ebrey_
## 18 **
YIN AND YANG IN MEDICAL THEORY**
_The concepts of Yin and Yang and the Five Agents provided the intellectual framework of much of Chinese scientific thinking, especially in fields like biology and medicine. The organs of the body were seen to be interrelated in the same sorts of ways as other natural phenomena, and best understood by looking for correlations and correspondences. Illness was seen as a disturbance in the balance of Yin and Yang or the Five Agents caused by emotions, heat or cold, or other influences. Therapy thus depended on accurate diagnosis of the source of the imbalance._
_The earliest surviving medical texts are fragments of manuscripts unearthed from early Han tombs. Besides general theory, these texts cover drugs, gymnastics, minor surgery, and magic spells. The text which was to become the main source of medical theory also apparently dates from the Han. It is the_ Yellow Emperor's Classic of Medicine, _supposed to have been written during the third millennium B.C. by the mythical Yellow Emperor. A small portion of it is given below._
The Yellow Emperor said: "The principle of Yin and Yang is the foundation of the entire universe. It underlies everything in creation. It brings about the development of parenthood; it is the root and source of life and death; it is found with the temples of the gods. In order to treat and cure diseases one must search for their origins.
"Heaven was created by the concentration of Yang, the force of light; earth was created by the concentration of Yin, the forces of darkness. Yang stands for peace and serenity; Yin stands for confusion and turmoil. Yang stands for destruction; Yin stands for conservation. Yang brings about disintegration; Yin gives shape to things....
"The pure and lucid element of light is manifested in the upper orifices, and the turbid element of darkness is manifested in the lower orifices. Yang, the element of light, originates in the pores. Yin, the element of darkness, moves within the five viscera. Yang, the lucid force of light, truly is represented by the four extremities; and Yin, the turbid force of darkness, stores the power of the six treasures of nature. Water is an embodiment of Yin, as fire is an embodiment of Yang. Yang creates the air, while Yin creates the senses, which belong to the physical body. When the physical body dies, the spirit is restored to the air, its natural environment. The spirit receives its nourishment through the air, and the body receives its nourishment through the senses....
"If Yang is overly powerful, then Yin may be too weak. If Yin is particularly strong, then Yang is apt to be defective. If the male force is overwhelming, then there will be excessive heat. If the female force is overwhelming, then there will be excessive cold. Exposure to repeated and severe heat will induce chills. Cold injures the body while heat injures the spirit. When the spirit is hurt, severe pain will ensue. When the body is hurt, there will be swelling. Thus, when severe pain occurs first and swelling comes on later, one may infer that a disharmony in the spirit has done harm to the body. Likewise, when swelling appears first and severe pain is felt later on, one can say that a dysfunction in the body has injured the spirit....
"Nature has four seasons and five elements. To grant long life, these seasons and elements must store up the power of creation in cold, heat, dryness, moisture, and wind. Man has five viscera in which these five climates are transformed into joy, anger, sympathy, grief, and fear. The emotions of joy and anger are injurious to the spirit just as cold and heat are injurious to the body. Violent anger depletes Yin; violent joy depletes Yang. When rebellious emotions rise to Heaven, the pulse expires and leaves the body. When joy and anger are without moderation, then cold and heat exceed all measure, and life is no longer secure. Yin and Yang should be respected to an equal extent."
The Yellow Emperor asked, "Is there any alternative to the law of Ying and Yang?"
Qi Bo answered: "When Yang is the stronger, the body is hot, the pores are closed, and people begin to pant; they become boisterous and coarse and do not perspire. They become feverish, their mouths are dry and sore, their stomachs feel tight, and they die of constipation. When Yang is the stronger, people can endure winter but not summer. When Yin is the stronger, the body is cold and covered with perspiration. People realize they are ill; they tremble and feel chilly. When they feel chilled, their spirits become rebellious. Their stomachs can no longer digest food and they die. When Yin is the stronger, people can endure summer but not winter. Thus Yin and Yang alternate. Their ebbs and surges vary, and so does the character of their diseases."
The Yellow Emperor asked, "Can anything be done to harmonize and adjust these two principles of nature?"
Qi Bo answered: "If one has the ability to know the seven injuries and the eight advantages, one can bring the two principles into harmony. If one does not know how to use this knowledge, his life will be doomed to early decay. By the age of forty the Yin force in the body has been reduced to one-half of its natural vigor, and an individual's youthful prowess has deteriorated. By the age of fifty the body has grown heavy. The ears no longer hear well. The eyes no longer see clearly. By the age of sixty the life producing power of Yin has declined to a very low level. Impotence sets in. The nine orifices no longer benefit each other....
Those who seek wisdom beyond the natural limits will retain good hearing and clear vision. Their bodies will remain light and strong. Although they grow old in years, they will stay able bodied and vigorous and be capable of governing to great advantage. For this reason the ancient sages did not rush into the affairs of the world. In their pleasures and joys they were dignified and tranquil. They did what they thought best and did not bend their will or ambition to the achievement of empty ends. Thus their allotted span of life was without limit, like that of Heaven and earth. This is the way the ancient sages controlled and conducted themselves....
"By observing myself I learn about others, and their diseases become apparent to me. By observing the external symptoms, I gather knowledge about the internal diseases. One should watch for things out of the ordinary. One should observe minute and trifling things and treat them as if they were big and important. When they are treated, the danger they pose will be dissipated. Experts in examining patients judge their general appearance they feel their pulse and determine whether it is Yin or Yang that causes the disease....To determine whether Yin or Yang predominates, one must be able to distinguish a light pulse of low tension from a hard, pounding one. With a disease of Yang, Yin predominates. With a disease of Yin, Yang predominates. When one is filled with vigor and strength, Yin and Yang are in proper harmony."
_Translated by Mark Coyle_
## 19 **
LOCAL CULTS**
_Throughout history, local cults played an important part in the religious lives of Chinese at all social levels. Shrines were dedicated to various kinds of spirits and deities, including the ghosts of local residents, the spirits of mountains or rivers, and mythical culture heroes and ancient rulers. Shrines were places where individuals could make offerings when asking the gods for help and also served as focal points for communal festivals. In the Han, when a shrine was constructed or repaired a stone was occasionally carved to record the deed. Below are the texts of three such inscriptions dating from the mid-second century A.D._
#### **
INSCRIPTION FOR PRINCE QIAO**
Prince Qiao is an immortal from a past age whose divinity has been known for a long time. Not knowing his origins, I inquired widely of Daoist experts. Some said Yingchuan, some said Yanmeng. When this city was first built, this mound was here. The tradition passed down from former people was that it was the grave of a prince, but as his line of descent had not continued, no one had maintained it. How many years went by, no one could remember.
Then in the twelfth month of A.D. 136, on the night of the winter festival, there was a sound of crying at the top of the grave. Wang Bo, who lived nearby, heard it and marveled at it. At dawn he made an offering at the grave and looked around. Then Heaven sent a heavy snow, and athough there were no human tracks to be seen, he saw the traces of a large bird near the place of the sacrifice. Everyone thought it was the spirit.
Some time later, a person appeared in front of the grave. He was wearing a large hat and a single red gown and carried a bamboo pole. He shouted to a young woodcutter, Yin Yongchang, "I am Prince Qiao. Never again take the trees from the front of my grave!" In a moment he had disappeared.
The magistrate, Wan Xi of Taishan, looked into the sayings of the elders and learned that this was an auspicious response to some influence. He examined the evidence and believed that there was proof. Then he built a temple in order to give peace to the spirit. From that time on, ardent Daoists have come here from afar. Some would play lutes and sing of the "great unity." Some would meditate long in order to pass through Cinnabar Hill (home of immortals). The sick and emaciated would cleanse their bodies, pray for cures, and be blessed immediately. However, if they were not reverent, they would have a relapse. Therefore, it became known that this grave mound with its great power was really that of an immortal.
In the eighth month of A.D. 165 the emperor sent an emissary to offer sacrifices in order to honor this spirit. The solicitous dignity was just right. The administrator of the kingdom, Wang Zhang (styled Boyi) of Donglai, thought that since the spirit had been honored by the emperor, there should be an inscription to show to later generations. The common people were proud of the similarity to the recognition of Laozi by Yin Xi at the barrier.* Then with the help of Chief Aide Bian Qianfang and the gentlemen and clerks, the stone tablet was set up. On the black stone the spirit is praised and his merit recorded. People who search for the Way now have something to read.
#### **
INSCRIPTION FOR SANGONG MOUNTAIN**
The people believed that a period of famine and hardship had occurred because the gods of the Sangong, Yuyu, and Santiao Mountains were on the west sides of the peaks, on the far side from them. Then when the officials and common people made offerings, clouds gathered and rains fell throughout the area. Later when the Tibetans raided and there were locusts, drought, and un-seasonal weather, the people wandered away. As a consequence, sacrificial offerings became rare, and ever since, the weather has been intemperate.
Then there came a learned Daoist who traced the origins of these problems. He concluded that the divine power of the Sangong has been difficult to preserve because it is in a place difficult to reach. Therefore, a lucky piece of land to the east of the kingdom seat was selected by divination, and a shrine and altar raised near Heng Mountain. A pair of columns stand on either side of the gate. Sacrifices have been offered and wine presented in order to please the god. The god enjoys his position and sweet rain has repeatedly fallen, the response as quick as a shadow or an echo. There is great abundance within the borders of the kingdom and grain sells for three cash a bushel. The common people have neither illness nor suffering and live into old age.
#### **
INSCRIPTION FOR THE SPIRIT TOWER AT CHENGYANG**
This concerns the mother of Lord Yao.
In ancient times Qingdu lived in Qiongjing. Of the Yi lineage, she was endowed with the best virtue and behaved according to the most appropriate rites. She modeled herself on the interaction of Yin and Yang and attained to the brilliance of the sun, moon, and stars. On an excursion by the bank of the Yellow River, she was influenced by the red dragon and thus gave birth to [the mythical sage king] Yao. Later when Yao asked about his ancestry, Qingdu informed him of the river dragon. Yao went to three rivers and a dragon came and gave him the diagrams.† With these, he personally carried out sage government and took care of his people. His glory was like a fiery sun: at first dark but later brighter and brighter. Subsequently he went from being a noble to being ruler.
When Qingdu died, she was buried here. It was desired that no one know of the place, so it was named Spirit Tower. On top is a yellow room where Yao offered sacrifices. At the bottom he ran some water to please the dragon. Turtles played and fish jumped in the water there; flat fish with sleek scales appeared among the pebbles at the dark bottom; rushes grew along the edges of the tower. For a long time it was a center of worship, but dynasties changed, and it was abandoned and not repaired.
The five interacting forces went through their cycles and the Han dynasty received a long span. The people of Han revived what had been destroyed and continued what had been discarded. So, as Yao had done, they reinstated the sacrifices. In a year the flat fish again appeared. Therefore the Spirit Tower's attendant and guard sent a messenger to offer the fish to the throne because they could prolong life. Later, the Way was in decline and blocked. Subsequently, under [the usurper] Wang Mang's rule, the offerings were stopped.
The former minister of punishments, Zhong Ding, began to ponder, "The great Han has flourished and its virtue has reached the four directions. Why has great peace not yet arrived, and the portents not yet appeared? Why, instead, have barbarians frequently encroached on us and our armies frequently been disturbed? Since the emperors are not inattentive, why does the sun decline and not reappear?" The minister examined the classics and checked the records and the secret diagrams of the Yellow and Luo rivers. He concluded that since the Han founder had been conceived through a red dragon, he was a descendant of Yao. Thus Yao's shrine ought to be restored to its original design, and in repairing the Yellow Hall the sage's intentions should be sought. At that time disasters occurred and the minister thought Heaven was making known its will. Several times he petitioned the throne, explaining these basic principles, proposing that one should draw forth the lucky omens and block unlucky ones for the future blessings of the Han dynasty. The court closely examined his proposals and the emperor accepted his plan that every year in the spring and fall a great animal sacrifice should be made.
At this time the minister of punishments was due for a new appointment. Repeatedly he asked to retire, and finally his wish was granted. He was given the title great palace grandee and returned home to repair the Yellow Hall. In a good month, on a lucky day, he drew up the plan and set up the boundaries. He assembled the workers and the area was leveled. Everything was in accord with both Heaven and earth, beautifully painted in five colors.
A column was set up which seemed to penetrate to Heaven. The gate faced the east, and in front there was a large hall for worship of the gods. The floor was made of stone slabs to keep it cool. It could be used for dances....
At the time, the grand administrator of Qiyin, Shen Huang of Wei commandery, and the magistrate of Chengyang, Guan Zun of Boling, each sent a great officer to assist. Minister Zhong managed and directed it. Before long the project was completed. The essence of the gods relies on human beings; it will disappear if abandoned and flourish if preserved.
The minister led a group of his clan's poor and rich to buy a stone tablet, all contributing fairly. On it deeds and teachings were recorded, and it was set up outside the central gate.
By divination the minister selected a day and everyone came to worship sincerely. They first made reverent offerings, then prayed for blessings. They asked the spirits to enjoy the offerings, to send sweet rain, to let the grains ripen, to bring the foreign wastelands to submission, to bring prosperity to the ten thousand states and the multitudes of people.
_Translated by Patricia Ebrey_
* That is, in both cases it was a commoner who had recognized the greatness of someone others had ignored.
† The "River diagrams" were revered by Confucians for their cosmological significance.
## 20 **UPRISINGS**
_The collapse of the Han was hastened by the outbreak in 184 of a large-scale rebellion staged by followers of the "Way of Great Peace." Although this uprising was suppressed within a year, other rebels, preaching similar doctrines and using similar principles of organization, appeared throughout the country and proved difficult for the government to defeat or control. Little is known about these rebels or the societies they formed except what was reported to the court by unsympathetic observers. We cannot therefore, even state for certain whether the leaders were religious prophets or anti-dynastic rebels._
_Below are three slightly divergent accounts contained in three histories of the period, the_ History of the Later Han, _the_ Chronicle of the Three Kingdoms, _and the_ History of the State of Huayang. _The first account deals exclusively with Zhang Jue, the leader of the "Way of Great Peace." The second account discusses the doctrines and practices of four rebel religious leaders, with particular emphasis on Zhang Xiu, who gained control of Hanzhong in west-central China. The third account describes Zhang Lu, who was associated with Zhang Xiu, although these last two selections differ on who was leader and who was follower._
#### **
ZHANG JUE**
Zhang Jue of Julu called himself the "Great Worthy Leader" and devoted himself to the Way of the Yellow Emperor and Laozi. He accepted many disciples who would kneel, bow, and confess their faults to him. He cured illnesses with holy water and prayers, and when the sick recovered, the common people came to believe in him.
Zhang Jue sent eight disciples to different parts of the country to convert everyone to his faith, thereby propagating this delusion. After some ten years, he had several hundred thousand followers scattered through the commanderies and kingdoms. Everyone in the eight provinces of Jing, Xu, You, Ji, Qing, Yang, Yan, and Yu [that is, eastern and central China] followed him. Then he set up thirty-six directors, who were like generals. A great director had over ten thousand people under him, a lesser director six or seven thousand. Each had chiefs below him. Jue's followers falsely proclaimed, "Green Heaven is already dead. Yellow Heaven must be established. The year _jiazi_ [184] will be a propitious one for the whole world." They wrote the characters _jiazi_ in mud on the gates of government offices in the capital and the provinces.
In 184, the great director Ma Yuanyi and others gathered twenty or thirty thousand men in Qing and Yang provinces and planned an uprising to be staged in the city of Ye. Ma Yuanyi went back and forth from the capital several times, secretly plotting with several eunuch palace secretaries, including Feng Xu and Xu Feng. It was agreed that the uprising would begin on the 5th day of the third month in all parts of the country. But before the rebellion began, one of Zhang Jue's disciples, Tang Zhou of Ji'nan, reported it to the authorities. Ma Yuanyi was consequently executed by being drawn and quartered in the capital, Luoyang. Emperor Ling forwarded Zhou's report to the three ducal ministers and the capital area inspector, who ordered the imperial commissioner to direct the ducal ministers' subordinates in investigating who in the palace, government, guards, and among the common people were followers of Zhang Jue. In the end, over a thousand people were executed, and an emissary was sent to Ji province to arrest Jue and his men. When Jue learned that his plan had been exposed, he sent messengers galloping day and night to inform his followers in each region, who then all rebelled.
To distinguish themselves, the rebels wore yellow turbans, so people at the time referred to them as the "Yellow Turbans." They also called them the "Ant-like Bandits." These rebels killed people to sacrifice to Heaven. Zhang Jue called himself general, duke of Heaven. His younger brother Bao was called general, duke of earth, and his next younger brother Liang was called general, duke of man. Wherever they went, they burned government buildings and pillaged villages and towns. The local and regional governments collapsed, and most of the officials fled. Within ten days the whole country had risen up and the capital was trembling.
#### **
HETERODOX BANDITS**
In the Xiping period [172-177] there were great uprisings of religious bandits, including Lu Yao in the Sanfu area [that is, around Chang'an]. In the Guanghe period [178-183] there was Zhang Jue in the east and Zhang Xiu in Hanzhong [Sichuan]. Luo Yao taught people the method of redemption; Jue had his Way of Great Peace; and Xiu had the Way of Five Pecks of Rice. In the Way of Great Peace a leader would hold a staff with nine joints while reciting spells and prayers and would instruct people to bow their heads and think of their faults, after which he would give them holy water to drink. Sick people who got better within a few days were said to have faith; those who did not were said to lack it.
Zhang Xiu's teaching was largely the same as Zhang Jue's, but he also set up quiet rooms where sick people would stay and think about their faults. He also had people serve as "debauchers" and "wine offerers." The "wine offerers" were in charge of the five thousand characters of the _Laozi_ and the people who made everyone recite it were called "debauchers." The "demon clerks" were in charge of the prayers for the sick. These prayers were offered by writing the name of the sick person and explaining the crimes he had confessed to. Three copies would be made, one sent up to Heaven by being placed on top of a hill, one buried in the earth, and one immersed in water. These were called the "letters to the three officials." The families of sick people had to contribute five pecks of rice as a standard rule, and therefore the leaders were called "teachers of the five pecks of rice." In reality all this was merely wanton perversion, of no use in curing illness. Still, simple people were deceived by it and competed with each other to join.
Later Zhang Jue was executed and Zhang Xiu died. When Zhang Lu came to Hanzhong, he elaborated on the local populace's faith in Zhang Xiu's teaching. He instructed believers to set up "charity houses," which were stocked with grain and meat for the use of travelers. He taught personal redemption; those with minor faults would repair roads for a hundred paces to wipe out their offenses. He followed the "Ordinances of the Months" (in the _Book of Rites_ ), prohibiting killing in the spring and summer. He also prohibited alcohol. All those who strayed into his area had no choice but to accept his doctrines.
#### **
ZHANG LU**
At the end of the Han period, Zhang Ling of Pei kingdom was studying the Way at Crane-Cry Mountain in Shu. He wrote the _Book of the Way_ and called himself "Originator of the Great Purity," thus deluding the common people. After he died, his son Heng continued to propagate this religion, and in turn was succeeded by his son Lu. The governor of Yi province, Liu Yan, became a believer in this demonical religion; Lu's mother was somewhat attractive and became a frequent visitor to Liu Yan's house.
In the Chuping period [190-193], the governor appointed Lu a major and sent him to Hanzhong, which had been cut off from the rest of the country. When Lu arrived, he acted benevolently, teaching his religion and establishing charity houses stocked with meat and grain. Travelers were to take only enough to fill their bellies but no more. Those who took more could expect to be made sick by the demons. In the markets Lu had all prices standardized. Those who committed offenses would be forgiven three times and then punished. Those who learned of the religion but did not become believers were called "the demon's soldiers" and were later made "offerers of wine." In Ba commandery the common people, both Chinese and non-Chinese, largely found this a useful religion. Since contributions were specified as five pecks of rice, it was generally known as the "rice religion."
When Su Gu was made grand administrator of Hanzhong, Lu sent his associate Zhang Xiu to attack the city where Su Gu was stationed.... Lu then gained control of Hanzhong. One after another, he killed all the representatives sent by the central government. Governor Liu Yan had to inform the government that the "rice rebels" had cut the roads. When Liu Yan's son Zhang became governor, Lu became even more overbearing. This angered Zhang, who in the year 200 killed Lu's brother. Lu then led the non-Chinese Du Huo, Pu Hu, Yuan Yue, and others to rebel against the governor. Lu's representatives at court also became more arrogant. Once the court realized that Lu could not be controlled it gave him the titles of chief of the secretaries and grand administrator of Haining. No magistrates were appointed to serve under him. Instead, he governed his people through the "offerers of wine."....
In 215 [the de facto ruler of the North] Cao Cao went west to attack Lu, who fled to Bazhong where he was welcomed by [the de facto ruler of the Southwest] Liu Bei... [In the end], Lu submitted to Cao Cao and sent a hostage. Cao Cao made him a general and enfeoffed him as the marquis of Xiangping; he also enfeoffed his five sons as feudal lords.
_Translated by Patricia Ebrey_
## PART III
**THE ERA OF DIVISION AND THE TANG DYNASTY**
The overthrow of the Han government, initiated in a.d. 184 by peasant rebels, was completed by the generals assigned to suppress them. By the early third century a stalemate had been reached with three warlords—one in the North, one in the Southeast, and one in the Southwest—each controlling distinct territories. With the abdication of the last Han emperor in 220, each of these warlords proclaimed himself ruler, beginning what is known as the Three Kingdoms Period (220-265). The northern state, Wei, was the strongest, but before it had succeeded in unifying the realm, it was overthrown by an internal coup. Its successor, the Jin (265-420), unified China in 280. Unity was only temporary, however, because the northern non-Chinese tribes—such as the Xiongnu, Jie, and Xianbei—now posed a threat. In 311 the Jin dynasty lost its capital and the court had to flee to the relatively undeveloped area south of the Yangzi River near modern Nanjing. Thus began a period of nearly three centuries (316-589) when the North and South were ruled independently. Both experienced a succession of dynasties, but in the North the rulers were ethnically non-Chinese.
The four centuries of division from the fall of the Han until the reunification of the Sui in 589 marked a serious setback to central government control and allowed the flourishing of all sorts of private social and political relations, with the concomitant growth of regionalism and greater class distinctions. In both North and South, aristocracy developed at the top and forms of personal bondage at the bottom. The new religion of Buddhism found a receptive audience among many social groups in both regions and came to provide an entirely new world outlook, first to the upper class, but also by the end of the period to ordinary commoners, who could hear monks deliver sermons and could visit temples and other holy places.
The division of China into North and South, although largely following natural geographic divisions, was never stable. Attempts at conquest were regularly undertaken, and in 589 the Sui dynasty in the North finally succeeded in defeating the southern state of Chen. The Sui itself, however, lasted only two reigns, and was succeeded by the Tang dynasty (618-906), founded by a member of one of the Sui noble houses.
Elements of centralized, bureaucratic control had been gradually introduced in the North from the mid-fifth century on but under the Tang were more fully developed. The Tang proved generally successful in curbing private power and status, ruling and taxing peasants directly, and even in limiting the authority of the Buddhist church. Reunification and peace led to a cultural flowering, especially in literature. By the eighth and ninth centuries the opening up of wider trade and communication had stimulated the economy, which in many ways had stagnated since the Han. The capital cities of Chang'an and Luoyang became great metropolises, Chang'an and its suburbs growing to house over two million inhabitants.
Although stronger and more glorious than its predecessors, the Tang bore many structural similarities to them. When compared to the Song and later dynasties, the Tang was still "early imperial," not "late imperial." The martial aggressiveness and expansionist policies of the Han and Northern dynasties were retained through at least the first half of the Tang. The ruling class was still strongly shaped by aristocratic tendencies; men admired old families, and members of old families found the avenues to status and influence easily accessible. The nascent examination system had not yet come to determine the composition of more than a fraction of the upper class. And although the commercial economy grew in the Tang, it had not yet produced the great commercial cities of the Song.
The sources available for analyzing the content and organization of Chinese culture during the Era of Division and the Tang are much like those for the Han, with one fortuitous difference—the discovery by Aurel Stein in 1907 of a large cache of late Northern dynasty and Tang documents in a sealed cave temple in Dunhuang (a city on the northwest edge of China proper, sufficiently arid for paper to survive over a thousand years). These documents and ones discovered by subsequent expeditions are important for social and cultural history because they contain types of sources not normally published and preserved, such as bills of sale, contracts, guides to the composition of letters, elementary textbooks, moral and ritual primers, and popular ballads and tales. Several documents from Dunhuang are among the sources translated in Part III.
## 21 **
GE HONG'S AUTOBIOGRAPHY**
_In the third and fourth centuries, political life was exceptionally hazardous, marked by warfare between the separate kingdoms, internal coups, struggles among the aristocratic family, and finally invasion of North China by a series of non-Chinese tribes. Given this political turmoil, many educated men turned away from Confucian scholarship and political concerns, searching for spiritual and intellectual insight elsewhere, in poetry, Daoist philosophy, mysticism, and searches for immortality through drugs and alchemy._
_Ge Hong (283-343), whose autobiographical account follows, was in many ways a typical figure of his period. From a well-established family, he was frequently asked to evaluate his friends and acquaintances as potential candidates for office. He was also called on to perform military service. Still, official life left him unsatisfied, and although he never rejected traditional Confucian virtues, he became interested in Daoist philosophy and the use of drugs to achieve the spiritual freedom of an immortal._
_Ge Hong's account of his life was not published as a separate work, but as the last section of his collected writings. There was as yet no tradition in China of introspective autobiographies or of authors writing about their own moral or spiritual progress. But ever since Sima Qian had appended an account of his life to his magnum opus, some authors wrote about themselves in the third person, much as though they were writing about someone else. Here, since Ge Hong was the actual author, his narrative has been changed to the first person._
I was my father's third son. Because I was born late, my parents spoiled me and did not make me study. When I was thirteen my father passed away, so I was left without his guidance and had to endure the hardships of hunger and cold. I took on the farming chores myself. Having no inheritance whatsoever, I had only stars to look upon and the grass to tread on.
Since our family library had been completely lost in the repeated wars, there was nothing I could read in my leisure after farming. I was therefore forced to shoulder my satchel and walk long distances to borrow books. Because I could rarely get an entire book from one household, this task was rather time-consuming. Moreover, I had to cut firewood and sell it in order to buy paper and writing brushes and do my copying by the light of fires amidst the fields and gardens. For these reasons, I was not introduced to literature at an early age. And because I constantly lacked paper, I would write on both sides of each sheet; as a result, no one could decipher my writing.
Not until I was sixteen did I start reading the _Classic of Filial Piety,_ the _Analects,_ the _Book of Songs,_ and the _Book of Changes._ As I was too poor to travel far in search of teachers and learned friends, I was shallow in my knowledge and understanding. Although I could not understand the profundity of books, I was avid to read them; I would silently recite the texts and carefully memorize the key points. The books that I went through ranged from the classics, histories, and the various philosophical treatises to short, miscellaneous essays—altogether nearly ten thousand chapters. Because I was slow and forgetful by nature, because I did not have many ideas or a set goal, my knowledge was meager and I had doubts about many points. Nevertheless, in my writings I have found occasion to cite these sources....
According to the _Imperial Library Catalog_ and the _Treatise on Bibliography,_ there were 13,299 volumes of books in all [in the Han], and since the Wei dynasty [220-265], all genres of literature have doubled in quantity. Realizing this made me aware of how many books I had never seen. Since so many books were not available in the area south of the Yangzi River, I decided to go to the capital to search for rare works. However, it so happened that there was a rebellion, and I had to turn back midway, much to my regret.
Now that I am approaching my fortieth year, my life-long ambitions are waning; I think only of further reducing my ambitions and converting my actions into nonaction. All that I do is till my fields to eke out a living, and my efforts to achieve broad learning diminish day by day. I am an unrefined person; my nature is dull, my speech slow, and my appearance ugly. I never try to hide my shortcomings. I wear a soiled hat, dirty shoes, and worn-out clothes but am not embarrassed by them. Clothing styles change quickly and frequently. Sometimes people all of a sudden wear broad collars and wide belts; at other times they dress up in tightly fitted clothes with long, narrow sleeves. Sometimes robes are so long that they sweep the ground, while at other times they are too short to cover the feet. I, however, stick with one style and do not follow the whims of the world.
When I speak I am straightforward and matter-of-fact, never sarcastic or playful. If I am not in the company of the right kind of people, I keep silent all day. This is why people call me "the scholar who embraces simplicity," a sobriquet which I have adopted for my writings.
I was born with a weak constitution and further was subjected to many illnesses. Thus, on top of being too poor to afford carriages or horses, I am too feeble to travel on foot. Anyway, travel is something that does not appeal to my nature; the corrupt custom of discarding the fundamental and pursuing the trivial, of placing too much emphasis on making friends and paying visits, makes me apprehensive. For these reasons, I have lived in quiet seclusion in my humble residence and have not rushed to visit others. I am not even acquainted with the rich and influential people who reside nearby.
My clothes do not protect me from the cold, my roof does not keep me from the rain, my food does not save me from being weak, and I am not known outside of my own house—yet none of this causes me worry. I am too poor to keep a servant, my bamboo fences have crumbled, thorny thistles grow thick in my yards, and weeds block the steps. To go out of my gate I have to push away the bushes; to get into my room I have to brush aside the tall grass. People unsympathetically criticize me for aiming at the faraway and ignoring the close-at-hand, when the truth of the matter is that I do not have anyone to do the housework.
Being ignorant of the etiquette for visiting superiors, I never pay visits to high officials. I do, however, make an effort to go and express my condolences to families who have lost an elderly member and to visit the seriously ill. Yet, though I intend to present myself on every such occasion, I often fail to do so because of my own frequent illnesses. I am often criticized on this account, and I admit my own faults, but they do not worry me; I am fully sympathetic toward the bereaved and the ill, but my own illnesses prevent me from carrying out my intentions. As long as I do not have a bad conscience, why should I argue with those who do not understand me? Those who are discerning, nevertheless, do forgive me, for they know that I am not trying to cultivate an image of loftiness for myself....
By nature I have a deep aversion to bothering officials and superiors. In the course of my life I have saved several good friends who were in distress, and in these cases I forced myself to speak with the officials in power. Yet I never let these friends know what I did for them, for it was because I could not bear to see them wronged that I secretly assisted them. Otherwise, even when my closest relatives, who would gladly do me favors, are in power, I never trouble them with written or oral requests. It is true that when I run out of food or desperately need medicine, I appeal to my friends and accept their help if they offer it. Whenever I have received favors from others, I have repaid them in subtle ways over a long period of time, so that they were not aware of it. Yet I do not lightly accept gifts from those who are not the right kind of people. When I have food for ten days, I share it with people who are in need; however, if I do not have enough for myself, I do not give away my own food—for I do not ostentatiously display little acts of virtue. Sometimes the good-natured common people of the village offer me wine and food. Even though they are not my equals, I do not decline their invitations, and later I repay them at my leisure. I once explained my motives by remarking that Shiyun's refusal to accept food from his own brothers and Master Hua's keeping himself aloof from his overfriendly company were but hypocritical acts performed to win a reputation and were not in accordance with the broad-mindedness required of people in high positions.
Those I abhor are the unprincipled men who do not work diligently at the principal occupations of farming and silk production but instead use unethical means to obtain undue profits. Such men control public opinion and sell their recommendations for gain. They use the power of their positions to extort money. Sometimes they accept bribes from the guilty and consequently wrong those who are in the right; at other times they harbor criminals fleeing for their lives. They appropriate corvée labor for their own purposes, thereby interfering with the public good; or they hoard currency or commodities to force the value up; or they dominate the markets to rob the commoners of their profit; or they encroach on others' land, destroying the livelihood of the orphaned and the weak; or they wander from one government office to another to look for profits to be made. In this way they impress their wives and concubines, angle for fame, and seek offices. I will have nothing to do with such people. For these reasons, the vulgar sort hate me since I dislike them, and it is only natural that we should become alienated. In my alley there are no traces of carriages and horses; in my living room there are no incompatible guests; my courtyard is so quiet one can set up bird nets; on my furniture dust accumulates.
Since the time I was old enough to understand things, I have never uttered a word concerning others' faults or private affairs. This comes naturally to me, for I do not even make fun of the defects of servants or little children. I never discuss my opinions of people's characters, nor do I like to criticize people on their selection of friends. When I am forced by my elders to give my evaluations, then I mention only a person's excellent qualities, or in evaluating his writing ability, raise only his good points. Because I never criticize others' shortcomings, I have never offended anyone through criticism. Occasionally I am asked by the higher-ups to give my opinion of officials, clerks, or common citizens. If the person is superior in morality and ability, I report on his achievements; if he is greedy, violent, stupid, or narrow-minded, I reply that I do not know him. As a result, I have been rather severely criticized for being overcautious and for failing to distinguish good from bad and black from white. However, I have never cared to change my ways. I have often observed that those who are fond of discussing others' personalities are not always fair in their comparisons and critiques. Those who are praised by them take it for granted and are not particularly grateful to them; whereas those who are offended regard them with a hatred more ferocious than that caused by a blood feud. I am therefore even more cautious and no longer talk about other people. I even leave the evaluation of the younger members of my own family and lineage to others. When people criticize me for this, I answer as follows: "It should be the easiest for me to evaluate myself. But if someone asks me to compare myself with other men, ancient and modern, I do not know who to consider my equal. How can I then take another person and give an evaluation of him?"
During the Taian period [302-303], Shi Bing led a revolt in six provinces which brought about the decline of the dynasty. The rightful rulers of the state were disobeyed and the loyalist army was opposed. The commander-in-chief asked me to take the position of commandant and lead troops. After repeated urgings, I agreed, taking into account that the country was endangered by the rebels, that the ancients saw it as one's obligation to act in emergencies, and also that martial law was not to be challenged freely. Thus, I drafted several hundred men and joined other regiments in an attack on a rebel general. On the day we broke into the rebel's city, money and silk were piled in heaps and valuables and curios covered the ground. All the other regiments set their soldiers loose upon the riches, and they loaded cart after cart, basket after basket. I alone gave orders that my soldiers were not to leave their positions. By beheading those who collected loot, I made sure no one else dared to set down their staffs. As expected, several hundred rebels burst forth to ambush us. As all the other brigades were out looting, there were no troops to speak of, and those there were were all so heavily laden with booty, they had no will to fight. Frightened and confused, many were killed or wounded, and defeat was imminent. Only my men maintained enough discipline to avoid casualties. I was thus instrumental in saving the other regiments from a disastrous defeat. Later, in another battle, we killed a minor commander of the rebels, seized large quantities of armor, and took many heads. When I reported our victory to headquarters, the commander-in-chief conferred on me the title of wave-conquering general. All the generals were awarded, according to custom, a hundred bolts of cloth, which they sealed up or sent home. I was the only one to distribute it among my officers, soldiers, and needy friends. I exchanged the last ten bolts for meat and wine and feasted my men, earning me much praise and attention.
When the rebellion was suppressed, I discarded my weapons and armor and set out for Luoyang in the hope of obtaining rare books. I did not at all intend to be rewarded for my military deeds, having long admired Lu Lian for not accepting gold from Liaocheng, and Baoxu for refusing a reward for saving Chu. Yet it so happened that while I was on my way, the capital was plagued by a major rebellion, blocking the route to the north. Furthermore, Chen Min staged an uprising in Jiangdong, cutting off my return route. Moreover, at that time an old friend of mine, Ji Jundao of Qiaoguo, was appointed as the governor of Guangzhou, and he petitioned the throne to appoint me as his military councillor. Although this position was not what I wanted, it provided a way to escape south, so I forced myself to accept it. I was ordered to leave early in order to draft soldiers. After I left, Ji Jundao was killed, so I stayed at Guangzhou, where I was frequently offered positions by the authorities. I declined them all, thinking that riches and high positions may be attained gradually but should not be amassed quickly. Besides, the trivialities one has to attend to in such posts are quite bothersome.
Honor, high posts, power, and profit are like sojourning guests: there is no way of keeping them when they are due to depart. Prosperity and glory will all come to an end, just like the spring flowers that quickly wither away. When I chance to have them, I do not rejoice; nor do I grieve when I lose them. They are not worth all the regret and blame, worry and anxiety they cause. Furthermore, I figure that I am by nature lazy and untalented. With these two characteristics, even if I could cringe, kneel, and rush about in the mundane world, I would certainly fail to obtain fame or high position—which is beside the fact since I could never bring myself to do so! It is better for me to cultivate the Way of the Daoists, Chi Songzi and Prince Qiao, and depend solely on myself.
I am hoping to ascend a famous mountain where I will regulate my diet and cultivate my nature. It is not that I wish to abandon worldly affairs, but unless I do so, how can I practice the abstruse and tranquil Way? Besides, to comprehend these matters is truly difficult, requiring considerable discussion and questioning. For these reasons, I neither visit nor send letters to powerful officials. However, even those scholars who refrain from visiting others cannot refuse to receive callers, who invariably become an obstacle to concentration. It is not that the Way is found in the mountains and forests; the reason the ancient practitioners of the Way always had to enter the mountains and forests was that they wished to be away from the noise of the world and keep their minds tranquil. Now I am about to fulfill an old wish; I will leave my hometown and go to Mount Song in order to walk in the paths of Fangping and Master Liang.
Fortunately, I have put my mind to it and completed my philosophical works, including the _Inner Chapters_ and the _Outer Chapters._ Now I only need to finish the selection and rearrangement to make it ready for later readers.... They were written during a time of warfare and rebellion. As I wandered from place to place, homeless, some of my works were lost. Still, I never abandoned my writing brush. This continued for more than a decade, until 304, when my works were finally completed. They consisted of twenty chapters of the _Inner Chapters,_ fifty chapters of the _Outer Chapters,_ one hundred chapters of stone inscriptions, eulogies, poetry, and free verse, and thirty chapters of military strategies and proclamations, memorials, and commentaries. I also wrote ten chapters of _Biographies of Immortals,_ ten dealing with those who are normally not recorded, and ten chapters of _Biographies of Recluses,_ dealing with those who are lofty-minded and seek no place in officialdom. In addition, I made selections from the Five Classics, seven histories, the philosophers, military treatises, esoteric skills, and miscellaneous strange events. These totaled 310 chapters. I also made a separate index of my anthology. My _Inner Chapters_ belong to the Daoist school, as they discuss immortals, longevity medicines, ghosts and devils, transformations, the nurture and extension of human life, and the aversion of evil and misfortune. My _Outer Chapters,_ which discuss the success and failure of men and the good and evil in the world, belong to the Confucian school.
At the end of the autobiographical notes to his _Records,_ Emperor Wen of Wei [r. 220-227] mentioned such arts as playing chess and fencing. This gave me the idea to do something similar. But rather than boast of my own modest skills, I will give an account of what I do not know. I am physically clumsy and slow by nature and have few amusements or hobbies. As a child, I could not compete with other children in throwing tiles or wrestling. Throughout my life, I have never tried cockfighting, drake fighting, dog racing, or horse racing. Whenever I see people engaged in gambling, I try not to even glance at them; but if I have to watch, I do not pay close attention. Thus, to this day, I do not know how many rows there are on a chessboard, or the names of the chessmen. Another reason for my aversion is that I object to the way chess disturbs people's thoughts and wastes their time: this trivial art makes officials reduce their political undertakings, scholars ignore their studies, commoners forget their crops, and merchants lose their business. When engaged in a game at the marketplace, the players are fired up inside and worried in appearance. They lose their sense of righteousness and shame and become rivals; they take each other's money and develop hatreds and feuds. Long ago, the gaming of Duke Min of Song and the Crown Prince of Wu led to their violent deaths and rebellion; the seven feudal states were overthrown as a result and the dynasty nearly toppled. This example provides an obvious lesson for all later generations.
I have often observed the players in a chess game. Overwhelmed by shame and anger, they hit and kick each other and abuse each other with foul language, much to the detriment of their friendship. Since grudges can start from small matters, it is not worth doing things which can cause so many regrets. Confucius warned against sleeping during the day, a sentiment that I do not fully share. Sleeping during the day produces no benefit, but neither does it cause resentments or give rise to quarrels and lawsuits. Even the sage had to wear out the binding string of his books three times before he had completely familiarized himself with the classics. How then can an ordinary person of our time learn everything? I believe that playing all the games there are is less worthwhile than reading a short essay. Thus, finding no pleasure in games, I do not play them. Only the vulgar sort are attracted to them.
When I was young, I learned archery, but my strength was not up to drawing a bow as heavy as Yan Gao's. I studied it because archery is one of the six arts of a gentleman, and enables a person to defend himself against bandits and robbers and to hunt for birds and animals. When I was in the army, I myself shot at pursuing horsemen, who fell at the flicker of my bowstring. By killing two rebels and one horse, I escaped death myself. I also received instruction on sword-and-shield, single sword, and double lances. For all of these there are verbal formulae and essential skills needed to defeat the opponents. There are also secret methods that are as clever as magic and, used against the unknowing, guarantee victory every time. Later, I also learned the art of the seven-foot staff, which can be used to defeat people with daggers and lances. However, this is also a trivial art of no urgency; it does not have to be used any more than the unicorn's horn or the phoenix's spur. Besides the above-mentioned, I hardly know anything else....
Because I am untalented and unlearned, whether I restrain myself or indulge freely, my practices are always ill-suited to the times, my actions against the ways of the world, my utterances out of tune with the customary, my steps out of line with the majority. At home, I do not have the advantage of being rich, like Jin and Zhang; out in the world, I do not have friends in high office. Although the road I have traveled is broad, I do not have the feet of a unicorn; although the universe is wide, I do not have the wings of the great roc. Thus, I have not been able to soar high like a hawk, helping to govern our country, nor have I been able to bring glory to my parents or to be remembered by posterity. My qualities are not entrusted to official historians to record; my words are not inscribed on bells and tripods. For these reasons, on finishing my writings, I composed this autobiographical chapter—although it will not make up for any failure on my part, at least it will be preserved for the future.
_Translated by Clara Yu_
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BUDDHIST DOCTRINES AND PRACTICES**
_Buddhism was introduced into China in the late Han and flourished during the Age of Division and the Tang and Song dynasties. Buddhism differed markedly from earlier Chinese religions and philosophies. It was a universal religion appealing to individuals of all countries and all social stations. It had a founding figure, Shakyamuni Buddha (ca. 563-483 B.C.), and a body of scriptures called sutras said to be records of the sermons of the Buddha. Its most devoted followers became monks and nuns and formed a part of a complex organized church. As a set of ideas, it built on the Indian conviction that sentient beings transmigrate through endless series of lives as people, animals, gods, hungry ghosts, hell dwellers, or titans, moving up or down according to the karma, or good and bad deeds, that they have accumulated. The major insight of the Buddha was that life is inevitably unsatisfactory because beings become enmeshed in the web of their attachments. Yet he offered hope, teaching that it was possible to escape the cycle of rebirth by moral conduct, meditative discipline, and the development of wisdom._
_To get at some of the complexities of the impact of Buddhism on Chinese civilization, four separate sources are given below. The first is a basic description of Buddhist teachings written by a Chinese historian of the sixth century, Wei Shou, as part of his account of Buddhism in his history of the Northern Wei dynasty. It shows how Buddhist ideas could be put into Chinese vocabulary by a reasonably well-informed scholar. The second piece consists of two biographies, both from the sixth century_ Lives of Eminent Monks. _These biographies illustrate different aspects of the spiritual life of the period, one showing an educated man caught between traditional social obligations and his religious calling, the other a charismatic figure who strongly influenced the religious life in the cities. The third selection consists in five colophons or notes appended to sutras that survived by chance at Dunhuang. Both lay persons and clergy would often commission the copying of sutras as a way to gain religious merit for themselves and their relatives, including deceased relatives. The colophons they wrote let us see how they understood Buddhist principles. The fourth piece, also from Dunhuang, is a popular song on the theme of how a woman's life changes as she grows older. By stressing how life inevitably leads to change and sorrow, it plays upon a familiar Buddhist theme of the transience of life but does not make explicit reference to Buddhist principles._
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WEI SHOU'S SUMMARY OF BUDDHIST DOCTRINE**
The words we use for Buddha (Fotu or Foto) are based on the sound of the words used in the western lands. The meaning of the word is "awakened." It refers to destroying impurities and gaining understanding, which lead to sagely enlightenment.
The general import of their scriptures is that everything in this and all other lives is a result of karma. Through the three ages of the past, the present, and the future, the conscious spirit is never destroyed. Any act of good or evil will be recompensed. By gradually accumulating good deeds, purifying vulgarities, passing through many forms, and refining the spirit, one can arrive at a level at which rebirth will not recur and thus attain buddhahood. There are many steps and mental activities to take, all proceeding from the simple to the profound, the imperceptible to the manifest. Through building up one's goodness and obedience, eliminating desires, and practicing serenity, one can break through.
The first step in cultivation of the mind is to take refuge in the Buddha, the dharma [Buddhist teachings], and the samgha [the community of Buddhists]. These are called the three refuges. These are comparable to the three things a man of virtue stands in awe of [in Confucianism]. There are also five prohibitions: one must not kill, rob, commit adultery, lie, or drink wine. The meaning is much like [the Confucian virtues of] benevolence, righteousness, propriety, wisdom, and trustworthiness, though the names are different. They say that those who adhere to these rules will be reborn among heavenly beings or humans, but those who violate them will end up suffering with demons and animals. Altogether there are six paths for rebirth according to how good or bad a person was.
Those who submit to these teachings shave their beards and hair, free themselves from obligations, and take leave of their homes. They attach themselves to a teacher, observe rules and regulations, and live together to bring their minds under control and cultivate tranquility. They practice begging to support themselves. Individually, they are called by the foreign word sramana, or collectively by the term samgha. The word samgha means "group whose fate is harmonious," sramana means "quiet-hearted," bhiksu [another word for monk] means "beggar." Laymen who believe in the dharma are called upasaka, laywomen upasika.
Monks begin by cultivating the ten rules, which makes them beginners, and when they have mastered 250 they are ready to become senior monks. Women who enter the path are called nuns; they accept 500 rules. In each case the rules are gradually increased. They concern protecting one's mind, restraining one's person, and regulating one's speech. Their hearts must get rid of greed, anger, and folly; their bodies expunge killing, lust, and robbery; their mouths stop uttering false words. Taken together, these are called the ten good paths. Those who have mastered these are called triply accomplished and purified. Ordinary people's behavior is coarse in the extreme, but the Buddhists say that if they can comprehend the rewards for good and bad acts they can gradually climb to the level of sages....
The one called the Buddha was originally named Shakyamuni, which can be translated "capable of benevolence" and means that when his virtue was perfected he was able to aid all creatures. Before Shakyamuni there were six buddhas; he succeeded to them and lived in the current eon. Their books say that the next buddha to enter the world in the future will be Maitreya Buddha.
Shakyamuni was the son of a king of the country of Kapilavastu in India. He was born from his mother's side at night on the eighth day of the fourth month. At his birth there were thirty-two unusual signs, and there were also thirty-two portents sent down by Heaven in response to him. The scripture on his origin describes them in detail. The year he was born was the ninth year of King Zhuang of Zhou [688 B.C.]. In the _Spring and Autumn Annals,_ under that year, the seventh year of the Duke Zhuang of Lu, it says, "the fixed stars were not visible but the sky was bright." From that time until the eighth year of the Wu-Ting period in Wei [650] is 1237 years.
When Shakyamuni was thirty he attained buddhahood, and he then spent forty-nine years preaching and converting others. Then on the fifteenth day of the second month, in the city of Kusinagara, between a pair of Sala trees, he entered nirvana. Nirvana means annihilation and crossing over. Another interpretation is that it means eternal joy; one is enlightened, free from change and suffering.... When the Buddha left the world, his body was burned with fragrant wood. His holy bones broke apart in pieces the size of grains. They could not be crushed by blows nor scorched by fire. Sometimes they would emit light as a sign of their spiritual power. In the foreign tongue these are called sarira, "relics." His followers took them and put them in jeweled jars and offered their respects to them with incense and flowers. They built buildings called stupas, another foreign word, which are like ancestral shrines, so that they are commonly called stupashrines. A hundred years later there was a King Asoka who with divine power divided the Buddha's relics and built 84,000 stupas all over the world for them, accomplishing it all in one day. Today Loyang, Pengcheng, Guzang, and Linzi all have Asokan temples where the traces can be seen. Even though the Buddha entered nirvana, he left footprints, nails, and teeth in India. Travelers to that land have mentioned seeing them.
Soon after he entered nirvana, five hundred disciples who had heard his teachings, such as Mahakasyapa and Ananda, recorded the teachings he had delivered orally. Ananda had received the teachings personally and understood much, and so was able to organize it all very thoroughly so that nothing got left out. This is the Tripitaka with its twelve categories of scriptures, which is comparable to the nine schools of thought [used by Chinese bibliographers]. All of them take the Three Vehicles as the basis. A few hundred years later, arhats and bodhisattvas, one after the other, discussed and elaborated on the meanings of the scriptures to combat heresies. Their books comment on the meanings in the Tripitaka, pose questions and answers, or elaborate in terms of inner teachings.
_Translated by Patricia Ebrey_
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LIVES OF EMINENT MONKS**
_Zhu Seng Du_ was originally named Wang Xi (Xuanzong) and came from Donghuan, in Guangdong, South China. He came from a lesser literati family but was a very presentable young man. When he was sixteen his spirit soared high and his character stood out among his peers. His personality was mild and he was well loved by his neighbors. He lived with his mother and was a filial son to the last letter of the Confucian code. He courted the daughter of Mr. Yang Deshen in the same village. The Yang family was also respectable. Their daughter, Tiaohua, had a comely face and proper poise. She was versed in the apocryphal literature and was the same age as Du. The day he proposed to her, she accepted. However, not soon afterwards and before the marriage was set, Tiaohua's mother died. Tiaohua's father soon followed. Meanwhile, Du's mother also passed away. Suddenly realizing the transience of this world, Du left it behind and entered a monastic order, changing his name into Seng Du, Du, the follower of Sakyamuni. He left his trace beyond the world of dust and wandered, as a student, in faraway places. Tiaohua, after having tended to the mourning rites for her parents, realized that there was no place in society for a woman like her without anyone on whom to depend, neither parents, husband, nor child. Therefore she wrote to Du, "According to the Confucian norms of filial piety the hair and skin of one's body, being something one received from one's parents, should not be harmed [for example, by tonsure]. The ancestral temples should not be abandoned as you, Du, the monk, have done. Moreover, considering the teaching of Confucian society you should abandon your lofty hermit ideal, and arousing your talents make a name for yourself in the world. Through your success you should let shine the spirit and glory of your ancestors and be a comfort to those close to you, fulfilling the expectations of both man and the spirits." She also wrote five poems....
Seng Du responded, "Serving the king, as demanded by Confucianism, is to assist in the ruling of one's country. That cannot be compared with pursuing the Buddhist path for all peoples. Serving one's parents means to establish a family of one's own; but that cannot be compared with following the Buddhist path for the sake of all beings in the three realms. The dictum 'Never to harm your body or hair' is the narrow advice of those committed to the world. I am ashamed that my present virtue has not extended itself to cover even that filial duty. However, small baskets of earth add up to a mountain: all beginnings are small. Thus I put on my monk's gown, drink the pure water, and laud the wisdom of the Buddhas. Although the dress of princes, the food of the eight rarities, the sound of music and the color of glories are all fine, I would not trade my lot for them. If our minds are in tune to one another, we will meet in nirvana. However, people's hearts are different, just as their faces are. Your distaste for the hermit's way is like my indifference to the world. Dear one, let this be the last parting and let all the karmic ties from ten thousand years past that brought us together end here. Time is running short. The student of the dharma must learn to daily eliminate his attachment to the world of action. Men and women of the world, however, should adapt themselves to the times. You are, in age and virtue, in your prime, so you should pursue what you desire and admire. Do not keep this man who is committed to Buddhism in your mind and thereby lose the best years of your life." Du further wrote five poems in reply....
Du's mind was made up and, like a rock, it could not be swayed. Touched by his reply, Tiaohua also entered an order and became a nun.
* * *
_Seng Baozhi,_ originally surnamed Zhu, came from Jincheng. He left home in his youth and entered the Daolin temple in the capital where he practiced meditation under the monk Jianwei. At the beginning of the Taishi period in Song (465-471), his behavior suddenly became extraordinary. He would regularly stop eating or sleeping, let his hair grow to several inches, and walk the streets bare-footed, holding a staff on which hung either a pair of scissors or a mirror, or sometimes a few strips of cloth.
During the Jianyuan period in Qi (479-482), Baozhi developed more extraordinary traits. He would go for days without food, showing no sign of hunger. He would talk to people in unintelligible enigmas that later turned out to be true. He composed poetry that was no less prophetic. As a result, the officials and the people in the capital became his followers. Emperor Wu of the Qi dynasty thought that Baozhi was bewitching the public and had him imprisoned in Jiankang. The next morning people saw him walking into the city again. When the matter was investigated, Baozhi was found to have been in jail all the time. Once he told the guards, "There are two carriages outside bringing rice in a golden alms-bowl. Accept it for me." Later, indeed Prince Hui and the Duke of Jingling, Wang Ziliang, sent food to Baozhi in the manner predicted.
The governor of Jiankang, Lu Wenxian, reported these events to Emperor Wu, who invited Baozhi to stay in the palace. Once when the emperor dismissed all courtiers during a private banquet, Baozhi left with the others. Soon it was learned that in the Jingyang mountain, another Baozhi was staying with seven renowned monks. The emperor, infuriated, sent people after him but they failed to find his whereabouts. Upon inquiry, it was reported that Baozhi had long since left the capital. The messengers were hoping to mark his body to prevent him from disappearing.
At another time, the eminent monk Faxian wanted to give Baozhi a robe. He sent a messenger to look for Baozhi in the two monasteries of Longguang and Jibin; and both places claimed that Baozhi had stayed there the previous night, leaving at daybreak. The messenger went to the residence of Bo, Count of Li, which Baozhi frequented. Bo said, "Baozhi was practicing devotions yesterday. He is still asleep now." The messenger returned and reported to Faxian. It was then clear that Baozhi could split himself into three persons and lodge at different places.
At one time Baozhi was walking in the cold winter without any upper garment. A monk, Baoliang, wanted to give Baozhi a monk's robe. Before Baoliang had uttered even a word, Baozhi appeared suddenly and took the robe. At another time, Baozhi asked someone for finely sliced pieces of fish. They were prepared for him. He dined to the full and left. Then the person turned around and saw the fish still alive and swimming in the bowl as before!...
The minister of war of Qi, Yin Qizhi, was to follow Chen Xianda to take up a post at Jiangzhou. When he took leave from Baozhi, Baozhi drew a picture of a tree with a crow in it, saying, "In case of an emergency, climb this tree." Later Xianda rebelled and left Qizhi to guard the state. When he was defeated, Qizhi also rebelled and then escaped into Lu Mountain. As the pursuers were drawing near, Qizhi saw a tree in the woods with a crow in it, just like the one Baozhi had drawn earlier. Realizing this, he climbed the tree and contrary to expectation, the crow did not fly away. The pursuers saw the bird and thought there was no one up in the tree. They turned back and thus Qizhi escaped death.
The general Sang Yan of Qi was planning a rebellion when he went to see Baozhi. When Baozhi saw him from afar, he ran away, crying: "Besieged city walls. Rebellions contemplated. Head chopped off. Chest rent." In less than ten days, the plot was exposed and Sang Yan, escaping to Zhufang, was captured. He was beheaded and his chest was rent as Baozhi had predicted.
Prince Zhonglie of Boyang in Liang asked Baozhi to stay at his place. One day, Baozhi suddenly ordered him to get bramble shrubs to be fixed to the gate. He did as he was told but could not figure out why. In a little while, the prince was made the governor of the state of Jin—literally "the bramble state." However, such cases of Baozhi's prophecies cannot all be fully documented.
Baozhi used to stay at the two monasteries of Xinghuang and Jingming. The previous emperor respected Baozhi highly, but did not allow Baozhi to come in and go out of the palace at will. When Emperor Wu came to the throne, he issued this decree, "Though the trace of Master Baozhi's body is within this world, his spirit roves in the mysteries. Fire cannot burn him; water cannot dampen him; snakes cannot bite him; tigers cannot frighten him. When he expounds the meaning of Buddhist doctrines, his voice rises to the heights above; when he discourses on the esoteric matters, he proves to be the highest of all withdrawn immortals. How can he be bound by the rules of common sentiments or by empty forms? How can the previous edicts be so narrow-minded? From now on, the master can come and go as he pleases. No one is to stop him." Since then, Baozhi has been in and out of the forbidden palace areas frequently.
In 506 there was a drought. All efforts at invocation and sacrifice were of no avail. Baozhi came to the emperor unexpectedly and said, "As I am ill, please ask an official to pray for a cure. If he fails, then the official should be whipped. I would hope to see the _Lion's Roar of Queen Srimala_ read to pray for rain." The emperor then asked the monk, Fayun, to lecture on the sutra. When the lecture ended, heavy snow fell in that very night. Baozhi then demanded a basin of water and placed a knife on top of it. After a while, rain fell abundantly and the lands, high or low, had sufficient water.
The emperor once asked Baozhi, "I, your disciple, have not gotten rid of all defilements and delusions. What cure is there?" Baozhi answered cryptically, "Twelve." Those who knew interpreted that to mean the twelve-linked chain of causation, the medicine to cure delusions. The emperor then asked about the meaning of "Twelve." Baozhi answered, "The principle is to write characters according to the 'drip-clock' measure." Those who knew thought it meant writing within the twelve periods of time. The emperor then asked at what time he should quietly cultivate his mind. Baozhi answered, "Prohibiting ease and pleasure." Those who knew thought it meant stopping at the easy hours since the word "prohibit" could mean "stop."
Later the monk Fawen lectured on the _Lotus sutra_ in the Hualin monastery. When he came to the passage on magically evoking the black winds, Baozhi suddenly asked whether there is wind or there is no wind. Fawen answered, "From the perspective of the conventional truth, there is. From the perspective of ultimate truth, there is not."
There was a captive slave of war from Chen, whose family followed Baozhi with reverence. Once Baozhi revealed his true form to them; and it shone forth like a bright image of a bodhisattva.
Baozhi was known to the world and performed miracles for more than forty years and attracted innumerable devout disciples. In 514 he revealed to the people in the Taihou Hall: "This bodhisattva will soon depart." Within ten days, he passed away without any illness, his body remaining soft and fragrant, his features serene and blissful. At his death bed he lit a candle which he gave to a palace attendant named Wu Qing. Qing reported it to the emperor who sighed, "This master is no longer with us. Does the candle _(zhu)_ not indicate that he is entrusting _(zhu)_ to me the matters of his funeral?" Thus he gave Baozhi an elaborate funeral and buried him at the Dulong hill on Zhong mountain. He erected a monastery at the tomb site and ordered Lu Chui to compose an eulogy to be engraved on the tomb, while Wang Yun wrote an inscription on the monument at the gate of the monastery. Baozhi's portrait was distributed all over the country to be preserved in reverence.
When Baozhi first showed his miraculous powers, he was already about fifty or sixty years old. He never seemed to age, though, and no one knew his age exactly. A man, Xu Jiedao, who lived to the north of Jiuri Terrace in the capital claimed to be the cousin of Baozhi. He was four years younger which would have made Baozhi ninety seven when he passed away.
_Translated by Walen Lai_
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DEDICATORY COLOPHONS**
Recorded on the 15th day of the fourth month of 531. The Buddhist lay disciple Yuanrong—having lived in this degenerate era for many years, fearful for his life, and yearning for home—now makes a donation of a thousand silver coins to the Three Jewels [the Buddha, the Dharma, and the Samgha]. This donation is made in the name of the Celestial King Vaisravana. In addition, as ransom money*, he makes a donation of a thousand to ransom himself and his wife and children, a thousand more to ransom his servants, and a thousand more to ransom his domestic animals. This money is to be used for copying sutras. It is accompanied by the prayer that the Celestial King may attain Buddhahood; that the disciple's family, servants, and animals may be blessed with long life, may attain enlightenment, and may all be permitted to return to the capital.
Happiness is not fortuitous: pray for it and it will be found. Results are not born of thin air: pay heed to causes and results will follow. This explains how the Buddhist disciple and nun Daorong—because her conduct in her previous life was not correct—came to be born in her present form, a woman, vile and unclean.
Now if she does not honor the awesome decree of Buddha, how can future consequences be favorable for her? Therefore, having cut down her expenditures on food and clothing, she reverently has had the _Nirvana sutra_ copied once. She prays that those who read it carefully will be exalted in mind to the highest realms and that those who communicate its meaning will cause others to be so enlightened.
She also prays that in her present existence she will have no further sickness or suffering, that her parents in seven other incarnations (who have already died or will die in the future) and her present family and close relatives may experience joy in the four elements [earth, water, fire, and air], and that whatever they seek may indeed come to pass. Finally, she prays that all those endowed with knowledge may be included within this prayer. Dated the 29th day of the fourth month of 550.
Recorded on the 28th day of the fifth month of 583.
The army superintendent, Song Shao, having suffered the heavy sorrow of losing both his father and mother, made a vow on their behalf to read one section each of the following sutras: _The Sutra of the Great Assembly of Buddhas, The Nirvana sutra, The Lotus sutra, The Benevolent King sutra, The Golden Light sutra, The Sutra of the Daughter of Prasenajit,_ and _The Master of Medicine sutra._ He prays that the spirits of his parents will someday reach the Pure Land [paradise of the Amitabha Buddha] and will thus be forever freed from the three unhappy states of existence and the eight calamities and that they may eternally listen to the Buddha's teachings.
He also prays that the members of his family, both great and small, may find happiness at will, that blessings may daily rain down upon them while hardships disperse like clouds. He prays that the imperial highways may be open and free of bandits, that the state may be preserved from pestilence, that wind and rain may obey their proper seasons, and that all suffering creatures may quickly find release. May all these prayers be granted!
The preceding incantation has been translated and circulated.
If this incantation is recited seven, fourteen, or twenty-one times daily (after having cleansed the mouth in the morning with a willow twig, having scattered flowers and incense before the image of Buddha, having knelt and joined the palms of the hands), the four grave sins, the five wicked acts, and all other transgressions will be wiped away. The present body will not be afflicted by untimely calamities; one will at last be born into the realm of immeasurably long life; and reincarnation in the female form will be escaped forever.
Now, the Sanskrit text has been reexamined and the Indian Vinaya monk Buddhasangha and other monks have been consulted; thus we know that the awesome power of this incantation is beyond comprehension. If it is recited 100 times in the evening and again at noon, it will destroy the four grave sins and the five wicked acts. It will pluck out the very roots of sin and will ensure rebirth in the Western Regions. If, with sincerity of spirit, one is able to complete 200,000 recitations, perfect intelligence will be born and there will be no relapses. If 300,000 recitations are completed, one will see Amitabha Buddha face to face and will certainly be reborn into the Pure Land of tranquillity and bliss.
Copied by the disciple of pure faith Sun Sizhong on the 8th day of the fourth month of 720.
The lay disciple Madame Duan (nee Zhang) has ever lamented that the fragrant orchid, like a bubble, blooms for but one day, and that separation from loved ones causes so much sorrow. She wonders how it can be that Heaven feels nothing for the calamities it inflicts, and causes the worthiest to be the first to be cut down, just as the young tree is the first to wither and the tallest blossoms are the first to fall.
Thus, on behalf of her deceased third son, Commissioner Duan, an officer of the local commandery, she has reverently had this section of the _Golden Light sutra_ copied. Now that the transcription is completed, she prays that her son's spirit may visit the azure heavens, that he may mingle with the immortals, that he may travel in person to the Pure Land and listen to sutras being recited under the tree. She also prays that he may never pass through the three unhappy states of existence or the eight calamities, but will gather karma sufficient to enable him to proceed joyfully to the Lotus Palace and the Flowering Throne, that he will never again suffer a short life but enjoy longevity in the Pure Land and may be perpetually reborn only there.
His loving mother, thinking of him, prays that the karma for both of them may be good and that they may both enjoy the fruits of salvation.
Recorded on the 9th day of the sixth month of 900 in the Great Tang dynasty.
_Translated by Lucie Clark and Lily Hwa_
#### **
A Woman's Hundred Years**
At ten, like a flowering branch in the rain, She is slender, delicate, and full of grace. Her parents are themselves as young as the rising moon And do not allow her past the red curtain without a reason.
At twenty, receiving the hairpin, she is a spring bud. Her parents arrange her betrothal; the matter's well done. A fragrant carriage comes at evening to carry her to her lord. Like Xioshi and his wife, at dawn they depart with the clouds.
At thirty, perfect as a pearl, full of the beauty of youth, At her window, by the gauze curtain, she makes up in front of the mirror. With her singing companions, in the waterlily season, She rows a boat and plucks the blue flowers. At forty, she is mistress of a prosperous house and makes plans. Three sons and five daughters give her some trouble. With her lute not far away, she toils always at her loom, Her only fear that the sun will set too soon.
At fifty, afraid of her husband's dislike, She strains to please him with every charm. Trying to remember the many tricks she had learned since the age of sixteen. No longer is she afraid of mothers- and sisters-in-law.
At sixty, face wrinkled and hair like silk thread, She walks unsteadily and speaks little. Distressed that her sons can find no brides, Grieved that her daughters have departed for their husband's homes.
At seventy, frail and thin, but not knowing what to do about it, She is no longer able to learn the Buddhist Law even if she tries. In the morning a light breeze. Makes her joints crack like clanging gongs.
At eighty, eyes blinded and ears half-deaf, When she goes out she cannot tell north from east. Dreaming always of departed loves, Who persuade her to chase the dying breeze.
At ninety, the glow fades like spent lightning. Human affairs are no longer her concern. Lying on a pillow, solitary on her high bed, She resembles the dying leaves that fall in autumn.
At a hundred, like a cliff crumbling in the wind, For her body it is the moment to become dust. Children and grandchildren will perform sacrifices to her spirit, And clear moonlight will forever illumine her patch of earth.
_Translated by Patricia Ebrey and Lily Hwa_
* Ransom from their present existences
## 23 **TALES OF GHOSTS AND DEMONS**
_Among the earliest Chinese narratives are stories that concern the interaction of human beings and nonhuman entities; gods, ghosts, demons, fox spirits, and the like. Ghosts who bore a grudge against the living—especially those who had been murdered—might come back to seek revenge. Fox spirits might turn themselves into beautiful women and seduce attractive young men. Demons might enjoy annoying people who had done nothing to provoke them. People who had done good deeds might receive supernatural rewards. Many of these stories probably began as folktales, and were retold innumerable times long before they were recorded. Others may well have been consciously invented by writers as literary art. These stories are thus interesting not only for what they reveal of people's understandings of spirits but also as examples of early narrative fiction._
_The three stories below come from the earliest collection of these stories, the_ Record of Searches for Spirits, _traditionally said to be put together by Gan Bao in the fourth century from records of incidents that had not been included in the standard histories._
In the Han dynasty, Ho Chang, of Jiujiang, while serving as the inspector of Jiao prefecture, went to Gaoan county, in Cangwu, on business. When night fell, he lodged at Snowgoose Flight Pavilion.
Sometime in the middle of the night a woman appeared at the base of the building and told this story:
"I am Su O from Xiu village in Guangxin county. I lost my parents at an early age and have no brothers. I married into the Shi family of my county, but ill-fated as I am, my husband died. I had one hundred twenty bolts of various sorts of silks and a maidservant named Zhifu.
"Alone and without resources, I could not support myself so decided to go to the neighboring county to sell the silks. I rented an oxcart from the man Wang Bo of my county, paying him 12,000 cash. I rode in the back with the silk and Zhifu held the reins. In this way, last year, on the tenth day of the fourth month, we arrived at this pavilion.
"At the time the sun was already setting, and there were no travelers about, so I did not dare go any further. Because Zhifu developed a violent stomach ache, I went to the home of the village head to ask for some porridge and fire.
"The village head, Gong Shou, grasped a dagger and halberd and came up to the cart. He demanded, 'Where do you come from? What is in your cart? Where is your husband? Why are you traveling alone?'
"I answered, 'Why are you so eager to know?'
"Shou then grabbed my arm and said, 'Young men like pretty girls. I was hoping to have some fun.'
"Terrified, I would not comply. Shou then stabbed me in the side with his knife, killing me with one blow. He then stabbed Zhifu, who also died. Shou dug a hole at the base of this building and buried us together, me on bottom, the maid on top. He took the goods, killed the ox, burned the cart, and tossed the ox's bones and the metal trim from the cart into an empty well east of the pavilion.
"Since my death has not been requited, I am angry enough to move Heaven. Having no one to report to, I have purposely returned here to tell my story to you."
Chang said, "I will need to dig up your body. What can serve as evidence?"
The woman responded, "I was wearing white upper and lower garments and had on green silk shoes. These have not yet decayed. I hope that you will travel to my hometown and return my bones to the side of my late husband's."
The excavation confirmed her story. Chang then raced back and sent an officer to arrest the headman Gong Shou. When he was questioned under torture, he confessed to everything. Chang went to Guangxin county for further inquiries, and Su O's story was corroborated. Gong Shou's parents and brothers were all arrested and put in jail.
Chang submitted a memorial arguing, "In ordinary cases of murder the punishment does not extend to the relatives. But Shou is truly vicious and managed to conceal his wrongdoing for over a year, escaping the royal law. Only once in a thousand years must the dead bring complaints. I request that the whole family be beheaded to prove the existence of ghosts and thereby assist the nether regions in dispensing justice."
The emperor approved the request.
* * *
Thirty _li_ west of the home of Lu Chong, in Fanyang, was the tomb of Privy Treasurer Cui. When Chong was twenty, he went hunting for amusement the day before the winter solstice. Catching sight of a deer, he drew his bow and shot it. Hit, the deer fell but soon righted itself. Chong chased it, not noticing how far he was going. Suddenly he saw a tall gate and tile roofs, similar to a government office, a _li_ or so north of the road. The deer was no where to be seen.
A guard at the gate sang out, "Enter."
Chong asked, "Whose office is this?" When told that it was the privy treasurer's, Chong said, "How could I see the privy treasurer in these awful clothes?" A man then gave him a bundle of fresh clothes, saying his master was making a gift of them.
Once Chong had changed his clothes, he went in to see the privy treasurer, giving his name. After several rounds of food and drink, the privy treasurer said to Chong, "Your father, not looking down on me, has recently sent me a letter asking for my young daughter as a wife for you. That is why I invited you in." He then showed Chong the letter. Although Chong had been young when his father died, he had learned to recognize his handwriting. He sobbed and made no more protests. The privy treasurer then informed the women's quarters that young Mr. Lu had arrived and to have the young mistress get made up. He also told Chong that he could go to the eastern wing.
That evening, word was sent from the inner quarters that the young mistress was ready. Chong was waiting in the eastern wing and saw the girl get down from her carriage. They stood at the head of a mat and bowed to each other. The feasting lasted three days.
At the conclusion of the third day Cui said to Chong, "You may go home. My daughter appears to be pregnant. If she gives birth to a boy, she will return it to you, have no doubt. If she gives birth to a girl, we will rear it ourselves." He ordered the outer quarters to send him home in a carriage. Chong then took his leave and left. His wife accompanied him to the middle gate, then took his hand and wept.
Once outside the gate, Chong saw an oxcart harnessed to a shiny ox. He also saw the clothes he had been wearing and his bow and arrows, all outside the gate. Someone gave him a bundle of clothes and relayed this message from the girl, "Parting after we were just married is very painful. I am now giving you another set of clothes and a set of quilts."
Chong got into the carriage and made his way home at the speed of lightning. Soon he was home, and his relatives were happy to see him. On making inquiries, he soon learned that Cui was dead. He felt sad on realizing that he had entered his grave.
Four years after Chong and Miss Cui had parted, on the third day of the third month, Chong was amusing himself near a river, when he suddenly saw two oxcarts near the bank bobbing around. When they got closer, Chong's companions all saw them too. Chong opened the back door of one, then saw the Cui girl with a three year old child inside. The girl handed the child to Chong and also gave him a golden bowl and this poem:
[He is] so bright and pure,
So beautiful and fine,
A flower that dazzles in its time,
Its brilliance demonstrating its amazing powers.
[I am] a bud that before it could bloom
A summer frost caused to wither;
My brilliance thus permanently obscured,
I will never again walk the paths of the world.
Not realizing the workings of Yin and Yang,
A wise man unexpectedly came to call.
Our time together was brief and our time apart long,
Due entirely to the spirits.
What can I give my beloved?
A gold bowl and an adorable child.
Our ties of love and obligation are here severed;
My heart is broken.
Once Chong had hold of the boy, the bowl, and the poem, the two carts disappeared.
Chong took the boy back. Everyone with him said he was a ghost or demon. They all spat on him from a distance, still his form did not change [proving he was human]. When they asked the boy, "Who is your father?" he climbed into Chong's lap. At first they found these events weird, but as they examined the poem, they became impressed by the mysterious connections between the dead and the living.
Sometime later, Chong took a carriage into the city to sell the bowl. He asked a high price, not actually wanting to sell it, but rather hoping someone would recognize it. An old maidservant recognized it and went back to tell her mistress, "In the market I saw a man in a carriage selling the bowl from Miss Cui's coffin." Her mistress was the sister of Miss Cui's mother. She sent her son to look at it, and it was indeed as the maid had reported.
This young man got into Chong's carriage, introduced himself, and said to Chong, "Formerly my mother's sister married the privy treasurer and gave birth to a girl who died before marrying. My mother was distressed by her death and gave a gold bowl to be placed in her coffin. Can you tell me how you got this bowl?" Chong told him the whole story, which moved the boy. He returned to tell his mother.
His mother immediately went to visit Chong and see the boy. All of Chong's relatives gathered round. The boy resembled Miss Cui, but also had something of Chong's demeanor. After examining both the boy and the bowl, the aunt said, "My niece was born at the end of the third month and her father gave her the name 'Warm-good' because in the spring it is warm and he wished her to be good. 'Warm-good' sounds like 'marriage among ghosts,' so we can see this was predicted."
The boy developed into a person of talent and served several times as prefect. His descendants up to the present have continued to serve as officials. Among them Lu Zhi is particularly famous.
* * *
In the time of the state of Wu, there was a man named Ni Yansi who lived to the west of the county seat of Jaixing. One day he discovered that a demon had entered his house. It would talk with people and ate and drank like a human, but no one could see it.
One of Yansi's servants was always cursing the mistress behind her back, and the demon said, "I'm going to tell on you this time." Yansi punished her, and no one in his house dared curse after that.
When the demon wanted Yansi's concubine, Yansi decided to invite a Daoist priest to exorcise it. After the priest had set out the sacrificial wine and food, the demon took some manure from the privy and spread it on top. The priest then struck the drum loudly, calling down the gods. The demon thereupon put a urinal on the altar where he played a tune on it. Shortly, the priest felt something cold on his back, and when he opened his robe, he discovered the urinal. With that, the priest quit.
In his bed at night, Yansi and his wife quietly talked about how the demon was making their life difficult. The demon then, from on top of the beam, told Yansi, "You and your wife are talking about me. I'm going to cut this beam in two." They could hear the sound of cutting. Yansi was afraid the beam would break, so took a torch to see better. The demon immediately extinguished the fire, and the sound of cutting resumed.
Yansi was afraid the house would collapse, so got everyone out, then took the torch to look again. The demon laughed and asked Yansi, "Are you going to talk about me any more?"
When the local superintendent of agriculture heard of these events he said, "This spirit must be a fox." The demon then went to the superintendent and said, "You took so-many bushels of government grain and stored them in such-and-such a place. As an official, you are corrupt, and yet you dare to talk about me! Now I will inform the authorities so that someone is sent to get the grain you stole." The superintendent, in fear, apologized. From this time on, no one dared to talk about the demon.
Three years later the demon left. Its current location is unknown.
_Translated by Patricia Ebrey_
## 24 **
CULTURAL DIFFERENCES BETWEEN THE NORTH AND THE SOUTH**
_In the aristocratic society that developed in both the northern and the southern capitals, manners and deportment were very much stressed. Somewhat different manners and customs developed in each region, and in both places there were tendencies to label the customs of the other unrefined. The two pieces below show something of these feelings. The first is from a description of the northern capital of Luoyang, written in 547-50 by Yang Xuanzhi, a northerner. The second is from a book of advice addressed to his sons by Yan Zhitui (531-591 +). Yan's ancestors had lived in the South during the fourth and fifth centuries, and he himself served at the Liang court, but in 556 when that dynasty was falling to the Chen, he fled to the North, where he served at the Northern Qi court in the city of Ye. Among the many topics Yan advised his son about was the differences in the customs between polite society in the two regions._
#### **
A NORTHERNER'S DEFENSE OF NORTHERN CULTURE**
In 529 [the southern ruler] Xiao Yan sent his scribe Chen Qingzhi to escort the Prince of Beihai to Luoyang and illegitimately set him on the throne. Qingzhi was made the prince's chancellor. Zhang Jingren, who had known Qingzhi while both were in the South, then invited Qingzhi to his house for a banquet. Two southerners, Xiao Biao, the minister of agriculture, and Zhang Sung, a deputy in the department of state affairs, were also there, and Biao himself was a southerner. The only representatives of the eminent families of the northern plain were Yang Yuan-shen, the palace master, and Wang Xuan, the grand secretary.
Drunk, Qingzhi said to [his fellow] southerners, "The Wei dynasty is at its height, but it is still one of the five barbarians. The legitimate imperial succession is in the South. The seals of the Qin emperors are now at the Liang court."
Yuanshen, with a solemn expression, responded, "The South enjoys a respite of peace in their remote corner, where it is hot and humid, crawling with insects, and infected with malaria. Like frogs and toads sharing the same hole, people live together with the birds. Your rulers wear their hair short and never have long heads. The people decorate their bodies. You float on the three rivers or row in the five lakes, but have never been steeped in rites or music or reformed by laws. Even though some Qin and Han convicts brought the true Chinese pronunciation, the unpleasant tongues of Min and Chu have not been transformed. You may have a ruler and a court, but the ruler is overbearing and his subordinates violent. For instance, first Liu Shao murdered his father, then Xiulung committed incest with his mother. To commit such breaches of morality makes you no better than birds and beasts. On top of this, the princess of Shanyin asked to buy husbands to commit debauchery, caring nothing about how people ridiculed her. You, sirs, are still soaked in the old customs and have not yet been transformed by ritual. You can be compared to the people of Yangdi who did not realize that goiters were ugly. Our Wei dynasty has received the imperial regalia and set up its court in the region of Mount Sung and Luoyang. It controls the area of the five sacred mountains and makes its home in the area within the four seas. Our laws on reforming customs are comparable to those of the five ancient sage rulers. Ritual, music, and laws flourish to an extent not even matched by the hundred kings. You gentlemen, companions of fish and turtles, how can you be so disrespectful when you come to pay homage at our court, drink water from our ponds, and eat our rice and millet?"
When Shenzhi and the others heard how elegantly Yuanshen spoke, they were at a loss for how to respond. They broke into sweat and could utter no sound.
#### **
YAN ZHITUI'S ADVICE TO HIS SONS ON DIFFERENCES IN CUSTOMS**
Southerners do not go out to greet a guest. When they meet, they clasp their hands but do not salute. When parting, they merely get down from their seat. Northerners, by contrast, greet their guests at the gate and also accompany them to that point on leaving. When they meet they salute. These are ancient ways, and I approve of them....
Discussions of ancestors should be based on feelings of respect, something the ancients found easy but people today find hard. When Southerners cannot avoid discussing family affairs, they do it in writing, rarely in face-to-face discussions. Northerners would immediately get into such discussions and even ask each other questions about it. Do not inflict such matters on others. If someone else asks you such questions, give evasive answers....
Parting is easy but meeting is difficult; the ancients stressed both. In the South, when parting, people shed tears when saying goodbye. There was a prince, a younger cousin of Emperor Wu of Liang, who before going to Dongjun took leave of Emperor Wu. The emperor said, "I am getting old and am desolate at parting from you." Tears streamed down his cheeks. The prince left looking sad but with dry cheeks, for which he was criticized. Although his boat drifted about by the pier for over a hundred days, he was never allowed to leave. The northern custom is not like this; they say goodbye at the crossroads with a happy expression....
In the South, those wailing at a funeral sometimes express their grief in words addressed to the dead. In the North, at the death of a parent or husband, the mourners will call on Heaven. For the death of a brother or similar relative, they cry out that their suffering is deep. Thus they shout but do not wail.
In the South, when someone has lost a parent, he will sever his friendship with any of his acquaintances from the same city who do not come to condole within three days. After he is out of mourning, he will still avoid them when they meet, so bitter will he be about the lack of sympathy. Those who cannot call for a good reason like living far way are expected to send a letter. If they do not send a letter, they are treated the same way. The custom in the North is not like this.
In the South, those who come to condole do not grasp the hands of anyone they do not know, other than the chief mourner. Those who were acquainted with more distant relatives but not the chief mourner do not need to come to condole but can send a note to the family on another day....
In the South, when people write essays, they like to get others' criticisms so that they can learn their failings and make improvements. Chen Wang received such advice from Ding Yi. The custom in the North is to avoid direct criticisms. When I first entered Ye, I once offended someone this way and still regret it. You boys should be careful not to give your opinions too freely.
Women in the South do not go out calling. Decades may go by without relatives through marriage seeing each other, keeping up their relations only through letters and gifts. By contrast, in the northern capital of Ye, women take charge of family affairs, entering into lawsuits, straightening out disagreements, and paying calls to seek favor. The streets are filled with their carriages, the government offices are filled with their fancy silks. They ask for offices for their sons and complain of injustices done their husbands. This may be the remnants of the customs of the Tuoba when they were in Heng and Dai. In the South, even the poor concentrated on external appearance; their clothes and carriages had to be expensive and smart even if that meant their wives and children suffered hunger and cold. Those in the North often let their wives manage the family; for them fine silks and jewels were essential but thin horses and decrepit manservants were satisfactory. Husbands and wives sometimes even addressed each other as "you." Women in the North are much better than those in the South with regard to weaving and sewing and all sorts of needlework....
_Translated by Patricia Ebrey_
## 25 **
EMPEROR TAIZONG ON EFFECTIVE GOVERNMENT**
_One of the great achievements of the Tang was the strengthening of monarchical institutions after centuries in which dynasties seldom lasted long or controlled the whole country. The second Tang emperor, Taizong (600-649, r. 626-649), is given much of the credit for taking the vigorous measures needed. From his youth, Taizong was a man of action. He fought in the campaigns that put his father on the throne in 618 and during the next few years led armies against the Turks. He became embroiled in a struggle with his elder brother, the heir apparent, and eventually killed him and forced his father to abdicate in his favor. Reigning much longer than his father, he worked to rationalize the administrative structure and devise policies suited to his expanding state._
_The brief text below sums up Taizong's views on the main principles of monarchical government. It was written in 648, near the end of his life, as advice for his heir._
#### **
HOW A RULER SHOULD ACT**
A country cannot be a country without people and a ruler cannot be a ruler without a country. When the ruler looks as lofty and firm as a mountain peak and as pure, bright, and illuminating as the sun and the moon, the people will admire and respect him. He must broaden his will so as to be able to embrace both Heaven and earth and must regulate his heart so as to be able to make just decisions. He cannot expand his territory without majesty and virtue; he cannot soothe and protect his people without compassion and kindness. He comforts his relations with benevolence, treats his officials with courtesy, honors his ancestors with filial respect, and receives his subordinates with thoughtfulness. Having disciplined himself, he practices virtue and righteousness diligently. This is how a ruler should act.
#### **
ESTABLISHING RELATIVES**
The country is huge and the responsibility for it is heavy. A huge country cannot be evenly governed by the emperor alone; the responsibility is too great for one man. Thus, the emperor should en-feoff relatives to guard the outlying prefectures. Whether the country is at peace or in danger, they cooperate; whether the country is thriving or declining, they work together with one heart. Both distant and close relations are supported and employed; encroachment and rebellion are prevented.
Formerly when the Zhou dynasty was at its height, the empire was divided among the royal clan. Nearby there was Jin and Zheng to help; far off there was Lu and Wei. In this way, the dynasty was able to survive several centuries. Toward the end of the Qin dynasty, however, the emperor rejected Chunyu's scheme [of enfeoffing relatives] and accepted Li Si's plan [to enfeoff nonrelatives]. He thus detached himself from his relatives and valued only the wise. With no relatives to rely on, the dynasty fell after two generations. Isn't this all because of the fact that if a tree has a mass of branches and leaves, it is difficult to root up, but if the limbs are disabled, the trunk has nothing to depend on? Eager to avoid Qin's errors, the Han dynasty, upon stabilizing the land within the passes, enfeoffed the closest relatives generously. Outdoing the ancient system, the largest fiefs were as big as kingdoms, and the smallest had at least several prefectures. But a branch can get so heavy that it breaks the trunk; a tail can get too big to be wagged. Thus, the Six Kings harbored ambitions of overthrowing the throne and the Seven States were destroyed by arms, all because they had gained too much territory, military force, and power. When Emperor Wu established the Wei dynasty, being ignorant of past experience, he did not grant any titles to his descendants nor any fiefs to his kin. He had no one within or without the capital to protect him. Thus, his throne was usurped and his dynasty was overthrown by someone of a different surname. This is a good example of the old saying that a river does not run when its source dries up and branches wither when the root of the tree decays.
Subordinates granted too much power can develop into insurmountable problems for the throne. On the other hand, subordinates granted too little power will not be strong enough to protect the throne. Thus, the best way is to enfeoff many relatives to even up their power and to have them regulate one another and share one another's ups and downs. By so doing, the throne need not suspect its subordinates and the subordinates need not worry about being wronged or injured. These are the precautions one should take in granting fiefs. Neutralizing the power of subordinates so that none of them gets to be too strong or too weak is indeed the key to securing one's throne....
#### **
EVALUATING OFFICIALS**
Differentiation of the ranks and duties of officials is a means of improving customs. A wise emperor, therefore, knows how to choose the right person for the right task. He is like a skillful carpenter who knows to use straight timber to make shafts, curved timber to make wheels, long timber to make beams, and short timber to make posts. Wood of all shapes and lengths is thus fully utilized. The emperor should make use of personnel in the same way, using the wise for their resourcefulness, the ignorant for their strength, the brave for their daring, and the timid for their prudence. As a good carpenter does not discard any timber, so a wise emperor does not discard any gentleman. A mistake should not lead the emperor to ignore a gentleman's virtues, nor should a flaw overshadow his merits.
Government affairs should be departmentalized to make the best use of officials' abilities. A tripod large enough for an ox should not be used to cook a chicken, nor should a raccoon good only at catching rats be ordered to fight against huge beasts.... Those with low intelligence or capability should not be entrusted with heavy tasks or responsibilities. If the right person is given the right task or responsibility, the empire can be governed with ease. This is the proper way of utilizing people. Whether the emperor gets hold of the right person for the right task determines whether his empire will be well governed....
#### **
WELCOMING ADVICE**
The emperor, living in the palace, is blocked from direct access to information. For fear that faults might be left untold or defects unattended, he must set up various devices to elicit loyal suggestions and listen attentively to sincere advice. If what is said is right, he must not reject it even though it is offered by a low servant. On the other hand, if what is said is wrong, he must not accept it even though it is given by a high official. He should not find fault with the rhetoric of a comment that makes sense, nor cavil at the wording of a suggestion worth adopting.... If he acts these ways, the loyal will be devoted and the wise will fully employ their resourcefulness. Government officials will not keep any secrets from the emperor and the emperor, through his close ties to them, can thus gain access to the world.
A foolish emperor, in comparison, rebuffs remonstrations and punishes the critics. As a result, high officials do not give any advice lest they lose their salary and low officials do not make any comment lest they lose their lives. Being extremely tyrannical and dissipated, he blocks himself from any access to information. He considers himself more virtuous than the Three Lords and more talented than the Five Emperors. This eventually brings him and his empire to destruction. How sad it is! This is the evil consequence of rejecting remonstrations.
#### **
DISCOURAGING SLANDER**
Slanderers and flatterers are as harmful to the country as grubs to seedlings. They devote all their time to getting ahead. At court they compete for power and out of court they compete for profit. They fawn to prevent the loyal and the worthy from outranking them; they cheat out of fear that others will acquire riches and honor before them. Acting in collusion and copying each other, they succeed all too often. They get close to their superiors by using fine words and pleasant manners; they please the emperor by anticipating and attending to his wishes....
Advice that grates is difficult to take, but words that fall in with one's wishes are easy for one to follow. This is because while the former is like good medicine that tastes bitter, the latter is like poisoned wine that tastes sweet. A wise emperor accepts bitter criticisms that benefit his conduct; a foolish emperor takes sweet flattery that leads him to destruction. Beware!
#### **
AVOIDING EXTRAVAGANCE**
The ruler cultivates his character through frugality and peacefulness. Restraining himself, he will not tire his people or disturb his subordinates. Thus, his people will not complain and his rule will not go off course. If the emperor indulges himself in curiosities, women, music, hunting, or travel, agriculture will be disturbed and labor service will have to be increased, leading to the exhaustion of the people and the neglect of farming. If the emperor indulges himself in magnificent dwelling, precious jewelry, or fine clothes, taxes will have to be increased, leading the people to flee and the country to be impoverished. A chaotic age is marked by a ruler who is arrogant and extravagant, indulging his desires. While his dwelling and garments are richly ornamented, his people are in need of simple clothes; while his dogs and horses are tired of grain, his people do not have enough husks and chaff. As a result, both the gods and the people become resentful and the ruler and the ruled become estranged. The dynasty is overthrown before the emperor has satisfied his wishes. Such is the fearsome cost of being arrogant and extravagant.
#### **
MAINTAINING MILITARY FORCES**
Weapons and armor are a country's tools of violence. A warlike country, however huge and safe it may be, will end up declining and endangering its populace. Military force cannot be entirely eliminated nor used all the time. Teach people military arts when they are free from farming in order to equip them with a sense of military decorum and morale. Remember how Gou Jian, who paid respect to the fighting spirit of frogs, was able to achieve his supremacy, but Xu Yan, who disregarded military forces, lost his state. Why? Because Gou's troops were inspired and Xu was unprepared. Confucius said, "Not teaching people how to fight is the same as discarding them." Hence military might serves to benefit the realm. This is the gist of the art of war.
#### **ESTEEMING CULTURE**
Music should be played when a victory is gained; ritual should be established when the country is at peace. The ritual and music to be promulgated are rooted in Confucianism. Nothing is better than literature to spread manners and guide customs; nothing is better than schooling to propagate regulations and educate people. The Way is spread through culture; fame is gained through learning. Without visiting a deep ravine, one cannot understand how deep the earth is; without learning the arts, one cannot realize the source of wisdom. Just as the bamboos of the state of Wu cannot be made into arrows without feathers, so a clever man will not achieve any success without accumulating learning. Therefore, study halls and ritual halls should be built, books of various schools of thought should be widely read, and the six arts [propriety, music, archery, charioteering, writing, and mathematics] should be carefully studied....
Literary arts and military arts should be employed by the state alternately. When the world is in an uproar and a battle will determine the fate of the country, military arts should be highlighted and schools given low priority. Reverse the two when the country is peaceful and prosperous; then slight the military and give weight to the classics. Neither military nor culture can the country do without; which to emphasize depends on circumstances. Neither soldiers nor scholars can be dispensed with.
_Translated by Chiu-yueb Lai_
## 26 **
THE TANG LEGAL CODE**
_Despite Confucian bias against law as a means of fostering good behavior, the Chinese state came to depend heavily on written rules of all sorts, both rules for the procedures officials should follow and rules for the penalties they should impose when dealing with crime. It became customary for each dynasty to issue a comprehensive set of laws, rules, and regulations, though these could still be amended by subsequent imperial decisions. The earliest of these to survive intact is the Tang code, issued in 653. This code contains laws on criminal matters like theft and murder, civil matters like inheritance and ownership of property, and bureaucratic procedures like transmittal of documents._
_When Confucian officials codified laws, they infused them with their own view of moral order. The Legalists had wanted simple laws uniformly enforced, but Confucians thought not all murders or robberies were the same since the ethical basis of the relationship between the two parties made some offenses more heinous than others. Thus, in the laws on theft and robbery given below, the jurists took into account not only the degree to which force was used, but also any kinship relationship of the perpetrator and the victim._
_For ordinary people, government laws on holding land probably had as big an impact on their lives as laws against crime. The second section below shows some of the legal consequences of the governments's "equal field" policies. The Tang government, continuing policies introduced by the Northern dynasties, allotted land and assessed taxes according to the age, sex, and marital status of the members of each household. Every male from eighteen to sixty was to get twenty_ mu _of "inheritable land" and eighty_ mu _of "personal share land," the latter eventually to be redistributed. Widows and older men living in households with no adult men got smaller shares. As land was equalized, taxes were also equalized; thus the major taxes were imposed on adult men in equal amounts. To maintain the equity of this system, the government had to deal harshly with anyone who cultivated land not officially registered under his name._
#### **
LAWS ON THEFT AND ROBBERY**
1. In cases of robbery by force, when no property is obtained, the punishment is penal servitude for two years. When the stolen property is valued at up to a foot of silk, the punishment is penal servitude for three years. For each additional two lengths of silk, the punishment is one degree heavier. When the value has reached ten lengths or someone has been injured, the sentence is strangulation. When killing has occurred, the sentence is decapitation.
**Commentary:** Robbery by force means taking goods by intimidation or violence, and includes both first using force and then robbing and first robbing and then using force. Also included is giving a person drugged wine or food to make him confused and then taking his goods. Not included are such cases as taking something the owner negligently left, then fighting with the owner over giving it back; or the thief who when his robbery by stealth is discovered, discards the goods and runs, but uses force to resist arrest when the owner catches him.
**Note:** Killing or injuring a slave has the same penalty. Anyone killed or injured in a robbery is included, not just the owner of the goods.
2. In cases of robbery by stealth resulting in no gain, the punishment is fifty strokes of the light stick. When the stolen property is valued at up to a foot of silk, the punishment is sixty strokes of the heavy stick. For each additional bolt of silk, the punishment is one degree heavier. When the value has reached five bolts, the sentence is one year penal servitude. Thereafter for each five bolts add one degree. At fifty bolts, the sentence is exile with labor.
3. In cases of embezzlement, where the one left in charge of goods steals them, the sentence is two degrees higher than in ordinary robbery. When the value of the goods reaches thirty bolts of silk, the sentence is strangulation.
4. In cases of purposely setting fire to a person's house, to steal his goods, add the value of the damage caused by the fire to the value of the stolen goods in applying the law on robbery by force.
5. In cases of taking people's goods by threats or blackmail, the sentence is one degree heaver than in robbery. Even if the threats were not worth fearing, so long as the owner was frightened and gave over his goods, this law applies. If the goods were not received, the sentence is sixty strokes of the heavy stick. In cases involving blackmail of relatives within the mourning grades* offenses against seniors are sentenced at the same level as offenses against other people; offenses against juniors follow the usual rules [reducing penalties].
**Commentary:** Oral threats are included. Those who pass the word or receive the goods are sentenced as accessories. Not included under this law are such cases as a person who has suffered injury or damage and makes threats to try to get recompense.
6. In cases in which someone at first hit a person for some other reason, and then snatched his goods, calculate the value of the stolen goods to apply the law on robbery by force. When death resulted, the sentence is exile with labor. When he took the goods by stealth, use the law on robbery by stealth, but increase the penalties one degree. When killing or injuring resulted, apply the laws on intentional battery.
7. In cases of robbing a relative of the fourth or fifth mourning grades, the sentence is reduced one degree from what it would be for robbing a nonrelative; for robbing a relative of the third mourning grade, it is reduced two degrees; for robbing a relative of the second grade, it is reduced three degrees. Cases involving killing or injuring have their own laws.
**Commentary:** The last point refers to accidentally killing in the course of robbery. If in the course of making demands one purposely kills a junior relative of the second degree or lower, the penalty is strangulation. The other specifications follow this pattern.
8. In cases in which a junior family member gets someone else to rob goods from his own family, apply the law on unauthorized use of property [with its lighter penalties] but increase the penalty two degrees. The other person is sentenced one degree lighter than in ordinary robbery. If killing or injury were involved, the appropriate laws apply.
**Note:** When the other person kills or injures, even if the junior knew nothing of it, he is still charged as an accessory according to the law on injuring and killing.
9. In cases of accidentally killing or injuring a person in the course of robbery, use the law on killing or injuring in a brawl. When death has resulted, the sentence is exile with labor. When several people jointly committed a robbery, and killing or injuring unintentionally occurred, apply the law on robbery with force. For those who were not involved in the killing or injuring, apply the law on robbery by stealth.
**Note:** This applies whether or not the robber got any goods. Not included are cases in which the owner pursued the robber and died for some other reason.
10. In cases of exchanging private goods, slaves, or animals for official property, compare the values in applying the laws on robbery.
**Note:** Even when the official property is worth less, this rule applies. In trading slaves, when the value exceeds that used in inducing them to flee, apply the laws for that offense.
11. In cases where someone on his own, without authorization, takes goods from a mountain or field that someone has cut or piled up, the laws on robbery apply.
12. In cases of abducting people or abducting and selling people as slaves, the sentence is strangulation. When those abducted are sold as retainers, the penalty is exile to three thousand _li._ When they are sold to be someone's wife, concubine, child, or grandchild, the penalty is three years penal servitude.
**Note:** Taking a person who did not want to leave is abduction. When the person is under ten, even if he or she goes voluntarily, the offense is classed as abduction. If death or injury results, the law on robbery with force applies.
#### **
LAWS ON LAND TENURE**
1. Those who occupy more land than allowed will be beaten ten strokes for the first _mu,_ increasing one degree for each additional ten _mu._ After the penalty reaches sixty strokes, it increases one degree for each twenty _mu._ The maximum penalty is one year of penal servitude. No charges are brought for occupying extra land in an area of ample land.
**Commentary:** The kings instituted the law that farmers have fields of one hundred _mu,_ officials have permanent property according to rank, and the old, young, and widows each get graduated amounts. Except in areas of ample land, one cannot occupy more than these limits....
2. Those who plant public or private land they do not have rights to are liable to a beating of thirty strokes for the first _mu_ or less, increasing one degree for each five _mu._ After the penalty reaches one hundred strokes, it increases a degree for every ten _mu._ The maximum penalty is one and a half years penal servitude. The penalty is reduced one degree if the land had been uncultivated. If force was used, the penalty is increased one degree. The crops belong to the government or the owner.
**Commentary:**... In cases where these rules cannot be applied exactly, for instance where only part of the illicitly cultivated land had been uncultivated, or force had only been used in acquiring part, or where the parties were relatives, follow the rule that the more serious offense absorbs the lesser one. If the land of more than one family was illicitly cultivated, decide on the basis of one family. Do not add all the penalties together, but inflict the heaviest single one. In cases where relatives have plundered one another, the penalties are set according to the degree of kinship as in the rules on theft....
_Translated by Patricia Ebrey_
* The five grades of mourning included relatives as distant as second cousins, grandfather's brothers, and first cousins' children. The closest relatives were in the first grade, the most distant in the fifth.
## 27 **THE ERRORS OF GEOMANCY**
_As seen in selections 1 and 3, "Late Shang Divination Texts" and "Hexagrams," divination had very old roots in China. Over time, however, the theories and uses of divination gradually evolved. During the Age of Division the practice of divining to choose auspicious grave sites took root. Credit for writing the first_ Burial Classic _has traditionally been given to Guo Pu (276-324). By the early Tang people were commonly consulting geomancers for advice on when and where to bury their parents in the hope that they might find a site that would lead to them live longer, or get rich or powerful._
_Below is the earliest detailed critique of the theories of grave geomancy. It was written by the official Lü Cai (d. 655) in response to Emperor Taizong's request that he evaluate the diverse divinatory manuals generally classed as writings on Yin-Yang. Geomancy remained popular in subsequent centuries, but there were almost always some scholars like Lü Cai who rejected its intellectual premises._
According to the _Book of Changes,_ when the ancients buried their dead, they covered the body with pieces of wood but did not build mounds over the grave or plant trees around it. Nor did they have a fixed period of mourning. In subsequent ages the sages revised these customs by adding the use of inner and outer coffins.... The _Book of Rites_ says that to bury is to hide; it is based on the desire to conceal the dead. The _Classic of Filial Piety_ says, however, "Divine for a burial place before burying the dead." The reason for this is that the grave will be a place where the living can constantly go to think about the dead. Once the rituals are finished, it is the permanent home of the spirit. As change is constant, the future is always unpredictable. Because water keeps on eroding earth, people consequently have no way to know what is going on below the ground. So people turned to divination to feel safer, hoping to avoid future difficulties or damage by means of divination. Afterwards they conducted the funeral and burial, but all these practices had nothing to do with good or bad luck.
In recent times, however, grave geomancy has appeared. According to its doctrines, people need to choose a good day and mark out a good site for burial. If either choice is even slightly off, disasters befall both the living and the dead. Diviners, for the sake of profit, recklessly add new theories on how to avoid this or that. As a result, there are now about one hundred twenty schools of geomancy. They all have their own theories about what brings fortunes and misfortunes and what must be avoided. Now, cosmological theories are based on such principles as Heaven covering and the earth providing a base, and the alternation of hard and soft. Yin and Yang are also implicated in day and night, male and female relations, the sun, moon, and stars, and the seasons. There is no doubt about these matters. But it is distortion to apply Yin Yang ideas to the luck of burials.
According to the _Zuo Chronicle,_ kings were encoffined on the seventh day after their deaths and interred after seven months. Feudal lords were encoffined on the fifth day and interred after five months. Great officers were buried after a season and officers and common people after a month. Rituals thus were graded by rank. These rules were intended to let allies and colleagues know when to attend the funeral and how to handle things properly; in time they became the convention. Once the rules were established, people were not supposed to break them. So if a person was buried earlier than proper, it was regarded as not cherishing the memory of the dead. If burial was delayed beyond the proper time, the living were criticized. Thus it is evident that there are rules on when to bury and there is no need to divine to choose a year or month....
In addition, the _Book of Rites_ records that in the Zhou dynasty people favored red, so chose sunrise for important ceremonies. In the Yin dynasty they favored white, so chose noon for important ceremonies. In the Xia they favored black, so chose dusk for important ceremonies. Zheng Xuan explained that "important ceremonies" means funerals and burials. Thus it is evident that the hour for burial depends on what is favored in an age and one should not select an earlier or later hour. The _Spring and Autumn Annals_ mentions that when Zichan, minister of Zheng, and Zitaishu were preparing the burial of Duke Jian, the houses of the superintendent of graves were right on the way to the grave of the duke. If the houses were pulled down, the burial could be finished in the morning. If they were not destroyed, it would be midday before the burial could take place. Zichan did not want to destroy the houses, preferring to wait till noon. Zitaishu replied, "If we wait till midday to inter the coffin, I am afraid that the long wait will tire the feudal lords who came to attend the burial." Zichan was a knowledgeable gentleman and Zitaishu was chosen from among the feudal lords. Furthermore, nothing is more important for a state than the burial of its ruler. If good or bad luck had been at stake, how could men like these two not mention it? They were not concerned about whether good or bad luck might result from the hour of burial but simply considered the benefits for human affairs. According to "Zengzi's Questions" [in the _Book of Rites_ ] if an eclipse of the sun occurs during a burial, the bier has to be stopped at the left of the road; people wait till the eclipse passes and it is light again before proceeding. This shows that people have to change plans sometimes so as to adjust to unpredictable conditions. Now if according to geomancy books, the hours close to midnight are perfect for a particular burial, then text and practice are in conflict. Thus an examination of the _Book of Rites_ and the _Zuo Chronicle_ shows that it is not necessary to select a particular hour for burial.
Geomancy books say that wealth and official position result from good burials. Longevity also is said to come from good burial sites. However, the _Classic of Filial Piety_ says, "When we behave ourselves and follow the sages' way, then we can make our name famous in the future and thereby glorify our parents." The _Book of Changes_ also says, "The most precious thing of the sages is called position, and the way to hold on to position is benevolence." These phrases mean that people who behave themselves receive limitless benefits, but those who do nothing good have no heirs. This again shows that fortunes and longevity have nothing to do with whether burials are held at good times or whether graves are in lucky sites....
The fact is that official position and fame come and go; they are not permanent. There are cases of people who started humbly but later became prominent. Similarly there are cases of people who started smoothly but ended with disasters. Ziwen was dismissed from office three times, as was Zhan Qin. Neither had moved [their ancestors'] graves. Then why were their positions so unstable? This proves that high positions depend on human agency, not burial.
Ordinary, ignorant people all believe the geomancy books. The diviners cheat them by making up tales about fortunes or disasters they are going to experience, leading these ignorant folk to feel themselves lucky. As a result, even during the mourning period, they are eager to choose a good site for burial in the hope of an official position. They also select Indian summer as the date for burial in the hope of getting rich. Some mourners will smile when greeting funeral guests because the day of the burial is said to be improper for weeping. Some believe taboos on relatives attending the burial and so do not accompany their parents' bodies to the grave. No sage ever taught such ideas. Geomancy books have ruined customs.
_Translated by Chunyu Wang_
## 28 **
THE DANCING HORSES OF XUANZONG'S COURT**
_In the Tang capitals of Chang'an and Luoyang, and especially in the imperial courts, the unusual and the exotic were very popular. Foreign music and foreign musicians were much in demand. Horses from the north and west, areas more suited to horse raising than the dense agricultural lands of the Chinese heartland, were highly prized. The caravans that came from Central Asia were so welcome that pottery representations of camels and their non-Han grooms were among the objects people commonly placed in their tombs._
_The selections below give a glimpse of this love of the exotic in the most splendid of the Tang courts, that of Emperor Xuanzong (r. 713-755). This emperor not only patronized poets, musicians, and dancers, but even arranged for a troops of dancing horses to perform at his court. The poems given below were written by a leading court official, Zhang Yue (667-731), to celebrate the wondrous performances of these horses. Following the poems is a note written over a century later concerning the fate of the horses after the destruction of Xuanzong's court during a rebellion led by An Lushan (703-757), a general who had been a favorite at this court himself._
#### **
VERSE BY ZHANG YUE ON THE DANCING HORSES**
Our sage emperor's perfect virtue matches Heaven's.
Heavenly horses have come for the ceremony from far west of the sea.
They stride slowly with their feet arched, then kneel on both knees.
Though high-spirited; they stay in formation and stamp with a thousand hooves.
With colorful tails, eight rows form a column.
These dragons of our time—whose five colors match the directions.
With bent knees and wine cups in their mouths, and maintaining the rhythm,
Devotedly they make offerings for the sovereign's long life.
The emperor's dragon colts are well-trained.
These celestial thoroughbreds are amazing. Nimbly prancing, they keep in step with the music.
High-spirited, they step together, never deviating.
#### **
THE FATE OF THE DANCING HORSES**
Xuanzong once ordered that a hundred horses be trained to dance. They were divided into a right and a left company and given names like Emperor's Favorite or Pride of the Household. From time to time fine horses were received as tribute from foreign states, and the emperor had these trained as well. Every one of them mastered the most marvelous skills.
By imperial order, the horses' cloths were of fine embroidery, their halters of gold and silver, and their manes and forelocks ornamented with pearls and jade. The tune they danced to was called "The Upturned Cup," and had several dozen stanzas. They shook their heads and drummed with their tails, moving this way and that, in time with the music. A wooden structure with three tiers was set out and the horses would ride to the top, turning around as though flying. Sometimes strong fellows were ordered to lift one of the platforms and a horse would dance on top of it. The musicians stood on all sides, front, back, left, and right, dressed in light yellow tunics with belts of patterned jade. Only good-looking young men were chosen for this job. Each year at the Thousand-Autumn celebration of the emperor's birthday, the emperor ordered the horses to perform by the Hall of Zealous Administration.
Later on, after [the rebellion of An Lushan and the flight of] the emperor to Sichuan, the horses were scattered, falling into private hands. An Lushan had often seen them dance and was entranced by them, and so had several sold to him when he was in Fanyang. Later these ended up in the possession of [the general] Tian Chengsi who knew nothing about their background. Confusing them with cavalry horses, he put them in the outer stables.
One day when the soldiers were having a celebration and musicians started to play, the horses began dancing and could not stop. The grooms thought evil spirits had possessed them and hit them with brooms. The horses, thinking this meant they were out of step with the music, stooped and reared, nodded and strained, trying to reproduce their old performances. When the stable master reported how weirdly the horses were acting, Tian Chengsi ordered them whipped. The more cruelly they were whipped, the more precise their dancing became. The whippings were increased until they fell dead in their stalls.
At the time there were in fact some men who knew that these were the dancing horses, but out of fear of Tian's violent temper, never dared speak up.
_Translated by Patricia Ebrey_
## 29 **
FAMILY BUSINESS**
_Among the documents that survived at Dunhuang are all sorts of everyday contracts, bills of sale, and government records. Included in this selection are three that relate to the organization and financial arrangements of ordinary families. The first is a household registration record. Such records were kept by the government to ensure that land allocations and tax obligations were correctly set. The one given here is for a family that had grown large because several brothers stayed together long after they had married and had children. The second document is a blank deed a family like this one could have used when they eventually split up. Family property was generally considered the property of all the male members of the household, and when brothers divided the property they normally did it according to the principle of each brother receiving an equal share (with sons of a deceased brother dividing his share). Since division changed legal ownership of property, it was important to have a written record of each party's agreement to the distribution. The third document given below is a bill of sale for a female slave being transferred from one owner to another. Through most of Chinese history a small fraction of the population had unfree or demeaned status, and in Tang times hereditary slavery was recognized. Not only was sale of slaves legal, but slaves had distinctly lower legal standing in many situations._
#### **
HOUSEHOLD REGISTRATION RECORD**
HOUSEHOLD HEAD: Cao Sili, 56, deputy guard (rank conferred on the 16th day of the ninth month of 723 under He Zhitai. His great-grandfather was Gao, his grandfather Kuo, his father Jian. A rank 8 household, at present not taxed)
STEP-MOTHER: Sun, 60, widow (died this year)
WIFE: Zhang, 58, housewife
YOUNGER BROTHER: Lingxiu, 28, able-bodied man (died this year)
SON: Lingzhang, 18, youth (died in 745)
DECEASED YOUNGER BROTHER'S WIFE: Wang, 25, widow (omitted from record last year)
DAUGHTER: Niangniang, 31, woman
DAUGHTER: Miaoyin, 21, woman
DAUGHTER: Miaoxian, 17, girl
DAUGHTER: Jinjin, 15, girl
DAUGHTER: Shangzhen, 13, girl
YOUNGER BROTHER: Enqin, 42, able-bodied male (left in 727)
DECEASED ELDER BROTHER'S SON: Xiongzhang, 23, pillar of state (rank conferred in 710 by Yuan-shuang, due to privilege inherited from his father Dejian. In 745 omitted from record. Great-grandfather Gao, grandfather Kuo, father Jian)
DECEASED ELDER BROTHER'S SON: Xiongyu, 17, boy (omitted from record in 745)
YOUNGER SISTER: Fa, 43, woman Altogether they should receive 364 _mu_ of fields. (They now have 62 _mu_ and are owed 202 _mu;_ 61 _mu_ is inheritable land, one _mu_ is personal share, and one _mu_ is for house and garden)
PLOT 1:15 _mu_ of inheritable land 15 _li_ west of the county seat. Elevated. Borders: east, a ditch; west, Cao Chi's property; south, Dian Xiangfu's property; north, the house.
PLOT 2: 6 _mu_ of inheritable land 10 _li_ west of the county seat. Clay. Borders: east, their own fields; west, ditch; south, ditch; north, ditch.
PLOT 3: 9 _mu_ of inheritable land 7 _li_ west of the county seat. Elevated. Borders: east, ditch; west, Cao Chi's property; south, ditch; north, Zhao Yi's property.
PLOT 4: 11 _mu_ of inheritable land 7 _li_ west of the county seat. Elevated. Borders: east, Zhang Congjiao's property; west, ditch; south, ditch; north, gully.
PLOT 5: 4 _mu_ of inheritable land 10 _li_ west of the county seat. Elevated. Borders: east, government lands; west, ditch; south, road; north, ditch.
PLOT 6: 4 _mu_ of inheritable land 10 _li_ west of the county seat. Elevated. Borders: east, ditch; west, Gao Shentong's property; south, same; north, ditch.
PLOT 7: 12 _mu,_ 11 of which is inheritable land and 1 personal share land, 11 _li_ west of the county seat. Elevated. Borders: east, own land; west, Gong Tuque's property; south, ditch; north, ditch.
PLOT 8: 1 _mu_ of house and garden land.
#### **
RECORD OF FAMILY DIVISION**
Brothers come from the same womb, share the same vital essences, and have strong affections toward each other. They complement each other like luxuriant leaves and stately boughs, and think that they will stay together forever. Little do they realize that one day they will part like birds that fly in different directions—each to a corner of the four seas. Just as winters and summers alternate, the bramble shrubs become withered and branches detach from each other, their time for parting eventually comes.
Elder brother, A, and younger brother, B, now have, in the presence of neighbors and relatives of various branches, meticulously divided into two parts their estate and fields outside of the city as well as their house, other property, miscellaneous objects, and livestock in the city. The details are clearly itemized below.
Afterwards, each brother is in charge of his own share of the family property, and there are to be no complaints or quarrels over it. Should either of them violate this agreement, he will be fined a bolt of fine silk for government use and fifteen bushels of wheat as ration for the military.
This document is drawn up as evidence of the agreement. From now on, each of the brothers has his own household. When the tree has grown too big, its branches will part. When the leaves become scattered, the attachment will be lost. Even the four black birds of the Heng Mountain have to fly their separate ways when their feathers turn dark. This agreement on the division of family property is based on the same principle.
#### **
DEED OF SALE OF A SLAVE**
A contract executed on the 12th day of the eleventh month of 991.
On this day the functionary, Han Yuanding, having expenses to meet and lacking sufficient stores of silk, sells his household slave Jiansheng, aged about twenty-eight. The slave is being sold to the monastery dependent, Zhu Yuansong, then to Zhu's wife and sons, etc. The price of the slave has been fixed at a total of five bolts of silk, consisting of both finished and unfinished goods.* This day the buyer has remitted three bolts of unfinished silk. The fifth month of next year has been established as the deadline for the delivery of the remaining two bolts of finished silk.
After the woman and the goods have been exchanged and the sale completed, it is agreed that the sons and daughters of the Zhu family shall be masters of this slave forever and ever, from generation to generation. If in future a relative of the seller should reclaim this slave, it is ordered that Han Yuanding and his wife, Seventh Daughter, seek out an adequate slave as replacement. If an imperial amnesty should be declared subsequent to the sale, it may not be used to reopen discussions among the negotiants.
The two parties to the contract have met face to face and have reached their agreement after joint discussions. If one of the parties should default, he shall be fined one bolt of decorated silk and two large rams—all to be turned over to the non-defaulting party. In light of the chance of this contract's not being made in good faith, the following persons have witnessed it and will serve as its guarantors: (Note: In case this woman should prove to have a sickness, a waiting period of ten days has been agreed upon. Beyond this time withdrawal from the agreement will be impossible.)
_The woman whose person is being sold, Jiansheng The seller of the woman, her mistress, Seventh Daughter The seller of the woman, her master, Han Yuanding A relative by marriage, who has participated in the discussion, Fuzhen A witness, Monk Chouda of Baoen Monastery A witness, Monk Luo Xian of Longxing Monastery_
(Additional note: In place of one of the bolts of finished silk it has been decided to furnish six lengths of Zhu serge and six lengths of white serge, making a total of twelve lengths, each measuring between ten and twenty feet. These goods are to be delivered by the fifth month of next year.)
_Translated by Patricia Ebrey and Clara Yu_
* Bolts of plain silk of standard size and quality were used as a unit of currency for larger transactions in the Tang and even formed a part of the standard tax payment.
## 30 **THE EXAMINATION SYSTEM**
_The Tang was the first dynasty in which examinations came to play an important role in selecting men for office. With this change in the system of recruitment also came a change in the life of those who aspired to office. Although most such men were still from well-connected families, they now had to devote more effort and energy to preparing for the examinations by studying the classics and practicing literary composition. Those who passed became_ jinshi _(presented scholars) and were eligible for prestigious posts in the government._
_Whatever the seriousness of the examinations, men could also laugh at their distortions and excesses. The following anecdotes, supposedly based on true incidents, were included in an anthology of gossip and vignettes compiled in the late Tang. Some of these anecdotes were intended to poke fun at the way men acted, others to record noble aspirations and deeds._
Xiao Yingshi passed the imperial examination in 735. Proud of his talent, he was unequaled in conceit and arrogance. He often took a pot of wine and went out to visit rural scenic areas. Once during such an outing, he stayed at an inn, drinking and chanting poetry by himself. Suddenly a storm arose, and an old man dressed in a purple robe came in with a page boy to take shelter. Because of their informality, Xiao Yingshi treated them rather insolently. In a short while, the storm was over, the rain stopped, carriages and retinues came, and the old man was escorted away. Flustered, Xiao Yingshi inquired about the old man's identity, and the people around him said, "That was the minister of personnel."
Now, Xiao Yingshi had gone to see the minister many times, yet had not been received. When he heard that the old man was none other than the minister himself, he was flabbergasted.
The next day, Xiao brought a long letter with him and went to the minister's residence to apologize. The minister had him brought into the hallway and scolded him severely. "I regret that I am not related to you in any way, otherwise I would like to give you some good 'family discipline,'" said the minister. "You are reputed to be a literary talent, yet your arrogance and poor manners are such that it is perhaps better for you to remain a mere _jinshi_ (presented scholar)."
Xiao Yingshi never got anywhere in officialdom, dying as a chief clerk in Yang prefecture.
* * *
Lu Zhao was from Yiqun of Yuanzhou. He and Huang Po, also from the same prefecture, were equally famous. When they were young, Huang Po was wealthy, but Lu Zhao was very poor. When they were ready for the imperial examination, the two of them decided to set out on the trip together. The prefect gave a farewell dinner at the Pavilion of Departure, but Huang Po alone was invited. When the party was at its peak, with lots of wine and music, Lu Zhao passed by the pavilion, riding on an old, weak horse. He traveled some ten _li_ out of the city limits, then stopped to wait for Huang Po to join him.
The next year, Lu Zhao came back to his hometown, having been awarded the title of "number one." All the officials from the regional commander on down came out to welcome him, and the prefect of Yuanzhou was greatly embarrassed.
Once when the prefect invited him to watch the dragon boat race, Lu Zhao composed a poem during the banquet which read:
"It is a dragon," I told you.
But you had refused to believe.
Now it returns with the trophy,
Much in the way I predicted.
* * *
Lu Hui's mother's brother was Zheng Yu. As his parents died when he was small, Lu Hui was brought up in his mother's family, and Zheng Yu often encouraged him to take the imperial examination and become a _jinshi._ Lu Hui was recommended for the examinations for the "widely brilliant" in the early part of 870, but in 880 bandits encroached on the capital, forcing him to flee south. At that same time Zheng Yu's son Xu was stationed in Nanhai as a regional commander. Lu Hui and Zheng Xu had gone to school together, but when Xu was already a county official, Hui was still a commoner. The two of them, however, equally enjoyed the favor of Zheng Yu.
During the ten years in which Zheng Xu rose to become a governor-general, Lu Hui remained a destitute scholar. Once again he managed to escape an uprising and come to Zheng Xu, carrying but one sack of personal belongings. Zheng Xu still treated him kindly. At this time, the emperor was on the expedition to Shu, and the whole country was in turmoil. Zheng Xu encouraged Lu Hui to seize the opportunity to advance himself. "How long can a man live?" he said to Lu Hui. "If there is a shortcut to riches and fame, why insist on going through the examinations?"
But Lu Hui was adamant. Zheng Xu asked his friends and assistants to try to persuade Lu Hui to give up the exams; he even left the seat on his right-hand side vacant for Lu Hui to occupy. Lu Hui therefore said to him, "Our great nation has established the examination system for the outstanding and the talented. I do not have the ability and dare not dream of such honors. However, when he was alive, my uncle again and again encouraged me to take the examinations. Now with his study empty and quiet, I cannot bring myself to break our agreement. If I have to die as a mere student, it is my fate. But I will not change my mind for the sake of wealth. I would sooner die."
When Zheng Xu saw Lu Hui's determination, he respected him even more than before. Another ten years passed before Lu Hui finally passed the examination under the Lord of Hongnong, and he died as one of the highest officials in the whole empire.
* * *
Liu Xubo and Lord Pei of Taibing had once sat close to each other during the imperial examination. When Lord Pei became the administrator of the imperial examinations, Liu was still only an examination candidate. On the day when the examinees were tested on their "miscellaneous essays," Liu presented a poem to the chief examiner, his old classmate:
I remember evenings like this twenty years ago:
The candles were the same, so was the breeze.
How many more years will I have, I wonder,
To wear this gunny robe,
And to wait to reach you.
* * *
The Chief Minister Wang Qi was appointed chief examiner in the imperial examinations during the Changqing period (821-824). He had Bai Minzhong in mind as the candidate for the "number one" but was displeased with Minzhong's close association with He Baji, a talented but eccentric man. Therefore, Wang Qi had a confidant reveal his displeasure to Minzhong, hinting to him to break off his friendship.
This messenger went to see Bai Minzhong and told him the chief minister's intentions. "I will do as you say," Minzhong readily agreed.
In a little while He Baji came to visit, as usual, and the servants lied to him, saying that Minzhong was not home. He waited a little, then left without saying a word. A moment later, Bai Minzhong rushed out and ordered the servants to send for He. When he arrived, Minzhong told him everything, and then said, "I can be a _jinshi_ under any examiner. I can't, however, wrong my best friend for this reason." The two of them then merrily drank wine and took a nap.
This whole sequence took place right before the eyes of the messenger from the chief minister, and he left in a fury. When he returned to the chief minister, he told him the story and thought this was the end of Bai Minzhong. But Wang Qi said instead, "I only thought of taking Bai Minzhong; now I should also consider He Baji."
* * *
Xu Tang was from Jing county of Xuanzhou and had been taking the examinations since he was young. In the same village there was a man named Wang Zun, who had served as a minor government clerk when young. After Xu Tang had taken the examination more than twenty times, Wang Zun was still but a low functionary in the government. Yet Wang Zun wrote good poetry, although no one knew about it because he kept it a secret.
One day, Wang Zun resigned from his post and set out for the capital to take the imperial examination. As he was approaching the capital, he met Xu Tang, who was seeing some friends off at the outskirts of the city. "Eh," Xu Tang asked him, "what are you doing here in the capital?"
"I have come to take the imperial examination," answered the former functionary.
Upon hearing this, Xu Tang angrily declared, "How insolent you are, you lowly clerk!" Although they were now fellow candidates for the imperial examination, Xu Tang treated him with contempt. But in the end, Wang Zun passed the examination and became very famous. Xu Tang did not pass until five years later.
* * *
Peng Kan and Zhan Bi were both from Yiqun in Yuanzhou, and their wives were sisters. Peng Kan passed the imperial examination and became a _jinshi,_ whereas Zhan Bi remained a mere functionary in the county.
At the celebration banquet given by Peng Kan's in-laws, all the guests were either high officials or renowned scholars. Peng Kan was seated at the head of the table, and the whole company was enchanted by his exuberant character. When Zhan Bi arrived at the banquet, he was told to eat his food in the back room.
Seeing that Zhan Bi was not even disturbed by this, his wife scolded him severely: "You are a man, yet you cannot push yourself ahead. Now that you are so humiliated, where is your sense of shame?" These words stimulated Zhan Bi, and he began to study very hard. Within a few years, he also passed the imperial examination.
Previously, Peng Kan used to insult Zhan Bi. On the day when the results of the imperial examination were announced, Peng Kan was out in the countryside, donkey riding for pleasure. Suddenly a servant boy came running and reported to him the good news about Zhan Bi. Peng Kan was so shocked that he fell off his saddle.
This is the origin of the lampoon that spread throughout Yuanzhou:
When Zhan Bi the exams did pass, Peng Kan fell off his ass.
* * *
Zhang Shu and Cui Zhaowei were both sent up from Xichuan to take the examinations in the early years of Zhonghe [881-884]. While there the two of them went together to have their fortunes told.
At the time, Zhang Shu was reputed for his literary talent, and was generally known as the "number-one-to-be." Even Cui Zhaowei was regarded as inferior to him. However, the fortune-teller hardly paid any attention to Zhang Shu but looked Cui Zhaowei over and told him, "You will definitely pass the imperial examination and come out on top." Then, seeing that Zhang Shu was annoyed, the fortune-teller said to him, "As to you, sir, you will also pass, but not until Mr. Cui here becomes the minister and you pay homage to him."
When they were taking the examination that year, Zhang Shu had a death in the family and had to withdraw while Cui Zhaowei turned out to be the "number one." Frustrated, Zhang Shu vented his indignation in writing lines such as "I had followed you a thousand miles but only lost your tail during the morning's storm." Naturally, Cui Zhaowei was very disturbed. At a drinking party, Cui Zhaowei toasted Zhang Shu, asking him to drink a huge horn-shaped goblet of wine. When Zhang declined, Cui said to him, "Just drink it, and when I become the chief minister, I will let you be the number-one." Zhang walked out in a fury, and the two of them became foes.
Seven years later, Cui was appointed chief minister by the emperor, and Zhang Shu later passed the examination under the chief-examiner Lord Pei. As predicted, Zhang had to pay homage to Cui.
_Translated by Clara Yu_
## 31 **
A PILGRIM'S VISIT TO THE FIVE TERRACES MOUNTAINS**
From very early times mountains were seen as points of access to heaven or places were deities dwelled. As Buddhism penetrated China more fully, this tradition was enriched. Monasteries were regularly built in mountains, and many came to attract pilgrims, including both laymen and clerics. The religious goal of a journey to a Buddhist mountain site was to make contact with the Buddha or bodhisattva enshrined at the temple and to gain religious merit. Among the many mountain temples, ones with special treasures—relics of the Buddha, magnificant paintings, or statues—were particularly likely to become major pilgrimage sites.
The monasteries of Five Terraces Mountains (Wutai Shan) near the northern border of China proper were among the first to develop as pilgrimage sites. As early as the sixth century there were two hundred temples in the mountains, and the region soon came to be identified with the great celestial bodhisattva Manjusri. By the ninth century thousands of monks lived in the monasteries on these mountains. In this period the pilgrims to Five Terraces Mountains seem to have been primarily Buddhist monks. These monks included not only Chinese from other parts of the country, but monks from elsewhere in East Asia, particularly Korea and Japan and even occassionally India. Below is an extract from the diary written in Chinese by the Japanese monk Ennin (793-864), who spent the years 838-847 in China. Ennin recorded his encounters with both holy men and holy places and was quick to notice the connections between important Buddhist establishments and the imperial government.
#### **
Twenty-eighth Day [of the Fourth Month of 840]**
We entered a broad valley and went west thirty _li_ until 10 am when we arrived at Stopping Point Common Cloister. Before entering the cloister we saw to the northwest the summit of the central terrace and prostrated ourselves to show our respect, for this is the region of Manjusri....
#### **
First Day of the Fifth Month.**
The weather was clear and we started out on our trip around the Five Terraces Mountains. We left our donkey at the Stopping Point Cloister, asking the monk in charge to feed it. From the cloister we traveled about seventeen _li_ west, then turned north to cross the summit, going fifteen _li_ until we stopped at Bamboo Grove Monastery. There we met several dozen novices who had come from various places to be ordained there.
After a meal we toured the monastery. It had a place for performing circumambulations. Formerly Priest Fazhao practiced calling the name of the Buddha in this hall. He was given the posthumous name of Priest Great Enlightenment by imperial edict when he died nearly two years ago. An image of him was made and placed in this hall. There is also a painting of Buddhapala meeting an old man when he arrived at Five Terraces in 676. In the Buddha Hall in the Garland Cloister there is a diamond mandala.
#### **
Second Day**
We went to the Zhenyuan Commandment Cloister. On the second story we worshiped the mandala of the seventy-two sages and worthies made for the benefit of the nation, a marvelous painting. Next someone opened up the Ten Thousand Saints Ordination Platform for us to view. It was made entirely of white jade, three feet tall, and octagonal in shape. Its base is filled with incense ash, and it is covered with a multicolored carpet, also octagonal in shape, which fits it exactly. The pillars and beams are painted very beautifully.
We called on Linjue, the venerable monk in charge of the ordination platform. One hundred years old, he had been a monk for seventy-two years. His facial features were unusual, making him look like a veritable saint. He was affable on meeting his guests. We were told that the year before, in the sixth month, three monks from the Nalanda Monastery in India who came to the Five Terraces Mountains saw a multicolored cloud shining about his body. They have since returned to India.
The Bamboo Grove Monastery has six cloisters (the Rules Cloister, Living Quarters Cloister, Garland Cloister, Lotus Cloister, Balcony Cloister, and Buddha Hall Cloister) and forty monks. This monastery is not under the control of Five Terraces....
#### **
Sixteenth Day**
Early in the morning we left Bamboo Grove Monastery, following the valley east for ten _li,_ then turning northeast for another ten _li,_ until we got to Great Garland Monastery, where we lodged in the Living Quarters Cloister. After a meal we visited the Nirvana Cloister where we saw Abbot Faxian lecturing on the _Great Calming and Contemplation_ in the upper story. Forty-odd monks were sitting and listening to his lecture. We recognized Priest Zhiyuan, the Tiantai Abbot, among the audience. The magnificence of the decoration of the hall is difficult to describe. The abbot announced that he had finished lecturing on chapter four and would proceed to the next part in his next lecture.
We went to Priest Zhiyuan's room to pay our respects to him. He expressed his kind concern for us.... The monks of the fifteen cloisters of Great Garland Monastery all regard Zhiyuan as their abbot. He receives no alms, is strict in observing rules, eats only once a day, and never misses any of the six daily worship services. He constantly practices the Lotus Repentance and is devoted to the concept of the three views [on unreality]. He is respected and honored by the venerable monks of the monasteries all over the mountains. His most deeply held ambition is to see the bodhisattva Samantabhadra (Puxian) and prove the worth of the Lotus Repentance.
After drinking tea we visited the Nirvana altar and worshiped the representation of the Buddha attaining nirvana. It showed him lying on his right side beneath two trees, sixteen feet long. His mother was on the ground, distraught. There were also the four heavenly kings, the eight gods, and the various saints, some wringing their hands and weeping, some with their eyes closed contemplating. It was exactly as described in the sutras....
We also saw a portrait of Priest Big-shoe, who had practiced on this mountain. He made fifty pilgrimages around the mountains, once spending three years at the summit without coming down. Finally, with the aid of Manjusri, he put on a pair of large shoes, a foot five inches high, one twenty-five pounds, the other ten pounds. They are now on display in front of the portrait. The priest once made fifteen thousand robes to give to fifteen thousand monks. His portrait is now placed in the upper story where offerings are made to it....
#### **
Seventeenth Day**
... In the evening I went up to the Bodhisattva Hall Cloister with several other monks to see Priest Chinian. He is seventy years old, but to look at him you might think he was forty. People say that his robust appearance comes from the power of his devotions. The hall was opened for us, and we worshiped the incomparably magnificent image of the bodhisattva Manjusri riding a lion. The image fills the five-bay hall. The lifelike lion seems to be moving majestically with vapors coming out of its mouth. After we stared at it for a long time, it seemed to move.
The venerable monks told us that when they first tried to make this statue, it kept splitting, six times in a row. Vexed, the artist said, "Everyone in the world recognizes my unique skill. My whole life I have been casting Buddhist statues and never before have any split open. This time when I made this statue I prepared myself by observing abstinence and concentrated all my skill on making something that would move the people of the world to behold and worship it and thus turn their hearts [to Buddhism]. Now I have cast it six times and it has cracked six times. Clearly [my work] must displease Manjusri. If this is so, I humbly entreat the Great Sage Manjusri to show me his true appearance. If I personally gaze on his golden face, I will immediately copy it and make a statue."
As soon as he had made his prayer, he opened his eyes and saw before him the bodhisattva Manjusri riding on a golden-colored lion. After some time, Manjusri mounted a multicolored cloud and flew up into the sky. The artist wept for joy. He then realized that the statue he had made before had not been right. He changed his model to match what he had seen in size and appearance. Thus the seventh time he cast it, it did not crack; in fact, everything proved easy to do. Once the statue was finished it was placed in this hall. With tears in his eyes, the artist said, "What a miracle. I have seen what has never been seen before. I pray that in all my successive lives, age after age, I will be a disciple of Manjusri." Having said this, he died.
From then on this statue from time to time would emit light or manifest other signs of its marvelous powers. A record was made of each manifestation and sent to the emperor, who responded by sending a gift of Buddhist cloaks, one of which can be seen on the statue. Each year an imperial emissary sends five hundred cloaks for the monks of the monastery. This is in addition to the annual imperial gifts of incense, flowers, pearls, canopies, jades, jewels, crowns, chased metal incense burners, large and small mirrors, carpets with designs, white cloth, imitation fruit and flowers, all of which are already considerable. Not all of them can be displayed in the hall; the others have to be stored in the storehouse. Donations from official and private donors from around the country are too numerous to list.
When any of the monasteries at Five Terraces make statues of Manjusri, they always copy this one, but they never capture more than one percent of it.
Inside the hall a canopy with the seven treasures hangs over the bodhisattva. Brightly colored and decorated banners and crowns with rare jewels fill the hall, along with untold numbers of beautifully made mirrors of various sizes.
Exiting the hall to the north we could see the northern and eastern terraces with their entirely treeless high rounded summits. The short grasses were colorful, so seen from a distance, it looked like autumn, though it was the middle of summer. Returning to the front of the hall we gazed at the southern terrace, which is also treeless. Unlike the other mountains, its summit stands out by itself, touching the blue sky. The western terrace is cut off from the central terrace and was not visible.
In front of the Bodhisattva Hall on the end of a cliff there was a three-bay pavilion floored with boards and surrounded by a high railing on all four sides. Beneath it was a precipice going down ten thousand feet. The venerable monk told us that the Japanese monk Reisen saw ten thousand bodhisattvas from this pavilion.
After we had performed acts of worship at each place there, we went to Balcony Cloister to see Abbot Xuanliang, who, since the fourth month, has been lecturing on the _Garland sutra_ and the Tiantai commentaries to over forty disciples of Priest Zhiyuan. In the morning he lectures on the _Garland sutra_ in the Balcony Cloister, in the evening on the _Great Calming and Contemplation_ in the Nirvana Cloister, with monks from both cloisters attending both. They are joined by many others from other cloisters [on the mountain]....
With a group of monks we went to the upper story, where we worshiped. The interior and exterior were both impressive, and it had treasures similar to those in the Bodhisattva Hall. We saw the skull of a self-enlightened buddha. It was black and white, like pumice stones in our country. The bone inside was strong and as big as a two-pint bowl. It was the top of the skull, for on top was growing white hair about five inches long, which must have grown after being shaved. It was brought by a monk from the western regions during the Zhenguan period [627-650]. There was also a Sanskrit version of the _Lotus sutra_ and a bone of the Buddha in a lapis lazuli bottle and two very fine copies of the _Lotus sutra,_ one in gold characters, one in small characters.
In front of the building was a gorgeous two-story octagonal pagoda. At its base was an Asokan stupa, buried so no one could see it. It is one of the 84,000 stupas [the Indian] King Asoka made [to house relics of the Buddha].
Next we went to the Pavilion of Constancy and performed acts of adoration. More than fifty monks practice meditation there. They all have woolen robes and staves, having traveled from all over to come as pilgrims. By imperial command this temple has a place for performing rites for the protection of the country. A monk of the Tiantai tradition is lecturing there on the Rule of the Four Parts. He is also a disciple of Priest Zhiyuan....
#### **
Sixth Day of the Sixth Month.**
An imperial commissioner arrived, and all the monks in the monastery went out to welcome him. The regulations specify that each year the emperor sends such things as clothes, alms bowls, incense, and flowers to Five Terraces Mountains to be distributed to the twelve main monasteries. Included are five hundred fine robes, five hundred packages of silk floss, one thousand buddhist cloaks dyed blue, a thousand ounces of incense, a thousand pounds of tea, and a thousand towels. Vegetarian feasts are also provided at the twelve main monasteries.
#### **
Seventh Day**
On this day the monastery held the maigre feast provided by imperial order. After it was completed, the monks performed a ritual recitation of the _Garland sutra._ In the evening the imperial emissary went to the Bodhisattva Hall with several dozen monks, hoping to see a manifestation [of Manjusri]. He also went to the Nirvana Cloister to pay his respects to Priest Zhiyuan.
#### **
Eighth Day**
The imperial emissary provided a maigre feast for a thousand monks.
#### **
Ninth Day**
After eating, the imperial emissary went to Golden Balcony Temple.
#### **
Eleventh Day**
It was the birthday of the current emperor. On imperial instructions, the various monasteries at Five Terraces Mountains held birthday maigre feasts, all ringing their bells at the same time. The five or six most venerable monks got up from their seats to offer incense. I heard that the imperial emissary returned to the capital after offering incense at the Golden Balcony Temple.
_Translated by Patricia Ebrey_
## PART IV
**THE SONG AND YUAN DYNASTIES**
From the mid-ninth century, the Tang government progressively lost control of the country and, like the Han before it, was finally destroyed by ambitious generals who seized control of the armies in the wake of peasant rebellions. After the official demise of the Tang in 906, no general was able to establish a long lasting dynasty until in 960 Zhao Kuangyin (r. 960-976) founded the Song dynasty (960-1279).
The Song was a brilliant and innovative age. Unprecedented wealth was created by a commercial revolution (begun in the mid-Tang), by technological improvements in industry, and by the great extensions of wet-field rice cultivation. In the new commercial cities, different social groups and classes were brought into greater contact with one another, contact based more on commercial relations and less on the paternalistic social relations of master and retainer or tenant (although such relations also persisted into modern times). Town and countryside became more closely integrated as extensive marketing networks developed. In the cities, storytellers could attract large audiences. Like Buddhist monks in earlier periods, they transmitted cultural ideals and principles to the illiterate, but by responding to popular demand, probably served as much to acquaint the educated with the attitudes and ways of thinking of commoners as the other way around.
An equally important development was the invention of printing. With books becoming more widely available and much less expensive, literacy and a familiarity with the works of the ancient and modern masters became less a preserve of the most privileged. Increased access to education thus served to undermine aristocratic ideals and reduce emphasis on birth. Moreover, printing led to publishing more and more works addressed to those with a general, rather than a classical or literary education. These include popular moral tracts, guides for farming, handbooks for rituals, and books of moral, social, or economic advice. Several are included in Part IV.
Some of the warlords who briefly gained control of North China between the Tang and the Song had been ethnically non-Chinese, reflecting the growing strength of Turkic, Tibetan, Mongol, and Tungusic peoples in the dry region north of China proper. Considerable territory which the Tang had controlled in its heyday was never recovered by the Song, the Tanguts holding parts of the northwest (the Xia state) and the Khitans the northeast (the Liao state). Then in 1127 most of North China was lost to the Jurchen who had defeated the Liao and established the Jin dynasty. The Jurchen in turn succumbed in 1234 to the Mongols, then rapidly building up a pan-Asian empire. When the Song lost North China to the Jurchen, a "temporary" capital was established at modern Hangzhou, and a vigorous social, intellectual, and economic life was maintained in South China until it also fell to the Mongols in 1279.
The Mongol dynasty in China, called the Yuan (1234-1368), always remained an alien dynasty. Non-Chinese, including Marco Polo and many Central Asians, were assigned to governmental posts, and the Mongols themselves retained their identification as warriors. When the dynasty collapsed through internal weakness and rebellion, the Mongol nobility and armies largely withdrew to modern Mongolia. During the Yuan dynasty most of the economic advances of the Song slowed or were even temporarily reversed. Mongol oppression and mismanagement led to a setback in industrial innovation and commercial growth. Nevertheless, urban life remained vibrant, publishing continued, and popular drama in particular matured.
During the Song dynasty the culture and way of life of the scholarly gentleman acquired a characteristic style that lasted for centuries. The decline of aristocratic habits and ideals, the increase in wealth, the intellectual excitement caused by the revival of Confucian teachings, and the great growth in importance of the examination system for recruitment to office probably all influenced this development. From the Song to the end of imperial China, the way of life of educated men who aspired to hold office or move in cultivated circles involved years if not decades of intensive study, the formation of close student-teacher relationships that could last a life-time, and often the cultivation of artistic, literary, or antiquarian interests. During the Yuan dynasty, although many upper-class men found political careers impossible or uninviting, their intellectual, literary, and artistic pursuits were not hampered and indeed seem to have thrived.
## 32 **
THE TANGUTS AND THEIR RELATIONS WITH THE HAN CHINESE**
_Through most of Chinese history the dry northern and northwestern fringes of China proper were settled by nomadic or seminomadic people speaking a variety of languages. Conquests, alliances, confederations, and migrations led to continually shifting political alignments and ethnic mixes. From late Tang times on the Tanguts were dominant in the Gansu corridor and surrounding areas. Their ruling clan claimed descent from the rulers of the Northern Wei dynasty, one of the non-Han states in the Northern and Southern dynasties. They helped the Tang court suppress the Huang Chao rebellion in 881 and were able to consolidate their power during the tenth century when China proper was fragmented. In 1038 the ambitious and forceful ruler Weiming Yuanhao (r. 1032-1048) proclaimed their state the Xia with himself as its third emperor, an act which led to a brief war with the Song and a treaty of compromise in 1044. When the Jurchen took North China in 1126, the Tanguts were able to preserve their independence and the twelfth century witnessed a cultural flowering when many translations of Chinese and Tibetan texts as well as original works were published in the Tangut language. In 1227 the Xia state fell to the Mongols._
_The three pieces below touch on different aspects of Tangut ethnic identity and place in the larger Sino-centric world. The first is a collection of maxims, proverbs, and aphorisms, revealing something of the cultural ethos of the Tanguts. The second is the letter sent from the Tangut ruler to the Song emperor in 1038 announcing his decision to take the title emperor. The third is the preface to a bilingual aid for studying Tangut and Chinese written in 1190._
#### **
TANGUT PROVERBS, MAXIMS, AND SAYINGS**
Tanguts walk briskly and boldly ahead; Khitans step with a slow gait; Tibetans for the most part revere Buddha and monks; Chinese all love worldly literature; Tugu drink sour milk; Shanguo people adore buckwheat.
Mother's beauty is warmer than a thousand white suns, father's wisdom is brighter than ten thousand red moons.
Daughters from mother's clan are parted unfairly, sons from father's clan meet in full right.
Mother's clan was there in the past and will be there in the future; valor, beautiful birds, and sorrow all disappear.
There are no better intimates than father and mother, no meat tastier than meat off the bones.
To drink up the dregs after a friend is not offensive, to put on an ugly dress does not make you a monster.
Waiting for the dowry, the bride grows old; beginning to advance in office, death comes.
If you don't know proverbs well, you will be unable to converse; if you have few horses and yaks, you will not sing to your hearts' content.
You may eat ten bags of fruit, but will not escape from revenge; you may have ten daughters, but will not avoid being called childless.
If one person stands behind another, it does not make him weaker; if one member of the council sits behind another, his worth is not debased.
Having sold the goods and reaped the profits, do not neglect the accounts; closed eyes do not help the blind to fall asleep.
Even if you refrain from taking part in war, will you really live forever? Even if you are thrifty, will your cattle really not perish?
If the Tanguts lose their sense, Heaven and earth lose their sense.
Evil follows after good; ugliness stands behind beauty.
Beauty and vision are two sisters, wealth and reason two brothers.
Stupid children, even after growing up, argue with one another; a wild horse kicks even in the stall.
In the depths of the river the current is calm; broad learning does not overrate itself.
A good shaman does not heal himself; a bright lamp does not illumine its own interior.
Loving honesty and beauty will not make you a nobleman; gaining power will not bring you virtue.
Those families who love one another ally their households; the one with whom you desire to sleep—marry.
A man with a meager salary will be diligent in office; an unattractive woman will be true to her husband.
#### **
WEIMING YUANHAO'S LETTER TO THE SONG EMPEROR RENZONG, 1038**
My ancestors were originally emperors of the Later Wei, for the old state of Helian is the legacy of the Tuoba. During the Tang, my distant ancestor Sigong led troops to rescue the court from peril and was granted the imperial surname. My grandfather Jiqian deeply grasped the requirements of strategy, held fast to Heaven's omen, grandly raised the righteous banner, and completely subdued all the tribes. The five districts by the Yellow River submitted at once; the seven prefectures along the border all surrendered. My father Deming inherited this great undertaking, perforce following the [Song] court's orders. The name of your great king made itself felt far and wide; our insignificant fief was explicitly received in an act of severing and sharing.
For my part, I, your servant, have managed to create a humble script for writing the Tangut language. I have also altered the great Han official dress, unified the five musical tones, and reduced the ritual bow from nine prostrations to three. Now that the dress regulations have been completed, the script put into effect, the rites and music made manifest, the vessels and implements prepared, the Tibetans, Tatars, Changye, and Jiaohe [Uighurs] have all recognized my sovereignty. Not satisfied with the title of king, these vassals insist that I be titled emperor. Converging without end until the mountains rang with their assembly, humbly they begged for a united land with one border, a "country often thousand chariots." I repeatedly declined, but the assembled crowd kept pressing, until I had no choice in the matter. Therefore on the eleventh day of the tenth month, an altar was erected and I was enthroned as Shizu, Originator of Literature, Rooted in Might, Giver of Law, Founder of Ritual, Humane and Filial Emperor. My country is called Great Xia, and the reign era is called "Heaven-Conferred Rites, Law, and Protracted Blessings."
I humbly look to Your Majesty the emperor, in your profound wisdom and perfection, whose benevolence extends to all things, to permit me to be invested as the "ruler facing south" in this western land. I shall exert myself to maintain our good relations. As the fish come and the birds go, so will be transmitted the sounds of our neighboring states; as the earth is old and Heaven spacious, so long will I subdue disturbances along the border. In utmost sincerity I beseech you, humbly awaiting the imperial affirmation. I have respectfully sent the envoys Nushe Eji, Nisimen, Wopu Lingji, and Kuiyaini to submit this message.
#### **
PREFACE TO A TANGUT-CHINESE GLOSSARY, BY GULE MAOCAI (1190)**
Gentlemen must all study if they are not to forget themselves in serving others' interests. Gentlemen must also all teach if they are not to abandon others for their own interests. By studying they complete themselves with wisdom; by teaching with benevolence they benefit others.
As for the Tangut and Chinese scripts, in their particulars they are different, but if you compare their roots, they are the same. Why? Because former and later sages always held to the same principles; thus, people of today should be able to master both the Tangut and Chinese languages. Not knowing Tangut, one cannot go among the Tanguts; likewise, if one does not study Chinese, then how can one get along with the Chinese people? So when a wise man appears among the Tanguts, the Chinese do not respect him, and when a sage appears among the Chinese, the Tanguts do not trust him. This is all because the languages are not the same.
Given this situation, how could I, Maocai, having studied both Tangut and Chinese, dare to remain silent and invite shame? Thus, I have compiled a book for studying the Tangut and Chinese languages, arranging it according to the three powers [of Heaven, earth, and man]. In every case the words and phrases have been recorded clearly; differences in pronunciation have been noted according to type. Where the pronunciation is missing, the instructor should correct it. The phrases given are commonplace ones so that students will easily comprehend them. I have named the book, "Timely Pearl in the Palm." When the wise see it, they may heap ridicule on it, but hopefully will not curse it.
_Translated by Ruth Dunnell_
## 33 **
BOOK OF REWARDS AND PUNISHMENTS**
_With the spread of printing came the frequent publication of moral and religious tracts, our surest sources for popular values and attitudes. From the Song through the Qing dynasties, the brief Rook of Rewards and Punishments was perhaps the most popular and widely circulated of these tracts. It is usually classified as a work of popular Daoism, probably because its text is anachronistically attributed to Laozi. In fact, like most other tracts, it is a highly eclectic product. The Buddhist concepts of karma and salvation run throughout the piece. The importance of retribution, immortality, nature, and cosmology stem largely from Daoist notions. Nevertheless, many of the virtues extolled are traditional Confucian ones._
The grand elder [i.e., Laozi] has said that calamity and misfortune cannot gain entrance of their own into a person's life; it is the individual alone who calls them in. Good and evil are requited as automatically as shadow follows form. In keeping with this principle, Heaven and earth have spirits who judge transgressions. These spirits take into account the lightness or gravity of the evil deeds that human beings have committed and then deduct from those individuals' life spans correspondingly. After diminishing the culprits' life expectancy, they reduce them to poverty and visit upon them innumerable calamities. Everyone comes to hate them. Punishment and misfortune pursue them wherever they go; happiness and pleasure flee from them. An unlucky star torments them. When their allotted time is up, death claims them. There are also spirit rulers of the constellations of Three Towers and Northern Scoop, who reside far above the heads of people and who keep track of their foul deeds and wickedness. They may shorten an individual's life a hundred days or twelve years. There are also three spirits of the body, which reside within the human organism. On each gengshen day [once every sixty days] they ascend to the heavenly ruler and inform him of the transgressions and harmful deeds of the people over whom they watch. On the last day of the month the kitchen god does likewise. When individuals have been found guilty of a serious transgression, they are punished by a loss of twelve years from their allotted life span. For minor transgressions, they suffer the loss of one hundred days of life.
There are hundreds and hundreds of occasions for transgressions, large and small. People who want to achieve immortality must first of all avoid these occasions. They must recognize the path of righteousness and enter upon it; they must recognize the way of evil and stay clear of it. They do not tread the byways of depravity, nor do they poke into the private affairs of others. They accumulate virtue and gain merit and have compassion for all living things. They exhibit loyalty to their ruler, filial obedience to their parents, true friendship to their older brothers. By conducting themselves with propriety, they influence others. They take pity on orphans and are kindly toward widows; they venerate the elderly and are warmhearted toward the young. They will not permit themselves to do any harm even to an insect, a plant, or a tree. They consider it proper to feel sorry when others suffer misfortune and to rejoice when others enjoy good fortune, to aid those in need and to assist those in danger. They look upon the achievements of others as if they were their own achievements, and they regard the failures of others as if they were their own failures. They do not dwell on the shortcomings of others, nor do they brag about their own strong points. They put a stop to what is evil and praise what is good. They give much and seek little. They accept honors only with misgivings. They show favor to people without seeking anything in return. When they share things with others, they do not regret it later. They are called good people and everyone reveres them. The Way of Heaven protects them from harm. Happiness and good fortune follow them everywhere; the depravities of the world keep their distance from them. The spirits watch over them; whatever they undertake results in success. Thus, they can hope to become immortal. Individuals who desire to achieve heavenly immortality should establish in themselves the thirteen hundred good qualities, and those who aim for earthly immortality should establish within themselves the three hundred good qualities.
Evil persons, on the other hand, are devoid of righteousness, as their actions reflect. They turn their backs on the correct principle and equate wickedness with capability. They act heartlessly and do injury and harm. In stealth they rob the law-abiding. They insult their ruler and their parents behind their backs. They are rude to their teachers and rebellious toward those they are supposed to serve. They deceive the ignorant and slander their fellow students. They are treacherous and lying and bring charges against their ancestors. They are perverse, without human-heartedness, vicious, and selfish. Their priorities of right and wrong are out of place, and they turn their backs on their duties.
In office they are tyrannical toward their subordinates and take credit for their work, while at the same time being obsequious toward their superiors and currying their favor. If they receive some kindness, they show no gratitude. They brood over grievances incessantly. They are contemptuous of the common people and bring disorder and confusion into the state. They extend rewards to the unrighteous and dole out punishments to the innocent. They will have some people executed to get their hands on their wealth and will have other people fired from their jobs to grab their positions. In war they kill those they have captured and slaughter those who have surrendered. They dismiss the upright, dispose of the virtuous, mistreat orphans, and harass widows. They ignore the law and take bribes. They take straight for crooked and crooked for straight, treating light crimes as grave ones and watching the resultant executions with glee. They know that they are doing wrong but refuse to change; they know what is right but refuse to act upon it. They blame others for their own wickedness. They obstruct the arts and sciences. They slander wisdom and morality, insult the Way and virtue.
Evil persons shoot creatures that fly and hunt those that run, stirring up hibernating animals and rousing roosting fowl. They block up animals' dens and overturn birds' nests, injuring hens and breaking their eggs. They hope for others' ill-fortune and ruin in order to secure advantage for themselves. They let others bear risks to preserve their own safety and fleece people to enrich themselves. They present things of poor quality as good. They disregard the public good for their own private advantage. They take credit for others' achievements. Concealing others' good points, they exaggerate their bad points. They expose people's private affairs. They squander the wealth of the nation. They break up friends and families. They insult the things people love. They lure others into doing evil. They get their way by intimidating people to seek triumphs by ruining others. They destroy crops while they are just sprouting up and flowering. They break up marriages. If they have ill-gotten wealth, they bristle with pride over it. They shamelessly shirk the responsibility for their acts. Quick to claim credit, they are equally quick to deny fault. They are like marriage brokers who wed people to misfortune and like peddlers who sell people evil.
Evil people buy themselves false reputations. Their hearts are nests of wicked intentions. They deprecate the strong points of others while covering up their own shortcomings. They use power tyrannically to intimidate others, not hesitating to inflict cruel and even fatal injury on people. They cut up cloth without cause and cook animals they have slaughtered senselessly, waste the five grains, mistreat animals and other living creatures, wreck people's homes, confiscate their wealth, and destroy their homes by letting loose floods and starting fires. They throw the plans of others into confusion and thereby thwart their achievements. They break tools and make them worthless to workers. When they see others prosper, they desire to have them censured and exiled. If they encounter a rich and prosperous man, they hope he will be brought to ruin. At the sight of a beautiful woman, their hearts brim over with lust. Having borrowed, they wish their creditors would die to avoid repaying them. If their wishes are not met, they curse and burn with hatred. When they notice others having a bit of bad luck, they say it must be recompense for their transgressions. When they see persons who are deformed and crippled, they laugh at them. They play down any praiseworthy talents they observe in others. They resort to magic to get rid of their enemies and use poison to kill trees. They fly into a rage at their teachers and are obstinate toward their elders. They go to violent extremes to satisfy their lusts and desires. They are more than happy to employ tricks and mischief to achieve their ends and gain wealth by plundering. Promotion they seek by cunning and deceit. They are unfair in rewarding and punishing. In indulging their pleasures they go beyond all moderation. They are cruel and severe to those below them, loving to instill fear in people.
Evil persons murmur against Heaven, blame others, curse the wind, and decry the rain. They engage in quarrels and lawsuits. Foolheartedly they become involved in cliques and factions. They use women to advise them and do not follow the teachings of their parents. As soon as they find something new, they abandon the old. They say "yes" with their mouths when their hearts say "no." They covet riches and take advantage of their superiors by deceiving them. They invent wicked stories to defame and ruin innocent people; and while defaming others, they praise their own straightforwardness. They slander the spirits and boast of their own rectitude. They reject virtue and adopt rebelliousness. They turn their backs on those who are close to them and embrace distant acquaintances. They call on Heaven and earth to witness their misdeeds. If they give something away, they soon regret it. They will borrow money with no intentions of repaying it. They crave those things they have no right to attain. They bend every effort to make an extravagant display.
Evil people's lustful desires go beyond all restraint. Although their hearts are poisonous, they put on a compassionate demeanor. They sell people contaminated food to eat; they deceive people by teaching falsehoods. They give a short foot, a narrow measure, a light pound, a small pint; they take the bad and mix it in with the good, trying to pass the whole lot off as top quality. In such ways they accumulate dishonest profits. They lure good people into disgraceful acts, deceiving and tricking the ignorant. Their avarice is insatiable. They curse those who seek rectitude. Their drunkenness leads them to sedition. They fight with their families.
A man with these evil traits is without loyalty and virtue, a woman without kindness and obedience. Men like this do not live in harmony with their wives. Women of this sort do not respect their husbands. On every occasion such men love to brag, such women are moved by jealousy. Such men act badly toward their wives and children; such women show no sense of propriety before their fathers-in-law and mothers-in-law. These evil people treat the spirits of their ancestors with contempt. They disobey the orders of their superiors. Their activities benefit no one. They revel in duplicity. They curse themselves and others. Both their loves and their hatreds are based on prejudice.
These evil people skip over wells and hearths and jump over food and people [all of which exhibits a great disrespect for the spirits]. They commit infanticide and perform abortions. Many are their dark and depraved activities! On the sacred days at the end of the month and at the end of the year, they sing and dance with great frivolity. On the first of the month and in the mornings they shout and curse. They snivel, spit, and even urinate toward the north [which is the position of the emperor and the gods]. They hum, sing, and even cry in front of the hearth [which is the dwelling place of the kitchen god]. Moreover, they use the fire of the hearth to burn incense. They light filthy firewood to cook their food. They lounge around at night shamelessly naked. They inflict punishments during the eight prohibited periods of the year. They spit at shooting stars and point at the rainbow [by which they manifest their disdain for cosmological phenomena]. They point at the stars unceremoniously and regard the sun and the moon with disrespect. They go hunting and burn wood during the prohibited spring months, curse foully in the direction of the north, and without any reason kill tortoises and hack up snakes [which act as representatives of the gods].
For this sort of wickedness the judge of destiny shortens the culprit's life span twelve years or one hundred days, depending on the gravity of the offenses. Should sentence be passed and death occur without the complete expiation of the crimes, then retribution is extended to the sons and grandsons. In cases in which a man has swindled another person out of his money, the burden of restitution is reckoned and passed on to his wife, his children, and all his household to be made good until sooner or later death devours them all. If death itself does not take them, then they are visited by such calamities as floods, fires, robberies, disinheritance, loss of property, disease, and slander in order to make restitution for the crime. In cases in which people kill others unjustly, it is as if they were to hand over their swords so that they themselves in turn could be slain. In cases in which people have acquired ill-gotten wealth, it is just as if they had gulped down rotting meat to satisfy their hunger or had drunk poisoned wine to quench their thirst: they derive a short-lived satisfaction, but death soon ensues. But if within their hearts people rise toward goodness, even if they have not yet achieved it, the spirits of good fortune will watch over them. On the other hand, if within their hearts people wink toward evil, even if they have not yet been totally debased, the spirits of misfortune will pursue them.
A person who has been guilty of doing evil but later changes, repents, ceases to indulge in wickedness, and follows the good completely can attain happiness and success little by little. This can be called changing disaster into blessing.
Therefore, good people are of virtuous speech, virtuous demeanor, and virtuous behavior. If they maintain these three modes of virtue every day, in three years' time Heaven will definitely shower them with its blessings. Wicked people are of evil speech, evil demeanor, and evil behavior. If they maintain these modes of evil every day, in three years' time Heaven will definitely rain down disaster upon them. How then can we not but endeavor to act properly!
_Translated by Mark Coyle_
## 34 **
PRECEPTS OF THE PERFECT TRUTH DAOIST SECT**
_Buddhist and Daoist monks were familiar figures in villages and towns throughout China. Even areas that had no monasteries nearby undoubtedly had a few temples or shrines taken care of by monks or priests, who could also perform religious ceremonies for the local residents. Monks, like doctors, geomancers, and merchants, were usually literate and educated in their specialty. Learned monks associated with leading scholars, but the typical monk would have been more likely to mix with townsmen and prosperous farmers._
_The outlook and behavior of monks was shaped by their study of classical religious texts as well as the traditions and practices of the sect to which they belonged. The selection below sets forth the founding principles of the Perfect Truth_ (Quanzhen) _Daoist sect. The twelfth and thirteenth centuries witnessed a Daoist reformation, which culminated in the formation of three reform Daoist sects. These sects preached a rejection of the alchemical and magical practices characteristic of the preceding centuries. Perfect Truth, the largest of the three, was founded by an eccentric ascetic, Wang Zhe (b. 1180), and represented a fusion of the "Three Teachings" (Daoism, Buddhism, and Confucianism). Although the Perfect Truth sect eventually reincorporated much of the popular beliefs and magic it had originally rejected, it outlived the other two sects and has remained the most prominent Daoist sect into the twentieth century. The founding principles given below were directed primarily at Daoist monks and concern matters of both doctrine and monastic practice._
#### **
ON THE CLOISTERED LIFE**
All those who choose to leave their families and homes should join a Daoist monastery, for it is a place where the body may find rest. Where the body rests, the mind also will gradually find peace; the spirit and the vital energy will be harmonized, and entry into the Way _(Dao)_ will be attained.
In all action there should be no overexertion, for when there is overexertion, the vital energy is damaged. On the other hand, when there is total inaction, the blood and vital energy become sluggish. Thus a mean should be sought between activity and passivity, for only in this way can one cherish what is permanent and be at ease with one's lot. This is the way to the correct cloistered life.
#### **ON CLOUD-LIKE WANDERING**
There are two kinds of wandering. One involves observing the wonders of mountains and waters; lingering over the colors of flowers and trees; admiring the splendor of cities and the architecture of temples; or simply enjoying a visit with relatives and friends. However, in this type of wandering the mind is constantly possessed by things, so this is merely an empty, outward wandering. In fact, one can travel the world over and see the myriad sights, walk millions of miles and exhaust one's body, only in the end to confuse one's mind and weaken one's vital energy without having gained a thing.
In contrast, the other type of wandering, cloudlike wandering, is like a pilgrimage into one's own nature and destiny in search of their darkest, innermost mysteries. To do this one may have to climb fearsome mountain heights to seek instruction from some knowledgeable teacher or cross tumultuous rivers to inquire tirelessly after the Way. Yet if one can find that solitary word which can trigger enlightenment, one will have awakened in oneself perfect illumination; then the great matters of life and death will become magnificent, and one will become a master of the Perfect Truth. This is true cloud-like wandering.
#### **
ON BOOK-LEARNING**
In learning from books, one who merely grasps onto the literal sense of words will only confuse his eyes. If one can intuit the true meaning behind the words and bring one's heart into harmony with it, then the books themselves can be discarded. One must therefore first attain an understanding of meanings and locate the principles behind them; then one should discard the principle and internalize the meaning into one's heart. When the meaning is understood, then the mind will withdraw from externals, and in time will naturally become responsive to reality. The light of the mind will overflow, the spirit of wisdom will become active, and no problem will be insolvable.
Thus one should diligently cultivate the inner self, never letting one's mind run wild, lest one lose his nature and destiny. If one cannot fully comprehend the true meanings of books, and only tries to read more and more, one will end up merely jabbering away before others, seeking to show off one's meager talent. This will not only be detrimental to one's self-cultivation but it may do harm to one's spirit and vital energy. In short, no matter how many books one reads, they will be of no avail in attaining the Way. To understand fully the deep meaning of books, one must incorporate them into one's mind.
#### **
ON THE ART OF MEDICINE**
Herbs are the treasures of the hills and the waters, the essence of the grass and the trees. Among the various herbs there are those which are warm and those which are cold; properly used, they can help in supplying elements to or eliminating them from the body. There are active and less active medicines, those that work externally and internally. Therefore people who know thoroughly the power of herbs can save lives, while those who do not will only do further harm to the body. Therefore the man of the Way must be expert in this art. But if he cannot be, he should not pursue it further because it will be of no use in the attainment of the Way and will even be detrimental to his accumulation of merits. This is because those who pride themselves in such knowledge crave after worldly goods, and do not cultivate the truth. They will pay for such transgression either in this life or the next. The Perfect Truth Daoist must pay heed to this.
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ON RESIDENCE AND COVERING**
Sleeping in the open air would violate the sun and the moon, therefore some simple thatched covering is necessary. However, it is not the habit of the superior man to live in great halls and lavish palaces, because to cut down the trees that would be necessary for the building of such grand residences would be like cutting the arteries of the earth or cutting the veins of a man. Such deeds would only add to one's superficial external merits while actually damaging one's inner credits. It would be like drawing a picture of a cake to ward off hunger or piling up snow for a meal—much ado and nothing gained. Thus the Perfect Truth Daoist will daily seek out the palace hall within his own body and avoid the mundane mind which seeks to build lavish external residences. The man of wisdom will scrutinize and comprehend this principle.
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ON COMPANIONSHIP**
A Daoist should find true friends who can help each other in times of illness and take care of each other's burials at death. However he must observe the character of a person before making friends with him. Do not commit oneself to friendship and then investigate the person's character. Love makes the heart cling to things and should therefore be avoided. On the other hand, if there is no love, human feelings will be strained. To love and yet not to become attached to love—this is the middle path one should follow.
There are three dimensions of compatibility and three of incompatibility. The three dimensions of compatibility are an understanding mind, the possession of wisdom, and an intensity of aspiration. Inability to understand the external world, lack of wisdom accompanied by foolish acts, and lack of high aspiration accompanied by a quarrelsome nature are the three dimensions of incompatibility. The principle of establishing oneself lies in the grand monastic community. The choice of a companion should be motivated by an appreciation of the loftiness of a person's mind and not by mere feelings of external appearance.
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ON SITTING IN MEDITATION**
Sitting in meditation which consists only of the act of closing the eyes and seating oneself in an upright position is only a pretense. The true way of sitting in meditation is to have the mind as immovable as Mount Tai all the hours of the day, whether walking, resting, sitting, or reclining. The four doors of the eyes, ears, mouth, and nose should be so pacified that no external sight can be let in to intrude upon the inner self. If ever an impure or wandering thought arises, it will no longer be true quiet sitting. For the person who is an accomplished meditator, even though his body may still reside within this dusty world, his name will already be registered in the ranks of the immortals or free spirits and there will be no need for him to travel to far-off places to seek them out; within his body the nature of the sage and the virtuous man will already be present. Through years of practice, a person by his own efforts can liberate his spirit from the shell of his body and send it soaring to the heights. A single session of meditation, when completed, will allow a person to rove through all the corners of the universe.
#### **
ON PACIFICATION OF THE MIND**
There are two minds. One is quiet and unmoving, dark and silent, not reflecting on any of the myriad things. It is deep and subtle, makes no distinction between inner and outer, and contains not a single wandering thought. The other mind is that mind which, because it is in contact with external forms, will be dragged into all kinds of thoughts, pushed into seeking out beginnings and ends—a totally restless and confused mind. This confused mind must be eliminated. If one allows it to rule, then the Way and its power will be damaged, and one's nature and destiny will come to harm. Hearing, seeing, and conscious thoughts should be eliminated from all activities, from walking, resting, sitting, or reclining.
#### **
ON NURTURING ONE'S NATURE**
The art of cultivating one's nature is like that of playing on the strings of a musical instrument: too great a force can break the string, while too weak a pull will not produce any sound; one must find the perfect mean to produce the perfect note. The art of nurturing one's nature is also like forging a sword: too much steel will make the sword too brittle while too much tin will make it too malleable. In training one's nature, this principle must be recognized. When it is properly implemented, one can master one's nature at will.
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ON ALIGNING THE FIVE PRIMAL ENERGIES**
The Five Primal Energies are found in the Middle Hall. The Three Primal Energies are located at the top of the head. If the two are harmonized, then, beginning with the Green Dragon and the White Tiger [the supreme Yin-Yang pair], the ten thousand gods in the body will be arranged in perfect harmony. When this is accomplished, then the energy in the hundred veins will flow smoothly. Cinnabar [symbol for nature] and mercury [symbol for destiny] will coalesce into a unity. The body of the adept may still be within the realm of men, but the spirit is already roving in the universe.
#### **
ON THE UNION OF NATURE AND DESTINY**
Nature is spirit. Destiny is material energy. When nature is supported by destiny it is like a bird buoyed up and carried along by the wind—flying freely with little effort. Whatever one wills to be, one can be. This is the meaning in the line from the _Classic of the Shadowy Talismans:_ "The bird is controlled by the air." The Perfect Truth Daoist must treasure this line and not reveal its message casually to the uninitiated. The gods themselves will chide the person who disobeys this instruction. The search for the hidden meaning of nature and mind is the basic motif of the art of self-cultivation. This must be remembered at all times.
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ON THE PATH OF THE SAGE**
In order to enter the path of the sage, one must accumulate patiently, over the course of many years, merit-actions and true practices. Men of high understanding, men of virtue, and men who have attained insight may all become sages. In attaining sagehood, the body of the person may still be in one room, but his nature will already be encompassing the world. The various sages in the various Heavens will protect him, and the free spirits and immortals in the highest realm of the nonultimate will be around him. His name will be registered in the Hall of the Immortals, and he will be ranked among the free spirits. Although his bodily form is in the world of dust, his mind will have transcended all corporal things.
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ON TRANSCENDING THE THREE REALMS**
The three realms refer to the realms of desire, form, and formlessness. The mind that has freed itself from all impure or random thoughts will have transcended the first realm of desire. The mind that is no longer tied to the perception of objects in the object-realm will have transcended the realm of form. The mind that no longer is fixed upon emptiness will further transcend the realm of formlessness. The spirit of the man who transcends all three of these realms will be in the realm of the immortals. His nature will abide forever in the realm of Jade-like Purity.
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ON CULTIVATING THE BODY OF THE LAW**
The body of the law is formless form. It is neither empty nor full. It has neither front nor back and is neither high nor low, long nor short. When it is functioning, there is nothing it does not penetrate. When it is withdrawn into itself, it is obscure and leaves no trace; it must be cultivated in order to attain the true Way. If the cultivation is great, the merit will be great; if the cultivation is small, the merit will be small. One should not wish to return to it, nor should one be attached to this world of things. One must allow nature to follow its own course.
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ON LEAVING THE MUNDANE WORLD**
Leaving the mundane world is not leaving the body; it is leaving behind the mundane mind. Consider the analogy of the lotus; although rooted in the mud, it blossoms pure and white into the clear air. The man who attains the Way, although corporally abiding in the world, may flourish through his mind in the realm of sages. Those people who presently seek after nondeath or escape from the world do not know this true principle and commit the greatest folly.
The words of these fifteen precepts are for our disciples of aspiration. Examine them carefully!
_Translated by Whalen Lai and Lily Hwa_
## 35 **
WANG ANSHI, SIMA GUANG, AND EMPEROR SHENZONG**
_The Song was in many ways the great age of the scholar-official. Economic growth, urbanization, and printing facilitated a flowering of poetry, painting, calligraphy, and appreciation of antiques. Opportunies for education increased, and the expanded civil service examination system brought scholars into government service in larger numbers than ever before. There was renewed interest in Confucian scholarship and renewed determination to use Confucian principles to reform the practice of government._
_Scholars could, of course, disagree about which Confucian ideas were most relevant and how to apply them to current circumstances. When Emperor Shenzong (r. 1067-1085) took the throne at age twenty, he was impressed with the ideas of Wang Anshi (1021-1086), an experienced official admired also for his poetry and classical learning. Wang wanted thoroughgoing reform of fiscal administration down to the local level. Many other well-respected scholars and literati opposed his plans. The early stages of these disagreements are revealed in the three pieces below. The first is Sima Guang's (1019-1086) record of how he and Wang Anshi debated an issue of government expenditures in front of the emperor in 1067. It is followed by letters they exchanged in 1070 after the first of Wang's policies had been put into effect. The rift between these two continued to widen as Wang's opponents were forced out of office. For two generations, long after the deaths of the emperor, Wang, and Sima, scholar-officials were deeply divided on the appropriateness of these policies._
#### **
SIMA GUANG'S ACCOUNT OF A DEBATE AT COURT**
At the Yanhe Hall, Wang Kui, Wang Anshi, and I all presented petitions on the issue of the gifts granted to high officials at the occasion of the state sacrificial ceremonies. I said, "The country is currently short of funds and disasters occur repeatedly. Unnecessary expenses should be cut. The high statesmen who have access to the throne should set an example. Therefore, it is appropriate to let the two superior prefects have their wish in declining the gifts."
Wang Anshi countered, "Our country abounds with resources. The gifts granted to high officials cost very little. To stop giving them out of stinginess will not help enrich the country but only damage the prestige of the government. Formerly, when Chang Gun declined a reward, his contemporaries assumed it was because he knew that his request would not be granted. The two superior prefects' declining the gifts granted them is exactly the same. The present shortage of funds is not particularly pressing."
I answered, "That Chang Gun resigned his post showed his humility. Wasn't he much better than those who keep their posts out of greed for salary? Our country has been short of funds since the end of Zhenzong's reign [997-1022]. The situation in recent years is particularly bad. How can you say it is not a pressing matter?"
Wang Anshi replied, "That the country is short of funds is because the government has not found someone good at finance."
"Financial experts," I said, "do nothing but impose heavy and annoying taxation on the people in order to drain their wealth. As a result, the common people are driven to poverty and end up refugees or bandits. How is this to the benefit of the country?"
"That does not describe a financial expert," he replied. "A financial expert raises more than enough revenue for the country without imposing heavy taxation on the people."
I countered, "These are exactly the words Sang Hongyang used to deceive Emperor Wu of the Han. Sima Qian only recorded them to show Emperor Wu's naivete. The things produced by Heaven or earth are finite. They are owned either by the people or by the government. The rich resources that Sang Hongyang got for the government must have been extracted from the people. Where else could he get them? If things had worked the way Sang Hongyang said, why near the end of Emperor's Wu reign were there so many uprisings that required troops to suppress? Wasn't it because the people had been so exhausted that they sank into banditry? How could you take Sang Hongyang's words as truth?"
"During the reign of Taizu," Wang Anshi responded, "men like Zhao Pu were the grand councillors. The gifts granted to them sometimes amounted to several tens of thousands of cash. Today the gifts granted to high officials come to no more than three thousand cash. This cannot be considered too much."
I answered, "Zhao Pu and his contemporaries devised the strategies that helped conquer the other states. Wasn't it appropriate to reward them with tens of thousands of cash? In the current case, the two superior prefects merely assisted in the sacrificial ceremonies. They did nothing but report to the throne, strictly carry out orders, prepare the water for hand washing, and offer towels. What service have they rendered? How could they be compared with men like Zhao Pu?"
My arguments with Wang Anshi went on and on. Wang Gui summed them up, "Sima Guang says that the policy of cutting expenses should start with the statesmen who have access to the throne. In this regard he is right. Wang Anshi says that the expenses for the gifts are slight and to save them might discredit the government. In this he is right. Only Your Majesty can make a final decision."
#### **
A LETTER FROM SIMA GUANG TO WANG ANSHI**
_dated 27th day of the second month of 1070_
For a long time you and I have been debating issues at court and frequently disagreeing. I do not know whether you have given this much thought, but it has not changed my affection for you. You have enjoyed an excellent reputation for over thirty years. You are exceptionally talented and learned....
The emperor selected you to participate in court councils because people had high expectations for you. But now that you have been in charge for nearly a year, scholars in and out of government all criticize you. Even poor villagers, petty clerks, and soldiers all resent you.... Scholars who are not your followers all say you have gotten control of the ruler and monopolized the government. They commonly think that opposing you would just invite trouble and so is not as good as simply waiting two or three months for you to defeat yourself. These sorts are not merely disloyal to you, they are disloyal to the emperor. If you in fact carry out your plans for two or three years, the harm to the dynasty will be so serious that it will be hard to salvage the situation....
Those who most detest you repeat all sorts of slanders about you. I know that much of this is false. You may not be a great sage, but your fault lies in trying too hard and having too much confidence in yourself. How can I put it? Since antiquity the way sages have governed has been by delegating specific responsibilities to each office and holding each official accountable for fulfilling his duties. The sages looked after the interests of the common people simply by lightening taxes, imposts, and other burdens. In your opinion, this is conventional Confucian blather, not worthy of attention. You want to achieve what the ancients never achieved, and so you do not entrust finance to the finance commission but manage it yourself. You have even set up a new commission on regulations and selected literary scholars and men who understand finance to discuss making profit. Confucius said, "The man of virtue talks about moral principles. Inferior men talk about profit."... These men who talk of profit all clamor to be heard, each competing to see how cleverly they can change the inherited ways. In all probability the gains will not make up for the losses, nor what is added compensate for what is destroyed. They just want to come up with some original idea to get a reputation. This causes enough harm in and of itself.
You have also set up the ever-normal granaries and sent out more than forty commisioners to institute the New Policies throughout the country. First the commissioners distribute funds for the "green sprout" loans, then they want to get the ordinary households to pay cash to commute their labor service, then they want to seek ways to promote irrigation. Although you tried to select talented men to do this work, among them are some who are weak or careless, who offend the local officials or disturb the common people. Thus the scholar-officials are alienated and the farmers and merchants go bankrupt. Criticisms pour forth and complainants fill the roads.... Confucius said that a man of virtue should seek the fault in himself. You also ought to think about how this happened. You cannot lay all the blame on everyone else.
Overstepping official duties and confusing the organization of the government are policies that you deliberately adopted. You insisted on having the government get into the vulgar business of lending money. Since ancient times labor service is something the people have supplied, but you, wanting to get more cash from the people, had them sell their labor. Ordinary people all see that these three policies will not work; you alone thought they were workable. It is not that you are less intelligent than the average person, but that you want to achieve something extraordinary and have contempt for the opinions of ordinary people....
You have always been firm in your views. Whenever you have debated issues in front of the emperor, you act just as you do in arguing with friends in a private home. You do not mince words, but rather hammer home your ideas. When colleagues call on you to discuss issues, only rarely do you agree with them. Those who try to bend to your ways, you treat politely. But if there is the slightest difference, if the caller hints at inconvenient aspects of the New Policies, you fly into a rage and curse him to humiliate him. Sometimes you bring the case up to the emperor to get the person dismissed from office. You do not even let the man get a chance to express his opinion fully. The emperor is broadminded and forgiving, but you resist all remonstrances....
I know very well that the emperor values you more than any of the other officials at court or in the provinces. In deciding on policies, promotions, or dismissals, he trusts in you alone. If you say the policies ought to be abolished, then everyone in the world will benefit. If you say they should be retained, then everyone in the world will suffer. Today the people's happiness and the security of the state all depend on a word from you. You must think of others. Is there anyone without fault? [As it says in the _Analects],_ when a man of virtue is in error, it is as obvious as an eclipse: everyone sees it. When he changes, everyone looks up to him. How has his brilliance been damaged? If you could just suggest to the emperor that he abolish the commision on financial regulations and recall the ever-normal granary commissioners, the peace of the nation would be restored and your ability to correct your mistakes would shine forth. It would not hurt you at all.
I know that what I am proposing is directly counter to your aims. But although our directions are different we have the same goal. You wish to stay in office to carry out your plans to benefit the people. I wish to resign my post to carry out my goal of saving the people. This is what is called being in harmony while differing. Therefore I have dared to explain my concerns to you to fulfill the obligations of our friendship. Whether you accept them or not is up to you....
#### **
WANG ANSHI'S LETTER OF REPLY TO SIMA GUANG**
Yesterday I received your letter of advice. I see that although we have been on friendly terms for so long, our views on issues never coincide, probably because our approach to policy is so often different. Although I would like to reply at length, you probably would not want to read the whole thing, so I will be brief and not explain each and every one of my views. I hope you will read what I write carefully and thoughtfully and not be offended by it.
What Confucian scholars strive so hard to attain is a correspondence between what things are called and what they in fact are. If names and realities are both clear, the world can be managed. Now it is your opinion that I have overstepped my authority, caused trouble, pursued profit, and blocked criticism to the point where everyone in the world is enraged. In my view, I received my orders from the ruler, the policies were discussed in court, and executing them was delegated to the officials. This is not overstepping the authority of my post. I have adopted the policies of the ancient kings to bring about prosperity and relieve distress. This cannot be called causing trouble. To manage the nation's finances cannot be called pursuing profit. Putting an end to malicious slander cannot be called blocking criticism. As for the abundance of resentment, this is something I expected. Customs cannot be changed in a day. Scholar-officials often prefer not to worry about the nation and merely content themselves with the status quo. The emperor wanted to change this. I wished to help him, undaunted by how many might oppose me. When Pan Geng wanted to move the capital [in ancient times], both the common people and the officials objected. Pan Geng did not change his plan because of those who were annoyed by it. Since the plan had been adequately discussed, he saw no reason to reconsider.
You charge me with having served in office for a long time without succeeding in helping the emperor bring real benefit to the people. For this I must accept responsibility. But your argument that what we need today is a policy of doing nothing at all and merely preserving the old ways is something I cannot accept.
My regrets that we could not meet in person to discuss these issues.
_Translated by Patricia Ebrey_
## 36 **
RULES FOR THE FAN LINEAGE'S CHARITABLE ESTATE**
_From the Song dynasty until modern times many Chinese have belonged to organized patrilineal kinship groups called lineages. An important aspect of the strength and durability of these lineages has been the provision for common property handed down in perpetuity in the form of "charitable estates." The income from such property was used to cover lineage expenses and provide material benefits for lineage members. Usually the estates were started by successful men who donated land or money to the lineage._
_Fan Zhongyan (989-1052), a famous statesman, was the first to establish such an estate. The rules he laid down for its use and management are given below. In later generations his descendants made many amendments to these rules to accommodate new situations as the lineage and its property grew, amendments that reflected the dificulty of preventing fraud, keeping competent managers, and maintaining a sense of common goals. Nevertheless, the basic provision set up by Fan Zhongyan survived several centuries._
1. One pint of rice per day may be granted for each person whom a branch has certified to be one of its members. (These quantities refer to polished rice. If hulled rice is used, the amount should be increased proportionately.)
2. Children of both sexes over five years of age are counted in the total.
3. Female servants may receive rice if they have borne children by men in the lineage and the children are over fifteen or they themselves are over fifty.
4. One bolt of silk for winter clothing may be granted for each individual, except children between five and ten years of age who may receive half a bolt.
5. Each branch may receive a rice ration for a single slave, but not any silk.
6. Every birth, marriage, death, or other change in the number of lineage members must immediately be recorded.
7. Each branch should make a list of those entitled to grain rations. At the end of the month the manager should examine these requests. He must not make any prior arrangements or exceed the stipulated monthly rations. The manager should also keep his own register in which he records the quantity due each branch based on the number of its members. If the manager spends money wastefully or makes advance payments to anyone, the branches have the authority to require him to pay an indemnity.
8. For the expenses of marrying a daughter, thirty strings of cash may be granted, unless the marriage is a second one, in which case twenty strings may be granted.
9. For the expenses of taking a first wife, twenty strings may be granted (but nothing for a second wife).
10. Lineage members who become officials may receive the regular rice and silk grants and the special grants for weddings and funerals if they are living at home awaiting a post, awaiting selection, or mourning their parents. They may also receive the grants if they leave their families at home while they serve in Sichuan, Gwangdong, or Fujien, or for any other good reason.
11. For the expenses of mourning and funerals in the various branches, if the deceased is a senior member, when mourning begins, a grant of ten strings of cash may be made, and a further fifteen at the time of the burial. For more junior members, the figures are five and ten strings respectively. In the case of low-ranking members or youths under nineteen, seven strings for both expenses; for those under fifteen, three strings; for those under ten, two strings. No grant should be made for children who die before seven, or slaves or servants.
12. If any relatives through marriage living in the district face dire need or unexpected difficulties, the branches should jointly determine the facts and discuss ways to provide assistance from the income of the charitable estate.
13. A stock of rice should be stored by the charitable estate from year to year. The monthly rations and the grants of silk for winter clothing should start with the tenth month of 1050. Thereafter, during each year with a good harvest, two years' worth of grain rations should be hulled and stored. If a year of dearth occurs, no grants should be made except for the rice rations. Any surplus over and above the two years' reserve should be used first for funeral and mourning expenses, then marriage expenses. If there is still a remainder, winter clothes may be issued. However, if the surplus is not very large, the priorities should be discussed, and the amount available divided up and granted in equitable proportions. If grants cannot be made to all entitled to them, they should be made first to those who have suffered bereavement, next to those with weddings. In cases where more than one death has occurred at the same time, senior members take precedence over junior ones. Where the relative seniority of those concerned is the same, the grant should be made on the basis of which death or burial took place first. If, after paying out the rations and the allowances for marriages and burials, a surplus still remains, it must not be sold off, but hulled and put into storage for use as rations for three or more years. If there is a danger that the stored grain might go bad, it may be sold off and replaced with fresh rice after the autumn harvest. All members of the branches of the lineage will carefully comply with the above rules.
_Tenth month, 1050. Academician of the Zizheng Hall, Vice-president of the Board of Rites, and Prefect ofHangzhou, Fan. Sealed._
_Translated by Patricia Ebrey_
## 37 **
ANCESTRAL RITES**
_The classical ritual texts, such as the Book of Rites and the Book of Etiquette and Ritual, were based on the practices of an age with a social system very different from imperial China's. Hence, although always revered, these classics became less and less useful as practical guides to family rituals. More up-to-date hand-books were regularly written and circulated. Sima Guang (1019-1086) compiled a book with instructions on cappings, weddings, funerals, ancestor worship, forms of address to be used in letters, and other questions of etiquette. A century later Zhu Xi (1130-1200) built on Sima's work to write his Family Rituals, a manual that circulated for centuries and was widely considered the best book to turn to when one wished to perform the rituals correctly._
_Below are the instructions Zhu Xi gave for the rites honoring ancestors. As early as the Shang dynasty ancestor worship had been practiced by nobles. By the Han, at the latest, it had become an important part of the religious life of the common people, involving offerings to recent ancestors in home, at gravesites, or in specially constructed shrines. Domestic ancestral rites played an important part in fostering the solidarity of close relatives, and worship at graves or in temples became important to the formation and coherence of descent groups._
For the seasonal sacrifices, use the second month of the season. During the preceding ten-day period, divine to choose the day.
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Three days before the event practice purification.**
Three days before, the presiding man leads all the men to perform purification in the outer quarters, while the presiding woman leads the women to do the same in the inner quarters. They bathe and change their clothes. If they drink wine, they must not reach the point of disorder; if they eat meat, they must not use strong-smelling condiments (garlic, onions, scallions, and so on). During this period, they should not pay condolence visits to those in mourning, listen to music, or participate in anything inauspicious or unclean. One day before the event, set the places and arrange the utensils.
The men wear the long garment. The presiding man directs them and the attendants to dust and sweep the main room and wash the tables and armrests, making an effort to get everything sparkling clean. Places are set for the great-great-grandparents by the northwest corner of the room, facing south, the grandfather to the west and the grandmother to the east. Each has a table and armrest, but they are adjacent. The great-grandparents, the grandparents, and the parents are lined up in order going east, with places just like the great-great-grandparents. Each generation has a separate place setting; do not connect them. The places for the associated ancestors are all on the east side facing west, with the most senior at the north end. Alternatively, they can be on either side facing across to each other, the most senior on the west side.
The women from the wife down set the incense stand below the steps in the middle of the room. On it are put an incense burner and incense box. A bundle of reeds and pile of sand go in front of the incense table and on the ground in front of each of the ancestors' places. Set a wine rack at the top of the eastern steps and also set a table to the east of it, on which place a wine decanter, a cup for making the libation of wine, a plate, another plate for holding the meat offerings, a spoon, a cloth, a box of tea, a tea whisk, a tea cup, a salt saucer, and a bottle of vinegar. The brazier, hot water pitcher, incense spoon, and tongs go at the top of the western steps. Put a table to the west of them and set the prayer board on it. Set wash basins and towels on both the east and west sides of the base of the ceremonial steps, the western one with a rack. To the east also set up a large bench for laying out the cooked food.
#### **
Inspect the animal offerings, clean the utensils, and prepare the food.**
The presiding man leads the men, dressed in the long garment, to inspect the animal offerings and oversee their slaughter. The presiding woman leads the women, wearing jackets, to clean the sacrificial vessels and prepare the foods for the sacrifice. At each place should be six kinds of fruit, three kinds each of vegetables and dried meat, a plate each of meat, fish, steamed buns, and cakes, a bowl each of soup and rice, a skewer each of liver, and two skewers each of meat. Work to ensure that they are pure and do not let anyone eat them or let cats, dogs, insects, or rodents defile them before the sacrifice takes place.
#### **
The next day get up at daybreak and set out the dishes of vegetables, fruit, wine, and meat.**
The men from the presiding man on down wear the long garment. Along with the attendants, they all go to the place where the sacrifice will be held. They wash their hands and set fruit platters on the south end of the tables at each place, followed by the vegetables, then the dried meat. They set cups and saucers and plates for vinegar and salt at the north end, the cups to the west and the plates to the east. Spoons and chopsticks go in the middle. They set one bottle each of water and wine on the stand. The water first drawn from the well that day should be added to the water, and it goes west of the wine. Light the charcoal in the brazier, and fill the bottle with water. The presiding woman, in a jacket, warms up all the food for the sacrifice till it is very hot, then puts it into boxes and places them on the large bench at the base of the eastern steps.
#### **
When the sun is fully out, take the spirit tablets to their places.**
Everyone, from the presiding man on down, in full attire, washes and dries his or her hands and goes to the front of the offering hall. The men all stand in order, as they did at the rite for reporting the day. The presiding woman stands at the base of the western steps facing north. If the presiding man's mother is alive, she has a special place in front of the presiding woman. Any uncle's wives or aunts come after her. Sisters-in-law and sisters are to the left of the presiding woman. Any of them senior to the presiding man's mother or the presiding woman stands a little forward. Daughters, granddaughters, the wives of sons and grandsons, and female attendants are behind the presiding woman in rows, facing north, in order with the most senior toward the east.
When everyone is standing in place, the presiding man goes up via the ceremonial steps. He puts his official plaque in his belt, lights the incense, then takes out his plaque and reports:
Your filial grandson A, in the second month of spring, now serves your honor, our late great-great-grandfather, of such office, and our late great-great-grandmother, of such title and surname; your honor, our late great-grandfather, of such office, and our late great-grandmother, of such title and surname; your honor, our late grandfather, of such office, and our late grandmother, of such title and surname; your honor, our late father, of such office, and our late mother, of such title and surname. I am making associated offerings to our such-type relative, of such office, and the latter's wife, of such title, surname. I presume to ask the spirit tablets to go to the main room. I reverently extend to them these offerings.
When the report is finished, the presiding man puts his plaque in this belt. He arranges the cases and puts the regular and associated tablets in separate baskets, each basket carried by a different attendant. The presiding man, taking out his plaque, leads the way, with the presiding woman following, and the juniors in the rear. When they get to the main room, they put the baskets on the table by the western steps. The presiding man inserts his plaque, opens each case, and takes out the tablets of the ancestors and puts them by their places. The presiding woman washes, dries, and comes up. She takes the tablets for the ancestresses and does the same with them. For the associated spirits, a son or younger brother takes the tablets. When done, everyone from the presiding man on down comes down and returns to his or her place.
#### **
Greet the spirits.**
Everyone from the presiding man on down stands in order, as in the rites at the offering hall. Once in place, they bow twice. Any of the seniors who is too old or ill can rest elsewhere.
#### **
Invoke the spirits.**
The presiding man goes up and inserts his plaque while he lights incense. He then takes out his plaque, steps back a little, and stands there. One attendant opens the wine and takes a cloth to wipe the mouth of the wine bottle, then fills the decanter with it. Another attendant takes the cup and saucer on the table at the eastern steps and stands to the presiding man's left. A third attendant takes the decanter and stands to the presiding man's right. The presiding man inserts the plaque and kneels. The one holding the cup and saucer also kneels and hands them to the presiding man. Then the one with the decanter also kneels and pours wine into the cup. The presiding man, taking the saucer in his left hand and the cup in his right, pours the wine onto the reeds. He passes the cup and saucer to the attendant, then takes out his plaque. After he prostrates himself, he rises, bows twice, comes down the steps, and resumes his place.
#### **
Present the food.**
The presiding man goes up and the presiding woman follows. One attendant carries a tray of the meat and fish, another a tray of the grain and wheat-flour dishes, another a tray of the soup and rice. When they get to the front of the great-great-grandfather's place setting, the presiding man inserts his plaque and proffers the meat to the south of the cup and saucer while the presiding woman proffers the wheat-flour food to the west of the meat. He then proffers the fish to the south of the vinegar plate while she proffers the grain dishes to the east of the fish. He proffers the soup to the east of the vinegar saucer and she proffers the rice to the west of the cup and saucer. The presiding man then takes out his plaque and proceeds to lay out each of the other regular ancestors' places, but delegates a younger man and woman to lay out the food for the associated ancestors. Once all this is done, everyone from the presiding man on down goes down and back to his or her place.
#### **Make the first offering.**
The presiding man goes up to stand in front of the great-great-grandfather's place. An attendant takes the wine decanter to stand to his right (in winter, first warm it). The presiding man inserts his plaque, takes the cup and saucer for the great-great-grandfather, and stands in front of his place facing east. The attendant, facing west, pours the wine into the cup. The presiding man proffers it in the place used before. Next he takes the cup and saucer for the great-great-grandmother and does the same. Taking out his plaque, he stands facing north in front of the place setting. Two attendants, holding the cups and saucers for the great-great-grandfather and grandmother, stand on his left and right. The presiding man inserts his plaque and kneels, at which point the attendants also kneel. The presiding man accepts the cup and saucer for his great-great-grandfather. In his right hand he takes the cup and pours it in sacrifice onto the reeds, then passes the cup and saucer to the attendant, who puts them back where they were. He handles the cup and saucer of the great-great-grandmother in the same way. He takes out his plaque, prostrates himself, rises, and steps back a little. Meanwhile, the attendant grills the liver on the brazier and serves it up on a platter. The eldest of the brothers of the presiding man proffers it to the great-great-grandfather and grandmother to the south of the spoon and chopsticks.
The liturgist takes the board and stands to the left of the presiding man. He kneels and reads:
On the day of the new moon of this month of this year, such year cycle, I, filial great-great-grandson A, of such office, presume to report clearly to your honor, our late great-great-grandfather, of such office, and our late great-great-grandmother, of such title, such surname: "The succession of atmospheric forces flows and changes. The time now is the middle of spring. When we think back with gratitude on the seasonal service, we cannot overcome our long-term longings. We presume to take this pure offering of a soft-haired animal, a vessel of millet, and sweet wine, and respectfully present them as our seasonal service. Please enjoy them along with the associated spirits, such-type relative, of such office, and such-type relative, of such title, such surname."
When finished, he rises.
The presiding man bows twice, steps back, and goes to each of the place settings to offer a prayer like this one. When a prayer has been read at each place setting, a younger male who is not making the second or third offerings goes to the associated seat and makes the same offerings but without reading a prayer. When these young men have finished they go back down to their places. The attendants, using separate utensils, clear away the wine and liver, putting the cups back where they were.
#### **
Make the second offering.**
The presiding woman performs it. The women carry the grilled meat to the separate place settings as in the rite of the first offering, but they do not read prayers.
#### **
Make the final offering.**
It is performed by the eldest of the presiding man's brothers, his eldest son, or a relative or guest. The younger men carry the grilled meat to the separate place settings, as in the second offering.
#### **
Urge the spirits to eat.**
The presiding man goes up, inserts his plaque, takes the decanter, and pours wine for all of the place settings. When the cups are all full, he stands to the southeast of the incense table. At this point the presiding woman comes up. She sticks spoons into the cooked rice, their handles to the west, and straightens the chopsticks. Then she stands to the southwest of the incense table, where she and the presiding man both face north and bow twice, then go back down to their places.
#### **
Close the door.**
Everyone, from the presiding man on down, exits. The liturgist closes the door. If there is no space for a door, lower a curtain. The presiding man stands to the east of the door facing west, the other men behind him. The presiding woman stands across from him, on the west of the door, facing east, with the other women behind her. If there are any relatives senior to the presiding man or presiding woman they take a short rest elsewhere. This is called "eating to repletion."
#### **
Open the door.**
The liturgist coughs three times, then opens the door. Everyone from the presiding man on down enters, including the seniors who had been resting elsewhere. When they have taken their places, the presiding man and woman offer tea before each of the ancestors and ancestresses. They have a younger man and woman do the same for the associated spirits.
#### **
Receive the sacrificed foods.**
The attendants set a mat in front of the incense table. The presiding man goes to the mat and faces north. The liturgist goes to the front of the great-great-grandfather's place, takes his wine cup and saucer, and brings them to the right of the presiding man. The presiding man and the liturgist kneel. The presiding man inserts his plaque and accepts the cup and saucer. He sacrifices the wine, then tastes it. The liturgist takes the spoon and plate, dishes out a little of the rice from each place setting and takes it to the left of the presiding man. He blesses the presiding man, saying:
The ancestors instruct me, the liturgist, to pass on abundant good luck to you filial descendants and to let you receive riches from Heaven, have good harvests from the fields, and live a long life forever, without interruption.
The presiding man sets the wine in front of the mat, takes out his plaque, and prostrates himself. After rising, he bows twice, inserts his plaque, and kneels to receive the rice. He tastes it, then puts it in his left sleeve, [keeping it from spilling by] hanging it on his little finger. He takes the wine and drinks it down. From his right an attendant takes the cup and puts it beside the decanter; from his left an attendant takes the rice and does the same with it. The presiding man, holding his tablet, prostrates himself. After rising he stands at the top of the eastern steps facing west. The liturgist stands at the top of the western steps, facing east, and announces that the nourishment of the spirits is over. He then goes back down to his place, and with those in line bows twice. The presiding man does not bow, but goes back down to his place.
#### **
Take leave of the spirits.**
Everyone from the presiding man on down bows twice.
#### **
Put the tablets back.**
The presiding man and presiding woman both go up and take each tablet and place it in its case. The presiding man arranges the cases in the basket and has them carried back to the offering hall, following the procedure used for bringing them out.
#### **
Clear away the remains.**
The presiding woman returns to supervise the clean-up. All the wine that is in cups, decanters, or other vessels is poured into the bottle, then sealed. This is called "good luck wine." The fruit, vegetables, meat, and grain foods are all transferred to banquet dishes. The presiding woman supervises the cleaning and storage of the sacrificial vessels.
#### **Eat the leftovers.**
This day the presiding man supervises the division of the sacrificial foods. A small amount of each type is put in boxes, which are sealed along with wine. He sends a servant with letters to take these boxes to relatives and friends.
Next, feasts are laid out for the men and women in separate areas. For the men, the senior generation forms a single line, facing south, with the most honored place in the middle of the room and lower ones to the east and west. If there is only one man in the senior generation, he sits in the middle. Everyone else, in order, is across from each other, half facing east, the others west.
The most senior man takes his seat, then all the other men stand in order, each generation in a separate row, with the most senior of that generation to the east. These men all bow twice. A representative of the sons and younger brothers, the most senior of them, steps slightly forward. One attendant takes a decanter and stands on his right while another takes a cup and saucer and stands on his left. The representative inserts his plaque and kneels. (Original note: If the representative is a younger brother, the senior rises, if a son or nephew, then he remains seated.) He accepts the decanter, pours the wine, returns the decanter, and takes the cup. The liturgist says:
The worship service is over. The ancestors had an excellent repast. I would wish such-type relative to receive fully the five blessings, preserve his agnates, and benefit his family.
The one holding the cup sets it in front of the elder. The representative takes out his plaque. When the elder is finished with the wine, the representative prostrates himself, rises, steps back, then returns to his place where he bows twice with all the other men. The most senior man instructs the attendant to take the decanter and the representative's cup to the latter's place and pour for him. The liturgist says:
The worship service is over. The good fortune of the five blessings will be shared with all of you.
He instructs the attendants to go to each place and pour wine for everyone. The representative comes forward and kneels to receive it. When he has drunk it all he prostrates himself. On rising, he steps back. The other men come forward and salute. After they step back they drink the wine. Then the representative and the other men all bow twice.
The women make an offering to the most senior woman in the inner room following the same procedures as the men but without kneeling.
When these toasts are over, everyone sits and the meat and grain are brought forward. The women then go to the front of the hall to wish long life to the senior man; the senior toasts them in the same way he did the junior men. The men then go to the inner room to wish the senior woman long life; the senior woman toasts them in return in the same way.
When everyone is again seated, the food made of wheat flour is presented. This time, the male and female attendants all make a toast to the long life of the male and female seniors. The same procedure used before is followed, but they are not toasted back. Then they pour for all those sitting down, and when everyone has lifted his or her glass, they bow twice and step back.
Next the food made of grain is presented. From this point on wine is liberally served. For the feast, start with the sacrificed foods and wine. If they are insufficient, supplement them with other food and wine. When the end of the feast approaches, the presiding man distributes the remaining sacrificed food to the male servants, the presiding woman to the female attendants, in each case reaching to the very most lowly. Everything should be consumed that day. The recipients all bow twice, then clear away the feast.
* * *
In sacrifices, the emphasis is on fulfilling sincere feelings of love and respect. Before performing the rites, the poor should evaluate their resources and the ill their energy. Naturally those with the wealth and strength to conform to the rites should do so.
_Translated by Patricia Ebrey_
## 38 **
WOMEN AND THE PROBLEMS THEY CREATE**
_Getting beyond stereotyped descriptions of women's virtues to a fuller understanding of the ideas, feelings, and conventions that shaped their lives is difficult because not nearly as many historical records survive concerning women's lives as men's. The sorts of sources included in selection 17, "Women's Virtues and Vices," survive in abundance for all periods. Following the conventions of Liu Xiang's Biographies of Heroic Women, the standard dynastic histories regularly included brief accounts of women who achieved renown for some act of courage or principle, such as sacrificing themselves to save a parent or to prevent themselves from being raped or forced to remarry. By Song times, however, with the explosion in the range and numbers of surviving books, it is possible to see other dimensions of women's lives and gender conceptions. Below are selections from two twelfth century authors who took fresh looks at women._
_First are three brief stories recorded by Hong Mai (1123-1202), a man attracted to the uncanny who collected stories wherever he went. Some of the stories he recorded probably began as folktales, others may be quite factual, altered little in the retelling. Either way, they reveal Song perceptions of women, their powers and weaknesses, and their relations with men._
_These stories are followed by selections from Yuan Cai's (ca. 1140-ca. 1195) book of advice for family heads on how to handle both the financial and interpersonal problems commonly encountered by relatively well-off families. Yuan could not of course write from a woman's point of view, but he seems to have been a sensitive and sympathetic observer of the problems women faced and the problems they created for the men around them._
#### **
HONG MAI'S STORIES**
#### **Wang Balang's Wife**
Wang Balang was a rich man from Biyang in Tangzhou. Every year he went to the Jianghuai area where he was a large merchant. While there he fell in love with a prostitute. Each time he went home, he would treat his wife badly, trying to drive her out. His wife was intelligent. She had borne four daughters, three of whom were already married, but since the youngest was only a few years old, she figured she could not leave. Consequently, she responded to her husband meekly, "I have been your wife for over twenty years. Our daughters are married and we have grandchildren. If you chase me out, where can I go?"
Wang left again, this time bringing the prostitute back with him and setting her up in an inn in a nearby street. The wife, at home, had to pawn or sell little by little everything she had stored in her cases, until there was not a thing left in the house. When Wang returned and saw this, he was even angrier. "You and I can never get together again. Let's settle things today." His wife, finally becoming agitated, said, "If that is how it is, we must go to court." She grabbed him by the sleeve and dragged him to the county court, where the magistrate granted the divorce and divided the property in two. Wang wanted to take the young girl, but his wife objected, "My husband is shameless. He abandoned his wife and took up with a prostitute. If this girl goes with him, she will certainly end up in degraded circumstances." The county magistrate agreed with her, and so she got custody of the girl.
The woman went to live in another village. She bought such things as jars and jugs and lined them up by her door the way shopkeepers do. One day her ex-husband passed her door, and spoke to her as though they were on the same familiar terms as before. "How much money can you make on these? Why not try something else?" She chased him away, railing at him, "Since we have broken our relationship, we are like strangers. How do you get to interfere in my family affairs?" There-after they never saw each other again.
When the daughter came of age, she was married into the Tian family of Fangcheng. By then the woman's property had grown to 100,000 strings, and the Tian family got it all. Mr. Wang lived with the prostitute and died away from home in Huainan. Several years later his ex-wife also died. When she was ready to be buried, the daughter, troubled that her father's body had not been brought back, sent someone to get it, wanting to bury him with her mother. After the two bodies were washed and dressed, they were laid on the same table, and while those in charge were not paying attention, the two bodies turned their backs on each other. Thinking this a coincidence, the daughter cried and put them back in their original place, but before long it happened again. So she knew that this couple were as emotionally estranged in death as in life, and still hated each other. Nevertheless, she buried them in the same grave.
#### **
"Chaste Woman" Shi**
Ning Six of South Meadow village, in the southern suburbs of Jianchang was a simple-minded man who concentrated on his farming. His younger brother's wife, Miss Shi, was a little sleeker than her peers. She was also ruthless and licentious, and had an adulterous affair with a youth who lived there. Whenever Ning looked askance at her she would scold him and there was not much he could do.
Once Miss Shi took a chicken, wanting to cook it. When Ning learned of it, he went into her room, demanded that she give it to him, then left with it. Miss Shi quickly cut her arm with a knife, then went to the neighbors screaming, "Because my husband is not home, brother-in-law offered me a chicken and tried to force me to have sex with him. I resisted, threatening to kill myself with the knife I was holding, and so just managed to escape."
Ning at that time had no wife, so the neighbors thought she might be telling the truth. They took them to the village headman, then the county jail. The clerks at the jail reviewed the evidence and demanded 10,000 cash to set things right. Ning was poor and stingy, and moreover, knew himself to be in the right, so stubbornly refused. The clerks sent up the dossier to the prefect Dai Qi. Dai was unable to examine it but noted that it involved an ordinary village wife who was able to protect her virtue and her body and not be violated. The administrative supervisor, Zhao Shi-qing, concurred with Qi, and they sent up the case making Ning look guilty. Ning received the death penalty and Miss Shi was granted 100,000 cash, regular visits from the local officials, and a banner honoring her for her chastity. From this, she acquired a reputation as a chaste wife. The local people all realized Ning had been wronged and resented how overboard she had gone.
In the end Miss Shi had an affair with a monk at the nearly Lintian temple. Charges were brought and she received a beating and soon became ill. She saw Ning as a vengeful demon and then died. The date was the sixth month of 1177.
#### **
The Reward for Widow Wu**
Miss Wu served her mother-in-law very filially. Her mother-in-law had an eye ailment and felt sorry for her daughter-in-law's solitary and poverty-stricken situation, so suggested that they call in a son-in-law for her and thereby get an adoptive heir. Miss Wu announced in tears, "A woman does not serve two husbands. I will support you. Don't talk this way." Her mother-in-law, seeing that she was determined, did not press her. Miss Wu did spinning, washing, sewing, cooking, and cleaning for her neighbors, earning perhaps a hundred cash a day, all of which she gave to her mother-in-law to cover the cost of fire-wood and food. If she was given any meat, she would wrap it up to take home.
Miss Wu was honest by nature. She did not chat idly, and even if other people's things were right in front of her, she did not look at them, wanting only what was her own. Thus neighbors often engaged her and they helped out her and her mother-in-law, so they managed to avoid dying of hunger or cold.
Once when her mother-in-law was cooking rice, a neighbor called to her, and to avoid over-cooking the rice, she dumped it into a pan. Due to her bad eyes, however, she mistakenly put it in the dirty chamber pot. When Miss Wu returned and saw it, she did not say a word. She went to a neighbors to borrow some cooked rice for her mother-in-law and took the dirty rice and washed it to eat herself.
One day in the daytime neighbors saw Miss Wu ascending into the sky amid colored clouds. Startled, they told her mother-in-law, who said, "Don't be foolish. She just came back from pounding rice for someone, and is lying down on the bed. Go and look." They went to the room and peeked in and saw her sound asleep. Amazed, they left.
When Miss Wu woke up, her mother-in-law told her what happened, and she said, "I just dreamed of two young boys in blue clothes, holding documents, and riding on the clouds. They grabbed my clothes and said the Emperor of Heaven had summoned me. They took me to the gate of Heaven and I was brought in to see the emperor, who was seated beside a balustrade. He said, 'Although you are just a lowly ignorant village woman, you are able to serve your old mother-in-law sincerely and work hard. You really deserve respect.' He gave me a cup of aromatic wine and a string of cash, saying, 'I will supply you. From now on you will not need to work for others.' I bowed to thank him and came back, accompanied by the two boys. Then I woke up."
There was in fact a thousand cash on the bed and the room was filled with a fragrance. They then realized that the neighbors' vision had been a spirit journey. From this point on even more people asked her to work for them, and she never refused. But the money that had been given to her, she kept for her mother-in-law's use. Whatever they used promptly reappeared, so the thousand cash was never exhausted. The mother-in-law also regained her sight in both eyes.
#### **
YUAN CAI ON WOMEN'S PROBLEMS**
#### **
Women Should Not Take Part in Affairs Outside the Home**
Women do not take part in extrafamilial affairs. The reason is that worthy husbands and sons take care of everything for them, while unworthy ones can always find ways to hide their deeds from the women.
Many men today indulge in pleasure and gambling; some end up mortgaging their lands, and even go so far as to mortgage their houses without their wives' knowledge. Therefore, when husbands are bad, even if wives try to handle outside matters, it is of no use. Sons must have their mothers' signatures to mortgage their family properties, but there are sons who falsify papers and forge signatures, sometimes borrowing money at high interest from people who would not hesitate to bring their claim to court. Other sons sell illicit tea and salt to get money, which, if discovered by the authorities, results in fines.
Mothers have no control in such matters. Therefore, when sons are bad, it is useless for mothers to try to handle matters relating to the outside world.
For women, these are grave misfortunes, but what can they do? If husbands and sons could only remember that their wives and mothers are helpless and suddenly repent, wouldn't that be best?
#### **
Women's Sympathies Should Be Indulged**
Without going overboard, people should marry their daughters with dowries appropriate to their family's wealth. Rich families should not consider their daughters outsiders but should give them a share of the property. Sometimes people have incapable sons and so have to entrust their affairs to their daughters' families; even after their deaths, their burials and sacrifices are performed by their daughters. So how can people say that daughters are not as good as sons?
Generally speaking, a woman's heart is very sympathetic. If her parents' family is wealthy and her husband's family is poor, she wants to take her parents' wealth to help her husband's family prosper. If her husband's family is wealthy but her parents' family is poor, then she wants to take from her husband's family to enable her parents to prosper. Her parents and husband should be sympathetic toward her feelings and indulge some of her wishes. When her own sons and daughters are grown and married, if either her son's family or her daughter's family is wealthy while the other is poor, she wishes to take from the wealthy one to give to the poor one. Her sons and daughters should understand her feelings and be somewhat indulgent. But taking from the poor to make the rich richer is unacceptable, and no one should ever go along with it.
#### **
Orphaned Girls Should Have Their Marriages Arranged Early**
When a widow remarries she sometimes has an orphaned daughter not yet engaged. In such cases she should try to get a respectable relative to arrange a marriage for her daughter. She should also seek to have her daughter reared in the house of her future in-laws, with the marriage to take place after the girl has grown up. If the girl were to go along with the mother to her stepfather's house, she would not be able to clear herself if she were subjected to any humiliations.
#### **
For Women Old Age Is Particularly Hard to Bear**
People say that, though there may be a hundred years allotted to a person's life, only a few reach seventy, for time quickly runs out. But for those destined to be poor, old age is hard to endure. For them, until about the age of fifty, the passage of twenty years seems like only ten; but after that age, ten years can feel as long as twenty. For women who live a long life, old age is especially hard to bear, because most women must rely on others for their existence. Before a woman's marriage, a good father is even more important than a good grandfather; a good brother is even more important than a good father; a good nephew is even more important than a good brother. After her marriage, a good husband is even more important than a good father-in-law; a good son is even more important than a good husband; and a good grandson is even more important than a good son. For this reason women often enjoy comfort in their youth but find their old age difficult to endure. It would be well for their relatives to keep this in mind.
#### **
It Is Difficult for Widows to Entrust Their Financial Affairs to Others**
Some wives with stupid husbands are able to manage the family's finances, calculating the outlays and receipts of money and grain, without being cheated by anyone. Of those with degenerate husbands, there are also some who are able to manage the finances with the help of their sons without ending in bankruptcy. Even among those whose husbands have died and whose sons are young, there are occasionally women able to raise and educate their sons, keep the affection of all their relatives, manage the family business, and even prosper. All of these are wise and worthy women. But the most remarkable are the women who manage a household after their husbands have died leaving them with young children. Such women could entrust their finances to their husbands' kinsmen or their own kinsmen, but not all relatives are honorable, and the honorable ones are not necessarily willing to look after other people's business.
When wives themselves can read and do arithmetic, and those they entrust with their affairs have some sense of fairness and duty with regard to food, clothing, and support, then things will usually work out all right. But in most of the rest of the cases, bankruptcy is what happens.
#### **
Beware of Future Difficulties in Taking in Female Relatives**
You should take into your own house old aunts, sisters, or other female relatives whose children and grandchildren are unfilial and do not support them. However, take precautions. After a woman dies, her unfilial sons or grandsons might make outrageous accusations to the authorities, claiming that the woman died from hunger or cold or left valuables in trunks. When the authorities receive such complaints, they have to investigate and trouble is unavoidable. Thus, while the woman is alive, make it clear to the public and to the government that the woman is bringing nothing with her but herself. Generally, in performing charitable acts, it is best to make certain that they will entail no subsequent difficulties.
#### **
Before Buying a Servant Girl or Concubine, Make Sure of the Legality**
When buying a female servant or concubine, inquire whether it is legal for her to be indentured or sold before closing the deal. If the girl is impoverished and has no one to rely on, then she should be brought before the authorities to give an account of her past. After guarantors have been secured and an investigation conducted, the transaction can be completed. But if she is not able to give an account of her past, then the agent who offered her for sale should be questioned. Temporarily she may be hired on a salaried basis. If she is ever recognized by her relatives, she should be returned to them.
#### **
Hired Women Should Be Sent Back When Their Period of Service Is Over**
If you hire a man's wife or daughter as a servant, you should return her to her husband or father on completion of her period of service. If she comes from another district, you should send her back to it after her term is over. These practices are the most humane and are widely carried out by the gentry in the Southeast. Yet there are people who do not return their hired women to their husbands but wed them to others instead; others do not return them to their parents but marry them off themselves. Such actions are the source of many lawsuits.
How can one not have sympathy for those separated from their relatives, removed from their hometowns, who stay in service for their entire lives with neither husbands nor sons. Even in death these women's spirits are left to wander all alone. How pitiful they are!
_Translated by Patricia Ebrey_
## 39 **
LONGING TO RECOVER THE NORTH**
_In the early years of the Southern Sung, most of those who have left written record expressed in some way their anquish over the loss of North China to the Jurchen. The emperor and his court called their capital at Hangzhou a temporary resting place. Literary men dreamed of leading armies to push out the barbarians. Officials pleaded for the court to stand firm and not compromise, believing an irredentist policy a matter of loyalty and patriotism._
_To express their despair or heroic ambitions, many writers turned to poetry. Below are six poems by writers who lived through these years. The first is by one of the few women to make a name for herself as a poet. She had been living in the North when the Jurchen invaded and had to flee south to safety. The second is by a man much more famous as a general than as a poet. All are written in the ci, or song lyric style, a style that gained popularity from late Tang times on._
To the tune, "Butterflies Love Flowers"
—by Li Qingchao (1084-1151 +)
The long night passes slowly
With few happy thoughts.
Then I dream of the capital and see the road back to it.
I could report on the spring there,
On how the moon and the flowers
Reflect on each other.
Although our food and drink are very simple,
The wine is fine and the plums sour,
Matching our feelings.
Tipsy, we stick flowers in our hair
But do not laugh.
How sad that both the spring and we humans are growing old.
To the tune, "Full River Red"
—by Yue Fei (1101-1141)
My hair bristles in my helmet.
Standing by the balcony as the rain shower stops,
I look up to the sky and loudly let Heaven know
The strength of my passions.
My accomplishments over thirty years are mere dust.
I traveled eight thousand _li_ with the clouds and the moon,
Never taking time to rest,
For a young man's hair grows white from despair.
The humiliation of the Jingkang period
Has not yet been wiped away.
The indignation I feel as a subject
Has not yet been allayed.
Let me drive off in a chariot
To destroy their base at Helan Mountain.
My ambition as a warrior
Is to satisfy my hunger with the flesh of the barbarians,
Then, while enjoying a rest,
Slake my thirst with the blood of the tribesmen.
Give me the chance to try again
To recover our mountains and rivers
Then report to the emperor.
To the tune, "Telling My Innermost Feelings"
—by Lu You (1125-1210)
In years past I traveled ten thousand _li_
In search of glory.
I fought the mounted barbarians at Liangzhou.
The passes and rivers are already disappearing like dreams,
And dirt encrusts my old fur uniform.
Before the barbarians could be exterminated
My hair turned gray.
My tears are useless.
I never expected that in this life,
My heart would remain at Mount Tian
While my body would grow old in this region of rivers and lakes.
To the tune, "Song of the Six Prefectures"
—by Zhang Xiaoxiang (1132-1169)
I see their forts amid the forest when I gaze toward the Huai River.
The cloud of dust darkens the sky and the frosty wind is bitter.
The silence of the border region rends my heart.
Recalling the events of those years,
I conclude it was Heaven's decision,
For human efforts were of no avail.
The region of the Zhu and Si Rivers, where music had been played,
Now smells of goats and sheep.
Right across the river, cattle graze at sunset
And tents are pitched all about.
See their king hunt at night,
His cavalry's torches lighting the river.
The sad sounds of their flutes send a chill through our hearts.
I think of the arrows that hung at my waist and my sword in its scabbard,
Now moth-eaten or covered with dust.
What did they accomplish? How fast the time has gone.
My heart is still passionate but my years are numbered.
I see how our delightful capital plays music for the foreigners.
The beacon fires have been extinguished, the soldiers given rest.
Envoys, with their fine hats and carriages, hurry back and forth, unfeeling.
Yet I have heard that the old who were left behind in the central plains
Constantly look toward the south
Hoping to see the decorated imperial chariots.
Arriving at this place makes this traveler's feelings well up
And his tears fall like rain.
To the tune, "The Partridge Sky"
—by Xin Qiji(1140-1207)
In my prime, beneath my flag were ten thousand warriors.
My horseman, in brocaded uniforms, burst across the river.
At night the northern soldiers held fast to their silver quivers.
At dawn our archers let fly their golden arrows.
Thinking back on those events,
I sigh over my present circumstances.
The spring wind will not darken my greying beard.
I've traded my ten-thousand word treatise on military strategy
For my neighbor's book on planting trees.
To the tune, "Prelude to the Water Melody"
—by Chen Liang (1143-1194)
The southern forces have not been seen for a long time,
But not because we have run out of talent.
A man of initiative, with a pair of hands,
Could get us back our myriad heroes.
Happily our envoy moves east
As relentlessly as the river.
He will bow on entering the barbarian's tent,
Then hang his head on our streets!
In the land of Yao, the region of Shun, the realm of Yu,
There must be a few who have felt the humiliation of serving under barbarians.
Our vast land now smells of goats and sheep.
Where are the souls of the heroes of long ago?
When will we get through?
Why ask about the fate of the barbarians?
The red sun will rise in the sky.
_Translated by Patricia Ebrey_
## 40 **
ZHU XI'S CONVERSATIONS WITH HIS DISCIPLES**
_The revival of Confucianism in the Song period was accomplished in large part by great teachers who gathered around them adult students intent on learning more about the wisdom of the sages and how to apply it in their lives. The students were usually expecting to attempt the civil service examinations, but the most inspiring teachers urged their disciples to set their sights on the higher goals of knowledge and self-cultivation._
_Perhaps the greatest of all these teachers was Zhu Xi (1130-1200). Immensely learned in the classics, commentaries, histories, and the teachings of his predecessors, Zhu Xi managed to serve several times in office, write, compile, or edit almost a hundred books, correspond with dozens of other scholars, and still regularly teach groups of disciples, many of whom stayed with him for years at a time. Zhu Xi considered himself a follower of the Cheng brothers Cheng Hao (1032-1085) and Cheng Yi (1033-1107), and elaborated their metaphysical theories about the workings of the cosmos in terms of principle_ (li) _and_ qi _(vital energies, material force, psychophysical stuff). In the conversations which his disciples recorded, however, he also discussed all sorts of other issues relevant to their understanding of nature, the past, and how to conduct their lives. The selection below is only a tiny fraction of the thousands of conversations his followers recorded._
A student asked, "Do dried and withered things have principle?"
Zhu Xi responded, "Once an object exists, it has a principle. Heaven didn't invent writing brushes; it was human beings who took rabbit hairs to make them. But once there were brushes, there was a principle for them."
* * *
A student asked, "Principle is something people and animals alike get from Heaven. What about insentient things? Do they also have principle?"
"Certainly they have principle," Zhu Xi responded. "For instance, boats can only travel on water and carts can only travel on land."
* * *
A student asked, "How can we distinguish the Way from principle?"
Zhu Xi responded, "The Way is the path. Principle is the pattern."
"Is it like the grain in wood?"
Zhu Xi answered, "Yes."
The student then commented, "If that is the case, the Way and principle seem to be the same."
"The word 'Way' covers a great deal," Zhu Xi said. "Principle consists in the many veins encompassed by the Way." He added, "The Way is the whole; principle is the fine structure."
* * *
Wang Zichong asked, "When I was in Hunan, I met a master who taught people only what actions to take."
Zhu Xi responded, "If a person does not understand the moral principles, how can he take actions?"
"This teacher explained, 'Once you practice it, you will understand it.'"
"Compare this to a person walking along a road," Zhu Xi said. "If he does not see it, how can he walk on it? Lots of people today teach people how to act. They all set their own standards, then teach them to others. Naturally a good person of average disposition does not have to probe into the principles of things or study extensively. But the sage wrote the _Great Learning_ to help people move into the realm of sages. When people have fully grasped the principles, they will naturally be filial in their service to their parents, respectful to their elder brothers, and worthy of their friends' trust."
* * *
A student asked, "What should I do about being confused by different theories when I read?"
Zhu Xi answered, "Start with an open mind, then read one theory. Read one view before reading another. After you have read them again and again, what is right and wrong, useful and useless, will become apparent of itself. The process can be compared to trying to discover whether a person is good or bad. You observe him wherever he goes, notice what he says or does, and then know if he is good or bad." He also said, "You simply must have an open mind," and "Wash away your old opinions to let new ideas in."
* * *
A student asked, "What can I do to attain a reverent attitude?"
Zhu Xi said, "Simply do this: on the inside, have no foolish thoughts, on the outside, have no foolish actions."
* * *
A student asked, "How can a person develop his sincerity and reverence and get rid of his desires?"
Zhu Xi responded, "These are the end-points. Sincerity requires getting rid of all sorts of falseness. Reverence requires getting rid of all sorts of laziness. Desires should be blocked."
* * *
Zhengchun said, "I'd like to survey a great many books."
"Don't do that," Zhu Xi said. "Read one book thoroughly, then read another one. If you confusedly try to advance on several fronts, you will end up with difficulties. It's like archery. If you are strong enough for a five-pint bow, use a four-pint one. You will be able to draw it all the way and still have strength left over. Students today do not measure their own strength when reading books. I worry that we cannot manage what we already have set ourselves."
* * *
A student asked whether studying for the examinations would interfere with his efforts at real learning. Zhu Xi responded, "Master Cheng said, 'Don't worry about it interfering with your efforts, worry about it robbing you of your determination.' If you spend ten days a month preparing for the examinations, you will still have twenty days to do real study. If it changes your determination, however, there is no cure."
* * *
Renfu asked about the saying, "Human goodness is the principle underlying love."
Zhu Xi said, "This saying makes sense if you think about the mind, nature, and feelings. The mind is the master of the body. A person's nature consists in humanity, righteousness, propriety, and wisdom. They find their expression in the feelings of commiseration, shame, deference, and the ability to distinguish right from wrong. Commiseration is love, the beginning of human goodness. Human goodness is the substance, while love is an aspect of its function."
* * *
A student inquired, "Human nature is just the nature of Heaven and earth. In the beginning it didn't come from somewhere else, nor does it later go back to another place. It just seems this way from the condensing or dispersing of _qi"_
Zhu Xi responded, "You're right, it doesn't return anywhere at the end. It is like the reflection of the moon in a pan of water. Without the pan of water, there would be no reflection. No one could suppose the reflection flies into the sky to return to the moon. It's also like a flower dropping and then being gone. How could you think it went somewhere and next year will be reborn on this branch?"
The student also asked, "How can we analyze popular theories about anomalies, demons, and the like?"
Zhu Xi said, "Eighty percent of what ordinary people say is nonsense, but twenty percent is accurate. In most of these cases, the person's life span was not up when he was drowned, or murdered, or fell victim to a violent illness. Since his _qi_ had not been exhausted, he was able to possess people. There are also cases of people who die suddenly and their _qi_ hasn't yet completely dispersed because of the richness of their original endowment. Eventually their _qi_ does disperse, for essence and _qi_ are combined to produce people and things. As in the phrase, "The wandering of the spirit becomes change," there will be no more _qi._ For when people talk about immortals, they only talk about ones from recent times. The immortals of antiquity are no longer seen. The _Zuo Commentary_ tells the story of Boyu wreaking revenge, but no one sees his ghost today."
The student also asked, "Mr. Xie said, 'My ancestors' spirit is my own spirit.' Do you agree?"
"The sentence puts it very well," Zhu Xi responded. "Ancestors and descendants have only one _qi._ When sincerity and reverence are fully developed, they can affect each other. It can be compared to a large tree whose seeds are on the ground. When they grow and become trees, they are in fact that large tree."
* * *
A student asked, "What should an educated man do if he is marrying an ordinary person and he wishes to perform the proper rituals but the other family disagrees?"
Zhu Xi smiled, looked at Yigang for a long time, then said, "This is a waste of effort. All that is needed is to send someone to talk it over with the other family. The ancient rituals are less trouble. Why wouldn't they be willing to practice them?"
Zhiqing said, "If there are steps in the ancient rituals that are very hard to practice, you don't have to insist on them. For instance, the part about revolving the carriage wheels three times. This doesn't mean that you have to revolve the sedan chair three times." Even the master laughed in response to this.
Yigang said, "If the customary practices don't harm moral principle very much, would it be all right to retain a small number of them?"
Zhu Xi said, "Yes."
* * *
Zhu Xi said, "When wind acts on things, it enters into all of them. Today coffins are buried in the ground. To a small extent they get blown, some even blown over."
A student asked, "If one places on object on the ground, even a fierce wind will not necessarily be able to move it. Since the ground is so strong and solid, how could wind blow through it to move things?"
Zhu Xi answered, "I think that in the ground when wind collects together and wants to come out, its power intensifies, but when it is out on the flat land, its _qi_ disperses."
The student said, "Perhaps there is no such principle."
Zhu Xi said, "In Zhenghe county, a man buried his parent at a certain place. After the burial he heard sounds from the grave from time to time. His family thought that these sounds occurred because the place was good. After a long time the family property slowly declined and the descendants became poor. They thought that the place was unfortunate so took the coffin out to look at it. They found that one side had been smashed and was ruined. The place it had been was exactly in the front part of the pit, the part formed by curved bricks, where the coffin enters."
The student said, "Perhaps water caused this."
Zhu Xi answered, "No. If water had entered, how could there have been the sound of hitting? I don't know what the explanation is."
* * *
A student asked, "What should one do if before a parent died, he or she left instructions to have Buddhists perform the services?"
Zhu Xi responded, "This is a difficult question."
The student persisted, "So should he employ them or not?"
Zhu Xi said, "There are some things the heart of a child cannot bear to do. This issue requires careful consideration."
* * *
A student asked, "What if one's mother dies and one's father is still alive and the father wants to follow customary practices with regard to mourning garments, employ Buddhist monks for services, and have the body cremated?"
Zhu Xi responded, "What do you think?"
The student responded, "One could not obey."
Zhu Xi said, "The first two are superficial matters. If it is as you say, obeying would be all right. But cremation cannot be practiced."
Yong said, "Cremation destroys the parents' remains."
Zhu Xi added, "Discussing it along with mourning garments and Buddhist services shows an inability to recognize degrees of importance."
* * *
A student asked, "When Yang forces first moved and gave birth to people and things, it seems they all were produced at once, but according to the theory [of the great ultimate], it seems they were produced in stages."
Zhu Xi responded, "We can't give the order, but there must have been stages. Shao Yong calculated back 128,000. What was it like before that? There must have been a world before the great ultimate, like last night and this morning. Yin and Yang set things in motion all at once, but before then, there must have been dimness that gradually became clear. Therefore there were these stages present in it all along."
The student also asked, "If we thus speculate about the period before the great ultimate, will the period after it be similar?"
Zhu Xi responded, "Certainly. Master Cheng said, 'Movement and quiescence have no beginning; Yin and Yang have no starting point,' which clarifies it. Today on high mountains there are rocks with oyster shells in them, showing that a low place has become a high one. Further, oysters have to live in muddy sand, but now they are in rock, so what was soft became hard. The cosmos changes; there is no constancy."
* * *
A student asked, "Recently Liao Zihui said that when he visited you this year he asked you about Master Yanping's doctrine of quiet sitting, and that you had some disagreements with it. Is that so?"
Zhu Xi responded, "This is a difficult topic. There is no harm in someone who understands principle sitting quietly, but it is not right to insist on quiet sitting. Those who understand principle thoroughly are naturally quiet. Nowadays, people insist on quiet sitting to get out of doing things. That won't do. I once heard Master Li say that when he first heard Master Luo lecture on the _Spring and Autumn Annals_ he was not impressed and wondered how much understanding Luo had attained by quiet sitting at Mount Luo-fou. I also had doubts, but now I think it works. How can a person whose mind is excited perceive principle? One must be quiet to perceive it. What is called quiet sitting simply means having nothing on one's mind. When one's mind is thus clear, principle will make itself known, and the mind will become even clearer and quieter."
* * *
A student asked, "When selfish thoughts arise, I immediately weed them out, but even though I get rid of the stems and branches, the roots remain, and when I encounter a similar stimulus, they arise again. What can I do about it?"
Zhu Xi responded, "That is just the way it is. That is why [Confucius's disciple] Zengzi said, 'In trepidation, as though standing on a precipice or on thin ice.'"
* * *
Zhu Xi asked Kuang, "How long have you been here?"
"Eighty-five days."
"Aren't you going tomorrow?"
Kuang said, "Early tomorrow I will be saying goodbye."
Zhu Xi said, "Do you have any remaining doubts?"
"Right now I have no points that need clarifying, but as I apply myself, some will surely arise, so I will, write you letters to ask for your instruction."
Zhu Xi said, "Just work hard at applying yourself. The biggest fear for a student is that he will grow lax. Do not expect instant results. If today you learn something or put something into practice, that is something positive. Just do not stop. Little by little you will gain a thorough understanding. If there are points you are not clear about, think about them yourself, don't rely on others or wait until you can ask questions. If there is no one to ask, you might give up. People advance in their learning when they can rid themselves of the desire to depend on others."
* * *
Dou said his dreams were very garbled. Zhu Xi responded, "The spiritual soul and the earthly soul interact to constitute sleep. The mind is still present and can think as usual. That is how dreams result." Zhu Xi then discussed his own experiences, "When I was sick for several days, I dreamed only about explaining the _Book of Documents._ Once when serving in office I dreamed only about judging legal cases."
Dou said, "These are still daily affairs."
Zhu Xi said, "Even though these are everyday affairs, still they shouldn't appear in dreams."
* * *
Every evening when his students gathered, one of the older ones would start to chat as soon as he sat down. Zhu Xi scolded him, "Sir, you are over forty and still do not understand the books you read, yet as soon as you sit down you talk about other people's affairs. On some recent nights you gentlemen have chatted idly until ten p.m. While we are gathered together, why don't you reflect on yourself or do serious work rather than talk about trivial things?" He then sighed and sighed.
* * *
Zhu Xi had an asthma attack and for days none of his students asked him any questions. One evening he summoned them to his room. The students still did not ask any questions. Zhu Xi angrily demanded, "You gentlemen are just sitting idly. If you are not going to do anything, why don't you go home? Why did you come here from so far away?"
* * *
A student asked, "What are the differences between the Buddhist and Taoist doctrines of nonbeing?"
Zhu Xi said, "To Laozi, being existed. This can be seen from his saying, 'I want to see the subtlety of nonbeing; I want to see the results of being.' The Buddhists consider Heaven and earth to be illusory and the four elements [earth, water, fire, and wind] to be temporary combinations. Thus to them everything is nonbeing."
_Translated by Patricia Ebrey_
## 41 **
THE ATTRACTIONS OF THE CAPITAL**
_The two Song capitals, Kaifeng and Hangzhou, were not merely administrative centers; they were also flourishing commercial cities. Both were located at centers of communication—Kaifeng at the juncture of the Yellow River and the Bian Canal, Hangzhou midway between the Yangzi and the seacoast, at the other end of the canal. In these two cities, with their concentration of people and wealth, a distinctly urban style of life evolved. Numerous amenities, including a great variety in food, entertainment, and luxury goods, were available to city residents. The division of labor reached a very high level, with many workers engaged in highly specialized enterprises._
_Below is a description of the city of Hangzhou written in 1235. At that time the city encompassed seven to eight square miles._
#### **
MARKETS**
During the morning hours, markets extend from Tranquility Gate of the palace all the way to the north and south sides of the New Boulevard. Here we find pearl, jade, talismans, exotic plants and fruits, seasonal catches from the sea, wild game—all the rarities of the world seem to be gathered here. The food and commodity markets at the Heavenly-View Gate, River Market Place, Central Square, Ba Creek, the end of Superior Lane, Tent Place, and Universal Peace Bridge are all crowded and full of traffic.
In the evening, with the exception of the square in front of the palace, the markets are as busy as during the day. The most attractive one is at Central Square, where all sorts of exquisite artifacts, instruments, containers, and hundreds of varieties of goods are for sale. In other marketplaces, sales, auctions, and exchanges go on constantly. In the wine shops and inns business also thrives. Only after the fourth drum does the city gradually quiet down, but by the fifth drum, court officials already start preparing for audiences and merchants are getting ready for the morning market again. This cycle goes on all year round without respite.
By far the most exciting time of the year is the Lantern Festival. Rows upon rows of businesses and private residences are all richly decorated, and numerous tents are set up for various spectacles and activities. (It is impossible for me to give an exhaustive description here.) During the Longxing reign [A.D. 1163-1164], the Imperial Temple and the Noble Ladies' Quarters were located at Central Square, opposite the present imperial dye and bleach works. Once, after performing the state sacrifice, Emperor Xiaozong [r. 1162-1189] stopped to see the lantern displays. We saw the rows of imperial attendants in front of the curtain of the emperor's carriage, and the piles of cash that they spent to buy food. They also gave out cash and gifts liberally to the onlookers, some of whom were fortunate enough to get real gold or silver pieces.
Whenever there is an imperial procession or a religious parade, the carriages form a spectacular, long wall, the tip of one touching that of another.
On the lot in front of the wall of the city building, there are always various acting troupes performing, and this usually attracts a large crowd. The same kind of activity is seen in almost any vacant lot, including those at the meat market of the Great Common, the herb market at Charcoal Bridge, the book market at the Orange Grove, the vegetable market on the east side of the city, and the rice market on the north side. There are many more interesting markets, such as the candy center at the Five Buildings, but I cannot name them all.
#### **
COMMERCIAL ESTABLISMENTS**
Various businesses are designated by the word "company," which is a taxation category imposed by the government and is used for all businesses dealing in commodities, regardless of their size. Even physicians and fortunetellers are included. Other trades sometimes also borrow the word "company" for their own use, such as liquor company and food company. Some businesses are called "gatherings," such as a flower gathering, fruit gathering, dried-fish gathering.... Artisans sometimes call their businesses "workshops," such as comb workshop, belt workshop, gold-and-silver plating workshop. There are some businesses that use unusual names; for example, shops dealing in the "seven treasures" (gold, silver, pearl, amber, etc.) may call themselves curio companies, whereas a bathhouse may be designated a fragrant-water company.
In general, the capital attracts the greatest variety of goods and has the best craftsmen. For instance, the flower company at Superior Lane does a truly excellent job of flower arrangement, and its caps, hairpins, and collars are unsurpassed in craftsmanship. Some of the most famous specialties of the capital are the sweet-bean soup at the Miscellaneous Market, the pickled dates of the Ge family, the thick soup of the Guang family at Superior Lane, the fruit at the Great Commons marketplace, the cooked meats in front of Eternal Mercy Temple, Sister Song's fish broth at Penny Pond Gate, the juicy lungs at Flowing Gold Gate, the "lamb rice" of the Zhi family at Central Square, the boots of the Peng family, the fine clothing of the Xuan family at Southern Commons, the sticky rice pastry of the Zhang family, the flutes made by Gu the Fourth, and the Qiu family's Tatar whistles at the Great Commons.
#### **
WINE SHOPS**
Among the various kinds of wine shops, the tea-and-food shops sell not only wine, but also various foods to go with it. However, to get seasonal delicacies not available in these shops, one should go to the inns, for they also have a menu from which one can make selections. The pastry-and-wine shops sell pastries with duckling and goose fillings, various fixings of pig tripe, intestines and blood, fish fat and spawn; but they are rather expensive. The mansion-style inns are either decorated in the same way as officials' mansions or are actually remodeled from such mansions. The garden-style inns are often located in the suburbs, though some are also situated in town. Their decoration is usually an imitation of a studio-garden combination. Among other kinds of wine shops are the straight ones that do not sell food. There are also the small retail wine shops which sell house wine as well as wine from other stores. Instead of the common emblem—a painted branching twig—used by all other winehouses, they have bamboo fences and canvas awnings. To go drinking in such a place is called "hitting the cup," meaning that a person drinks only one cup; it is therefore not the most respectable place and is unfit for polite company.
The "luxuriant inns" have prostitutes residing in them, and the wine chambers are equipped with beds. At the gate of such an inn, on top of the red gardenia lantern, there is always a cover made of bamboo leaves. Rain or shine, this cover is always present, serving as a trademark. In other inns, the girls only keep the guests company. If a guest has other wishes, he has to go to the girl's place....
The emblems of wine shops are a branching twig painted red, crimson curtains with laces of red and gold tones, and a gardenia lantern. It is said that this convention started with the visit of Emperor Guo (of the Five Dynasties) to the Panlou winehouse in Bianjing.
The wine chambers are usually named. If the building has several stories, they may be distinguished by the term "mountain." Thus there may be a first mountain, a second mountain, a third mountain, etc. These "mountains" are figurative heights indicating the capacity for wine. For this reason, when you go to a wine shop, refrain from going upstairs if you only intend to order a few drinks and to stay for a short time. If you do not order too many drinks, you can sit downstairs, in the area designated as "tables facing the door and the streets."
After you are seated, the waiter will bring you a few sample delicacies. He will then ask you what you would like to have and in what quantity. Only afterwards will he bring you your order. People who are unfamiliar with this custom often start eating these samples and make themselves the laughingstock of the day.
The expenses incurred on visiting an inn can vary widely. If you order food, but no drinks, it is called "having the lowly soup-and-stuff," and is quite inexpensive. If your order of wine and food falls within the range of 100-5000 cash, it is called a small order. However, if you ask for female company, then it is most likely that the girls will order the most expensive delicacies. You are well advised to appear shrewd and experienced, so as not to be robbed. One trick, for instance, in ordering wines is to give a large order, of say, ten bottles, but open them one by one. In the end, you will probably have used only five or six bottles of the best. You can then return the rest....
#### **
RESTAURANTS**
Most restaurants here are operated by people from the old capital, like the lamb rice shops which also serve wine. There is an art to ordering dishes: if you wish to fill yourself quickly, then you should first order the heavy items (such as bean soup, rib-and-rice, sticky-rice, etc.) and then the light ones (such as fried gizzards, tripe, and kidneys); if you prefer to enjoy the good taste of the foods before you fill yourself, then order the light dishes first and the heavy ones last.
The so-called southern style is a misnomer. These restaurants were originally established in the old capital to serve southerners who were not used to the northern diet. Now that they _are_ in the South, the term southern style becomes misleading. At any rate, noodles and seafood are the specialty of these restaurants, and each has its own house menu.
There are special food shops such as meat-pie shops and vegetable-noodle shops, but these are not very formal, and therefore you should not invite your guests to eat there. The vegetarian restaurants cater to religious banquets and vegetarian dinners. The Quzhou rice shops are reputed for steamed rice and home-style food; they are good places to go to eat your fill but not suitable for elegant company.
There are also shops specializing in snacks. Depending on the season, they sell a variety of delicacies from fried meats, pastries, stewed ginger, and soy beans to pickled pig's feet. In the evening, food venders of all sorts parade the streets and alleys, supporting trays on their heads or carrying baskets on a pole, and chanting their trade songs. The residents in the capital are used to them, but visitors from other parts of the country find them a curious breed....
#### **
TEAHOUSES**
In large teahouses there are usually paintings and calligraphies by famous artists on display. In the old capital, only restaurants had them, to enable their patrons to while away the time as the food was being prepared, but now it is customary for teahouses as well to display paintings and the like.
The teahouses also sell salted soybean soup in the winter and plum-flower wine in the summer. During the Shaoxing reign [1131-1162], teahouses used to play the plum-flower wine tune and serve tea with a ladle just as in wine shops.
Often many young men gather in teahouses to practice singing or playing musical instruments. To give such amateur performances is called "getting posted."
A "social teahouse" is more of a community gathering place than a mere place that sells tea. Often tea drinking is but an excuse, and people are rather generous when it comes to the tips.
There is a special kind of teahouse where pimps and gigolos hang out. Another kind is occupied by people from various trades and crafts who use them as places to hire help, buy apprentices, and conduct business. These teahouses are called "trade heads."
"Water teahouses" are in fact pleasure houses, the tea being a cover. Some youths are quite willing to spend their money there, which is called "dry tea money."
Other jargon calls for explanation: A "teakettle carrier" does more than just bring wine and tea to private households; he also carries messages and functions as a social go-between. "Dirty tea" designates the kind of street vagabonds who, in the name of selling tea, actually beg for cash or gifts.
#### **
THE FOUR DEPARTMENTS AND SIX OFFICES**
For the households of the noble and the wealthy there are the Four Departments and Six Offices in charge of entertainment. They manage dinner parties and keep related matters in good order. In the commercial areas of the capital, one can also find people who specialize in these matters. Thus, whenever there is occasion for an elaborate party, a middle-class household simply hires these professionals to manage everything.
The Setup Department is responsible for preparing the place for the occasion: setting up tents and awnings, banquet tables and seats; providing screens, embroidered hangings, paintings, calligraphy, and so on. The Kitchen Department is in charge of the design, purchase, and preparation of food. The Tea and Wine Department takes care of the drinking needs of the guests, offering tea and drinks, warming up wines, and opening wine bottles. It is also responsible for ushering guests to their seats and for escorting them out at the end of the feast. The Serving Department specializes in serving food and drinks and in waiting on the guests.
The Fruit Office is in charge of making decorative arrangements of various kinds of fruits, as well as supplying seasonal fruits that go well with wines. The Sweetmeats Office supplies preserved fruits and sweetmeats as appetizers. The Vegetable Office provides pickled and fresh vegetables that please the eye as well as the palate. The Oil and Candle Office is in charge of illumination, performing such duties as setting up candle holders and lanterns, snuffing candles, and lighting incense. The Perfume and Medicine Office is equipped with medicine chests and supplies sachets, exotic perfumes, and herb medicines that help sober up the guests who have had too much to drink. The Decor Office is responsible for hanging up paintings and decorations, designing and displaying flower arrangements, as well as for keeping the banquet hall clean and orderly.
If the professionals of the Four Departments and Six Offices are competent, then both the host and the guests will be much more at ease. On the other hand, if these people should make mistakes, the guests will also understand that it is not the host's fault. After the banquet, compensations and tips should be meted out in the following order: the chef first, the persons in charge of tea and wine next, the entertainers last.
#### **
ENTERTAINMENT CENTERS**
The entertainment centers commonly called "tiles" are places where people gather and are just as easily dispersed. It is not clear when the term first came into use, but in the old capital the entertainment centers were places where many dissipated people—scholars as well as commoners—gathered, and where many young men were ruined.
In these centers there are schools for musicians offering thirteen different courses, among which the most significant is opera. The old music schools had such divisions as the flute department, big-drum department, stick-drum department, clapper department, balloon-guitar department, zither department, dance department, singing department, opera department, and military acts department. Each of these had a department head, above whom were school administrators, disciplinary officers, and masters of ceremonies. All were filled by appointment. The players wore loose robes of purple, scarlet, or green, with yellow aprons. The actors wore headdresses; the other musicians wore ordinary caps. There were also boys' and girls' troupes, as well as a military band; the latter gave rise to the present-day custom of the band of musicians on horseback parading behind the emperor's carriage....
In each scene of an operatic performance there are four or five performers who first act out a short, wellknown piece, which is called the gorgeous piece; then they give a performance of the opera itself, which is called the second piece.... The opera is usually based on history and teaches a moral lesson, which may also be political criticism in disguise.... A miscellaneous act is a comic scene taken from an operatic performance. In the old capital, the stock characters of a miscellaneous act were the rustic villagers from Shandong or Hebei, who were the funniest country bumpkins in the eyes of the citizens of the capital....
The hundred games used to be the official entertainment of the old capital. Wrestling and fighting are categorized as butting games; there are also displays of different styles of boxing techniques. The experts in kicking games feature in the ritual plucking of the golden rooster at the general pardon after an emperor's coronation. They can climb high poles, do somersaults, walk on stilts, juggle spears, do the death dance, play with swords, display horsemanship, and so on.
The various skills of the entertainers have their respective high-sounding names. Their acts include: kicking bottles, juggling plates, kicking musical stones, twirling drumsticks, kicking writing brushes, and playing ball. There are also performances with trained insects, fish or bears, fireworks, fire shows, water shows, puppet shows, and marksmanship of all kinds.
Puppet shows include string puppets, cane-top puppets, water puppets, and flesh puppets. The stories are usually fictitious and fantastic. Shadow plays originated in the old capital. At first the figures were made with white paper; later they were made ofleather and painted various colors. The stories of the shadow plays are pretty much the same as those used by the storytellers; generally speaking, they are a mixture of truth and fiction. The loyal and righteous are given a handsome appearance, wheras the wicked and treacherous are depicted asmonstrously ugly—a kind of implicit criticism that is easily understood by the people in the streets. The storytellers can be divided into four groups: those who specialize in social tales, mysteries, and miracle tales; those who deal in military adventures; those who explicate sutras by telling religious tales; and those who relate historical events....
#### **
CLUBS**
For men of letter, there is a unique West Lake Poetry Society. Its members include both scholars residing in the capital and visiting poets from other parts of the country; over the years, many famous poets have been associated with this society. People interested in verse riddles may join such clubs as South Studio, North Studio, or West Studio, all of which are situated on the right bank of the Zhe River. People who like sports form various football and archery clubs.
The Upper Indian Temple has a Luminous Society, the members of which are qealthy Buddhists from the city and its suburbs. They donate incense, candles, and cash to help the temple with its expenses. The Tea Society provides free tea for the believers whenever any of the Buddhist temples holds a service. The Dharma Propagation Temple in the city has a Pruifying Society, which gathers men on the 17th day and women on the 18th day of each month for preaching and explicating sutras. At the end of each year it also holds a seven-day-and-seven-night service. In the West Lake region, a let-live campaign is launched in the fourth month of each year to return fishermen's catches to the lake. There are also numerous sutra societies associated with various temples, which hold rituals on the birthdays of various saints and deities.
Other groups include the Physical Fitness Club, Anglers' Club, Occult Club, Young Girls' Chorus, Exotic Foods Club, Plants and Fruits Club, Antique Collectors' Club, Horse Lovers' Club, and Refined Music Society.
#### **
GARDENS**
The gardens within the sity limits include Ten-Thousand-Pines Ridge, Garden of Good Views, Eastern Mountains, Plum Pavillion, etc.... Outside of the eastern New Gate there are the Eastern Imperial Garden and Five-Willows Imperial Garden. To the west of the city is the Vista Imperial Garden.... To the west of the South Mountain Long Bridge there is Revels Imperial Garden; in front of the Pure Mercy Temple there is a Screen-Mountain Imperial Garden; facing the Cloud Summit Tower there is a Pearl Garden.... I do not know all the names of the private gardens owned by thenoble and the wealthy families. The garden next to Bao Mountain is most famous for its peach blossoms. Other gardens specialize in rare plants....
#### **
BOATS**
The capital is encircled by a river on the left side and by West Lake on the right; thus the most convenient way to travel is by boat. The boats for hire on West Lake vary greatly in size. Some are fifty feet long and have a capacity of more than one hundred passengers; others are twenty to thirty feet long and can take thirty to fifty passengers. All of them are exquisitely constructed, with carvings on the railings and paintings on the beams. They sail so smoothly that the passengers may forget that they are on water. These boats are for hire in all seasons and never lack patrons. They are also well equipped with everything; a tourist can get on board in the morning, drink wine, and enjoy himself; at dusk he may walk home by following a trail. It is not tiring but is rather expensive. Some wealthy families have their own pleasure boats, and these are even more exquisitely built and more luxuriously fitted out.
Dragon boat competitions are held in spring at the West Lake and in autumn at the Zhe River. The dragon boats are light and swift and make a grand spectacle.... In early and mid-autumn there are swimmers in the Zhe River, who, brandishing pennants and poles, display the most breath-taking skills. I believe this is a unique attraction of the capital.
#### **
SPECIALTY STORES**
The commercial area of the capital extends from the old Qing River Market to the Southern Commons on the south and to the border on the north. In includes the Central Square, which is also called the Center of Five Flowers. From the north side of the Five Buildings to South Imperial Boulevard, there are more than one hundred gold, silver, and money exchanges. On the short walls in front of these stores, there are piles of gold, silver, and copper cash: these are called "the money that watches over the store." Around these exchanges there are also numerous gold and silversmiths. The pearl marts are situated between the north side of Cordial Marketplace and Southtown Marketplace. Most deals made here involve over ten thousand cash. A score of pawnshops are scattered in between, all owned by very wealthy people and dealing only in the most valuable objects.
Some famous fabric stores sell exquisite brocade and fine silk which are unsurpassed else-where in the country. Along the river, close to the Peaceful Ford Bridge, there are numerous fabric stores, fan shops, and lacquerware and porcelain shops. Most other cities can only boast of one special product; what makes the capital unique is that it gathers goods from all places. Furthermore, because of the large population and busy commercial traffic, there is a demand for everything. There are even shops that deal exclusively in used paper or in feathers, for instance.
#### **
WAREHOUSES**
In Liu Yong's [ca. 1045] poem on Qiantang, we read that there were about ten thousand families residing here; but that was before the Yuanfeng reign [1078-1085]. Today, having been the "temporary capital" for more than a hundred years, the city has over a million households. The suburbs extend to the south, west, and north; all are densely populated and prosperous in commerce as well as in agriculture. The size of the suburbs is comparable to a small county or prefecture, and it takes several days to travel through them. This again reflects the prosperity of the capital.
In the middle of the city, enclosed by the Northern Pass Dam, is White Ocean Lake. Its water spreads over several tens of _li._ Wealthy families have built scores of warehouse complexes along this waterfront. Each of these consists of several hundred to over a thousand rooms for the storage needs of the various businesses in the capital and of traveling merchants. Because these warehouses are surrounded by water, they are not endangered by fires or thieves, and therefore they offer a special convenience. In other commercial centers such as Shashi and Huangchi of Taiping prefecture there are no such facilities.
#### **
HUSTLERS**
These are the same breed of people as the retainers of Prince Mengchang.* They have no regular profession, but live off of other people by providing trivial services.
Some of these hustlers are students who failed to achieve any literary distinction. Though able to read and write, and play musical instruments and chess, they are not highly skilled in any art. They end up being a kind of guide for young men from wealthy families, accompanying them in their pleasure-seeking activities. Some also serve as guides or assistants to officials on business from other parts of the country. The lowliest of these people actually engage themselves in writing and delivering invitation cards and the like for brothels.
There are others who make their living entertaining at private parties. In the past some of these people were quite well versed in activities such as play-acting, jesting, playing musical instruments, juggling, singing, reciting poems, playing wine games, swimming, and boxing. Some who specialize in training birds are called leisure practitioners. They train hawks, eagles, pigeons, doves, quail, and cocks for fighting and gambling.
There are also professional go-betweens, nicknamed "water-treaders," whose principal targets are pleasure houses, where they flatter the wealthy young patrons, run errands for them, and help make business deals. Some gather at brothels or scenic attractions and accost the visitors. They beg for donations for "religious purposes," but in fact use the money to make a living for themselves and their families. If you pay attention to them, they will become greedy; if you ignore them, they will force themselves on you and will not stop until you give in. It requires art to deal with these people appropriately.
#### **
THE THREE TEACHINGS**
There are civil and military schools inside as well as outside the capital. Besides lineage schools, capital schools, and county schools, there are at least one or two village schools, family schools, private studios, or learning centers in every neighborhood. Often the students' recitation of texts from one school is echoed by that of another. In the years when the imperial examinations are held, the students from the capital sometimes do quite well.
Buddhist temples are numerous. There are around one hundred Zen monasteries (such as the Numinous Mystery and Great Filial Piety monasteries) and a similar number of the Vinaya Sect temples (such as the Bright Blessings and Immortality temples) and seminaries (such as the Great Dharma Propagation, Grove of Wisdom, and Source of Wisdom seminaries). There are also convents, religious societies, and various places of worship. Whenever a big monastery holds a service, these small groups also attend. Some of the masters are highly accomplished.
Daoist worship is held in the Imperial Great Unity Temple, the Eternal Happiness Temple, and various other temples, studios, and halls. The Daoist temples house monks who have abandoned the mundane world, as well as masters from all parts of the country. There have been frequent reports of miracles and epiphanies of divine beings, which other people have recorded.
_Translated by Clara Yu_
* A prince of the state of Qi in the third centure b.c. famous for attracting retainers
## 42 **THE MUTUAL RESPONSIBILITY SYSTEM**
_Periodically through Chinese history, the government tried to organize people to make them easier to rule. One recurrent method was to group people into units of five or ten households, then group five or ten of these units into a superior unit, and so on, in successive levels up to the county_ (xian). _In the Song, Wang Anshi set up such a mutual responsibility system_ (baojia). _Ten households formed a_ bao, _with a head chosen from among the households heads of the_ bao. _Five_ bao _formed a large_ bao, _also with a head, and ten large_ bao _formed a general bao. The duties of these various bao were supposed to be restricted to detecting and reporting criminals, but other duties, involving tax collection and military service, tended to be added from time to time._
_Below is a notice about the functioning of the mutual responsibility system posted by Zhen Dexiu (1178-1235) while he was magistrate of Pucheng county in Fujian province. From it we can infer some of the people's uneasiness about the system as well as some of the practical difficulties the government faced in trying to enforce it. This notice is also evidence of the kind of knowledge ordinary people would have had about government policies, since certainly few of them ever read the formal regulations or edicts._
In ancient times people regarded an obligation toward a neighbor as a significant matter. They considered themselves friends whether they were in the village or elsewhere. They assisted each other in the duties of guarding their villages and they supported each other in times of illness. Our local units of today are actually derived from such ancient practices, but now very few people realize the meaning of such organizations, and neighbors often treat each other like strangers.
Recently the mutual responsibility system _(baojia)_ has been reactivated by the government. This is something which pleases me very much, for not only can the mutual responsibility system provide us with protection against the unexpected, but it will promote the ancient practice of neighborly relationships among people who live in close proximity. Because of uncertainties as to how to make the division into geographical units, this system has not yet been put into effect. Nevertheless, people in the various communities have already expressed suspicion about the system out of fear that it will mean obligatory labor. I have listened attentively to the arguments of the elders and would like to point out that the practice of the mutual responsibility system will be limited primarily to dealing with thefts and negligence. For instance, if one family is robbed, it usually cannot catch the thief; whereas when the whole community is engaged in the search, the thief will have no place to hide. If a house is on fire and the family cannot extinguish it, the neighbors will offer their assistance, and the fire will certainly be put out. Military activities such as fighting against rebels from other parts of the nation will be responsibility of the militia forces, the recruited soldiers, and the national guard; our people will not be required to perform such duties.
Generally, only one man per family will be required to enlist. Poor scholars with no servants and single men who are old or physically unfit are exempt from duty. Every five days there will be roll call, just to keep a rough count of the number of people involved. Sometimes there will be a call to patrol the region, but usually it will not be necessary. These are my plans, but up to now most of our citizens have not understood them and thus have been skeptical of the program. They fail to see that the mutual responsibility system is designed to protect them, not disturb them, and that they have nothing to be apprehensive about. I have lived here six years, and all the people in this city are my neighbors. I have always wanted to meet each one of you, yet there never seemed to be an opportune occasion. I would like to hold a general assembly now, but my resources do not allow it. I will, however, make a joint sacrifice with one hundred neighboring families at our local temple in the middle of this month. I will provide all the offerings which will, after the ceremony, be shared by everyone present—scholars, farmers, artisans, or merchants—without discrimination. This will be in accord with the ancient principle of community harmony. As to the seating, however, there will be assigned areas for each group.
On that day I will explain to you the meaning of a friendly neighborhood as well as the purpose of the mutual responsibility system to dispel your doubts. I will have the gathering announced in all areas under my administration and have this notice posted on doors so that everyone will be informed of it.
_Translated by Clara Yu_
## 43 **
ON FARMING**
_A major factor in allowing the population of Song China to reach one hundred million was the increased settlement of the South and the expansion of intensive wet-field rice cultivation. Peasants' work patterns adjusted to growing two or sometimes even three successive crops on the same field, part of a general tendency toward applying more time, labor, and fertilizer to smaller pieces of land. Because intensive techniques were so productive, the government often took steps to encourage their adoption, even distributing illustrated guides._
_Below are selections from a treatise on farming written by Chen Pu in 1149. It discusses both wet-field cultivation and methods used for vegetables and other crops. This treatise was aimed at those actively engaged in agriculture and enjoyed wide circulation for several centuries. This and other popular texts on agriculture are the best sources we have for what peasants may have thought of their daily work._
#### **
FINANCE AND LABOR**
All those who engage in business should do so in accordance with their own capacity. They should refrain from careless investment and excessive greed, lest in the end they achieve nothing. Tradition has it, "Profit comes from a little; confusion comes from a lot." In the farming business, which is the most difficult business to manage, how can you afford not to calculate your financial and labor capacities carefully? Only when you are certain that you have sufficient funds and labor to assure success should you launch an enterprise. Anyone who covets more than he can manage is likely to fall into carelessness and irresponsibility; under such conditions, he cannot reap even one or two out of every ten portions, and success will certainly elude him. Thus, to procure more land is to increase trouble, not profit.
On the other hand, anyone who plans carefully, begins with good methods, and continues in the same way can reasonably expect success and does not have to rely on luck. The proverb says, "Owning a great deal of emptiness is less desirable than reaping from a narrow patch of land." Too true! I have the following example to prove my point. In ancient times there was a great archer, Pu Qie, who was able to draw a delicate bow and string two orioles on one arrow, high in the clouds. The reason he could achieve such dexterity in aiming was that he had more strength than needed to draw the bow. If the bow had been heavier than he could handle, he would have trembled and staggered under its weight; then how could he have gotten his game? By extension, for the farmer who is engaged in the management of fields, the secret lies not in expanding the farmland, but in balancing finance and labor. If the farmer can achieve that, he can expect prosperity and abundance.
#### **TOPOGRAPHY**
Concerning mountains, rivers, plateaus, lakes, and swamps, their altitudes differ and so their temperatures and degrees of fertility do also. Generally speaking, high lands are cold, their springs chilly, their soil cool. The tradition that "In the high mountains there is more winter," refers to the constant windy cold. Also, these areas are more prone to droughts. On the other hand, low lands are usually fertile but prone to flooding. Thus, different methods of land management are required for different terrain.
In the case of high land, choose a spot where water can converge and dig a reservoir of appropriate size. (For every ten _mu_ of land, two to three _mu_ should be set aside for the reservoir.) In late spring and early summer when rainfall is frequent, strengthen the embankments and deepen and widen the reservoir so that it will have enough space to contain the water. On the embankments plant mulberry and pomegranate trees on which cows can be tethered. The cows will be comfortable under the shade of the trees; the embankments will be strengthened because the cows constantly tread on them; and the mulberry trees will grow beautifully because of the nourishing water. Whenever there is a drought, the water in the reservoir can be released for irrigation, and whenever there is heavy rainfall, the crops will not be harmed by floods.
As to lowlands, because they are easily flooded, you must study their topography and build high, wide embankments surrounding the area most likely to be inundated. On the slopes of the embankments vegetables, hemp, wheat, millet, and beans can be planted. On either side you can also plant mulberry trees and raise cows. Because of convenient water and grass, the cows can be successfully raised with little effort.
For lakes and marshy swamps, use the "rape-turnip soil" system. First, bind logs together to form a base for the field. Let the base float on water but remain tied to land. Then lay the "rape-turnip soil" on the wooden platform and plant there. As the platform floats on water, it rises and falls with the water level, so the crops are never lost to floods.
#### **
PLOWING**
Early and late plowing both have their advantages. For the early rice crop, as soon as the reaping is completed, immediately plow the fields and expose the stalks to glaring sunlight. Then add manure and bury the stalks to nourish the soil. Next, plant beans, wheat, and vegetables to ripen and fertilize the soil so as to minimize the next year's labor. In addition, when the harvest is good, these extra crops can add to the yearly income. For late crops, however, do not plow until spring. Because the rice stalks are soft but tough, it is necessary to wait until they have fully decayed to plow satisfactorily.
In the mountains, plateaus, and wet areas, it is usually cold. The fields here should be deeply plowed and soaked with water released from reservoirs. Throughout the winter, the water will be absorbed, and the snow and frost will freeze the soil so that it will become brittle and crumbly. At the beginning of spring, spread the fields with decayed weeds and leaves and then burn them, so that the soil will become warm enough for the seeds to sprout. In this way, cold as the freezing springs may be, they cannot harm the crop. If you fail to treat the soil this way, then the arteries of the fields, being soaked constantly by freezing springs, will be cold, and the crop will be poor.
When it is time to sow the seeds, sprinkle lime in the wet soil to root out harmful insect larvae.
#### **
THE SIX KINDS OF CROPS**
There is an order to the planting of different crops. Anyone who knows the right timing and follows the order can cultivate one thing after another, and use one to assist the others. Then there will not be a day without planting, nor a month without harvest, and money will be coming in throughout the year. How can there then be any worry about cold, hunger, or lack of funds?
Plant the nettle hemp in the first month. Apply manure in intervals of ten days and by the fifth or sixth month it will be time for reaping. The women should take charge of splicing thread and weaving cloth out of the hemp.
Plant millet in the second month. It is necessary to sow the seeds sparsely and then roll cart wheels over the soil to firm it up; this will make the millet grow luxuriantly, its stalks long and its grains full. In the seventh month the millet will be harvested, easing any temporary financial difficulties.
There are two crops of oil hemp. The early crop is planted in the third month. Rake the field to spread out the seedlings. Repeat the raking process three times a month and the hemp will grow well. It can be harvested in the seventh or the eighth month.
In the fourth month plant beans. Rake as with hemp. They will be ripe by the seventh month. In mid-fifth month plant the late oil hemp. Proceed as with the early crop. The ninth month will be reaping time.
After the 7th day of the seventh month, plant radishes and cabbage.
In the eighth month, before the autumn sacrifice to the god of the earth, wheat can be planted. It is advisable to apply manure and remove weeds frequently. When wheat grows from the autumn through the spring sacrifices to the god of the earth, the harvest will double and the grains will be full and solid.
The _Book of Songs_ says, "The tenth month is the time to harvest crops." You will have a large variety of crops, including millet, rice, beans, hemp, and wheat and will lack nothing needed through the year. Will you ever be concerned for want of resources?
#### **
HOUSING**
The ancient kings who reigned over subjects in all four directions and took advantage of the earth in the right seasons must have had good principles. They decreed that five _mu_ of land should be set aside for housing, out of which two and a half _mu_ were for a cottage erected in the center of the fields.
In the period of plowing and sowing, move into this cottage to facilitate management and provide supplies for the farm workers. At the same time start a garden and plant vegetables. Along the walls, mulberry trees can be planted for the breeding of silkworms. In this manner you will live up to the system exemplified by the ancients.
When the ninth month has come, transform the vegetable garden into a harvest processing area. In the tenth month, when the harvest is done and the year's work finished, you can rest as compensation for your labor of plowing and sowing in the spring. Now move the whole family, both old and young, back to the house. For if you stay too long in the cottage in the fields, your house will become dilapidated as a result of neglect.
#### **
FERTILIZER**
At the side of the farm house, erect a compost hut. Make the eaves low to prevent the wind and rain from entering it, for when the compost is exposed to the moon and the stars, it will lose its fertility. In this hut, dig a deep pit and line it with bricks to prevent leakage. Collect waste, ashes, chaff, broken stalks, and fallen leaves and burn them in the pit; then pour manure over them to make them fertile. In this way considerable quantities of compost are acquired over time. Then, whenever sowing is to be done, sieve and discard stones and tiles, mix the fine compost with the seeds, and plant them sparsely in pinches. When the seedlings have grown tall, again spinkle the compost and bank it up against the roots. These methods will ensure a double yield.
Some people say that when the soil is exhausted, grass and trees will not grow; that when the _qi_ [material force] is weak, all living things will be stunted; and that after three to five years of continuous planting, the soil of any field will be exhausted. This theory is erroneous because it fails to recognize one factor: by adding new, fertile soil, enriched with compost, the land can be reinforced in strength. If this is so, where can the alleged exhaustion come from?
#### **
WEEDING**
The _Book of Songs_ says, "Root out the weeds. Where the weeds decay, there the grains will grow luxuriantly." The author of the _Book of Rites_ also remarks, "The months of midsummer are advantageous for weeding. Weeds can fertilize the fields and improve the land." Modern farmers, ignorant of these principles, throw the weeds away. They do not know that, if mixed with soil and buried deep under the roots of rice seedlings, the weeds will eventually decay and the soil will be enriched; the harvest, as a result, will be abundant and of superior quality.
There is method to weeding. In the Zhou dynasty, Minister Ti, who was in charge of weeding, ruled that, "In the spring the weeds begin to sprout and grow, and in the summer one has to go and cut them down daily." This is to say, in the summer the weeds grow easily, therefore one should labor every day to curb their growth. "In the autumn one should hoe them with measure." This means chopping off the seeds so that they will not reach the soil. "In winter one should go and plow the fields daily." That is because the crops have now been reaped, and plowing through the roots of the weeds will expose them to snow and frost, so that they decay and do not revive the next year. Also, they can serve as fertilizer for the soil.
#### **
CONCENTRATION**
If something is thought out carefully, it will succeed; if not, it will fail; this is a universal truth. It is very rare that a person works and yet gains nothing. On the other hand, there is never any harm in trying too hard.
In farming it is especially appropriate to be concerned about what you are doing. Mencius said, "Will a farmer discard his plow when he leaves his land?" Ordinary people will become idle if they have leisure and prosperity. Only those who love farming, who behave in harmony with it, who take pleasure in talking about it and think about it all the time will manage it without a moment's negligence. For these people a day's work results in a day's gain, a year's work in a year's gain. How can they escape affluence?
As to those with many interests who cannot concentrate on any one and who are incapable of being meticulous, even if they should come by some profit, they will soon lose it. For they will never understand that the transformation of the small into the big is the result of persistent effort.
To indulge in pleasure and discard work whenever the chance arises and to meet matters only when they become urgent is never the right way of doing things. Generally speaking, ordinary people take pride in having the prosperity to indulge in temporary leisure. If there should be a man who remains diligent in prosperity, everyone else will mark him as a misfit, so great is their lack of understanding!
_Translated by Clara Yu_
## 44 **
A MONGOL GOVERNOR**
_The Mongols began as one of many nomadic tribes in the area north of China proper. Their rise and rapid creation of a world empire began when Chinggis [Ghengis] (d. 1227) was declared the Khan in 1206. During the course of the next sixty years they conquered China as well as much of central and west Asia. In the process the Mongols visited great destruction on settled populations everywhere but also created the conditions for unprecedented exchange of ideas and goods across Asia. China fell to the Mongols in stages. The Xia (Tanguts) submitted in 1211. The Jin (Jurchens) fell bit by bit from 1215 to 1234. Song territory in Sichuan fell in 1252, but most of the south not until the 1270s._
_The Mongol conquerors could not replace all the local administrators with their own people, but when they retained subjects of the former states they had to supervise them closely. Below is a biography of a Mongol officer given the task of supervising the prefects and magistrates of several areas in North China during the decades when the Mongols were consolidating their rule._
_This biography is an epitaph meant to be inscribed on stone and buried in the grave. Such epitaphs were a well-established genre of private history-writing, usually written or commissioned by the subject's children. As such they naturally drew attention to the person's merits and were silent on his or her failings. In this case the author was a Chinese literati who put his emphasis on the qualities Chinese officials could admire in this Mongol administrator._
#### **
EPITAPH FOR THE HONORABLE MENGGU, GREAT GENERAL OF HUAIYUAN, GOVERNOR OF HUAIMENG ROUTE, AND MILITARY ADMINISTRATOR OF SEVERALARMIES**
Emperor Taizu [Chinggis Khan] received the mandate of Heaven and subjugated all regions. When Emperor Taizong [Ogodei Khan] succeeded, he revitalized the bureaucratic system and made it more efficient and organized. At court, one minister supervised all the officials and helped the emperor rule. In the provinces, commanderies and counties received instructions from above and saw that they got carried out. Prefects and magistrates were as a rule appointed only after submitting [to the Mongols]. Still one Mongol, called the governor, was selected to supervise them. The prefects and magistrates all had to obey his orders. The fortune of the common people and the quality of the government both were entirely dependent on the wisdom of the governor.
Zhangde, one of the ten routes, is crucial to communication between north and south. In the fourth month of 1236, the court deemed Menggu capable of handling Zhangde, so promoted him from the post of legal officer of the troops of Quduqu to be its governor. At the time, the Jin had fallen only three years earlier. The common people were not yet free of the army, the injured had not yet recovered, those who had fled had not yet returned, and the residents were not yet contented. Because regulations were lax, the soldiers took advantage of their victory to plunder. Even in cities and marketplaces, some people kept their doors closed in the daytime. As soon as Menggu arrived, he took charge. Knowing the people's grievances, he issued an order, "Those who oppress the people will be dealt with according to the law. Craftsmen, merchants, and shopkeepers, you must each go about your work with your doors open, peaceably attending to your business without fear. Farmers, you must be content with your lands and exert yourselves diligently according to the seasons. I will instruct or punish those who mistreat you." After this order was issued, the violent became obedient and no one any longer dared violate the laws. Farmers in the fields and travelers on the roads felt safe, and people began to enjoy life.
In the second month of 1238, Wang Rong, prefect of Huaizhou, rebelled. The grand preceptor and prince ordered Menggu to put down this rebellion, telling him to slaughter everyone. Menggu responded, "When the royal army suppresses rebels, those who were coerced into joining them ought to be pardoned, not to mention those who are entirely innocent." The prince approved his advice and followed it. When Wang Rong surrendered, he was executed but the region was spared. The residents, with jugs of wine and burning incense, saw Menggu off tearfully, unable to bear his leaving. Forty years later when he was put in charge of Henei, the common people were delighted with the news, saying, "We will all survive—our parents and relatives through marriage all served him before."
In 1239 locusts destroyed all the vegetation in Xiang and Wei, so the people were short of food. Menggu reported this to the great minister Quduqu who issued five thousand piculs of army rations to save the starving. As a consequence no one had to flee or starve.
During the four years from 1240 to 1243, the great southern campaigns took place. Wherever the armies passed, the local officials complained. Menggu, through loyal and diligent preparations, was able to supply the troops without hurting the people.
In 1247 some previously pacified cities in the Huai and Han areas rose in revolt. Refugees fled north and south. Border generals and local officials joined the fray, fighting and plundering. Menggu, by establishing trust, was able to gather together more than ten thousand households and settle them down as commoners. Even children were included.
At that time the harvest failed for several years in a row, yet taxes and labor services were still exacted. Consequently, three or four of every ten houses was vacant. Menggu ordered the officials to travel around announcing that those who returned to their property would be exempt from taxes and services for three years. That year seventeen thousand households returned in response to his summons.
In the first month of 1248 Zhu Ge, a bandit from Huizhou, organized a gang and rebelled. The military officers were planning to go overboard in their response to this, but Menggu declared, "The state has honored me, enriched me, delegated control of the troops to me, and entrusted the fate of the region to me. Does it want me to pacify the bandits or become a bandit myself? There is no need to act recklessly. If the bandits are not caught or the rebellion not suppressed, I will accept the responsibility." He then personally led the troops, capturing thirty-eight bandits at Heilu Mountain, and restoring peace to the local population. By fall there were no more rebels. When the bandit Xie Zhiquan rebelled in the third month of 1249, he pacified him the same way.
General Chagan recognized Menggu's honesty and humanity. Whenever the other circuits condemned prisoners to death, he had Menggu conduct the review investigation. Innumerable times, Menggu relied on the law to redress grievances and reduce penalties. Ten years before, a peasant in Anyang had offended a noble and been ordered to turn over six young girls. Menggu ordered the noble official Alachur to marry them all out to commoners. There was a drought in the summer of 1250. After Menggu prayed for rain, moisture became adequate.
In the spring of 1262, Li Tan revolted and sent his henchmen to far away places disguised as mounted couriers. They traveled through many routes, east and west, the officials unable to recognize them. Menggu discovered them and got them to admit their treacherous conspiracy, thus defeating them. When there was a drought in 1263, Menggu prayed for rain and it rained. That year he was given the title Brilliant and August General and made governor of Zhongshan prefecture. In 1270 he was transferred and became governor of Hezhong prefecture. In the spring of 1274 he was allowed to wear the golden tiger tablet in recognition of his long and excellent service, his incorruptibility, and the repute in which he was held where he had served. He was advanced out of order to great general of Huaiyuan, governor of Huaimeng route, and military administrator of several armies. On the 29th of the second month he died of illness in the main room of his private residence at the age of seventy-one.
Menggu was a Mongol, and when young was called Mongol Baer. His father was Xibaer, his mother Lengla. He had six wives..., seven sons,... and six daughters.... Seven years after he was buried, Naohai and his other sons recorded Menggu's virtuous government service for an epitaph and came to ask me to write the inscription.
Alas! When I think about all the government officials of the past and present, I come to the realization that the greedy ones are invariably oppressive and the honest ones are invariably incorrupt, the connection between their virtues and their administrative behavior as automatic as shape to shadow or sound to echo. Those who are greedy are not satisfied; not satisfied, they take by force, not caring how much they harm the world. Those who are honest do not take what is not theirs, no matter how slight it might be. How would they harm others to benefit themselves? The house where Menggu lived when he governed Zhangde nearly forty years ago, and the fields from which he obtained food then, were just adequate to keep out the wind and rain and supply enough to eat. When he died there were no estates or leftover wealth to leave his sons or grandsons. Therefore they had to model themselves on him and concentrate on governing in a way that would bring peace and safety, show love for the people, and benefit all. They have no need to be ashamed even if compared to the model officials of the Han and Tang dynasties....
_Translated by Patricia Ebrey_
## 45 **
A SCHEDULE FOR LEARNING**
_The behavior and outlook of members of the upper class cannot be adequately understood without some appreciation of what they experienced as students. Elementary instruction in reading and writing might require only three or four years, but those who wanted to gain mastery of the classical texts and the literary skills needed to take the civil service examinations had to continue studying much longer, often into their twenties. Some young men studied with tutors, but schools and academies were also quite common._
_The content and character of such education was strongly influenced by the ideas of Zhu Xi (1130-1200), discussed above in selection 40. In the Yuan dynasty, Cheng Duanli (d. 1345) compiled a guide for students and teachers incorporating these ideas, called_ A Schedule for Learning. _The ministry of education had copies of it sent to teachers in all prefectures. Below are Cheng's preface and the rules for a local school established by two disciples of Zhu Xi in the thirteenth century which Cheng included in his first chapter._
#### **
PREFACE**
Nowadays, fathers and older brothers who wish to benefit their youngsters give them an education, and yet hardly two or three out of every ten of our youths actually achieve anything academically. This is not solely the fault of the youngsters and their teachers; the elders, for their lack of foresight, should also share the blame. Before the youngsters have studied and understood the nature of things, they are forced by their elders to compose essays. The teachers, though aware of the danger of such a practice, nevertheless wish to display their own talents; they are therefore willing to comply with such requests. In this way, the sequence of the learning process is confused. Instead of attaining their goals by a shortcut, the youngsters end up not getting anywhere at all. Not only are their writings worthless, but they usually do not even know one book thoroughly. Months and years go by; when they finally realize their mistakes and begin to regret them, they have become too old. Furthermore, when incorrect methods are used in the beginning, various wrong ideas are likely to stick because of the importance of first impressions. This in turn causes the students to wander on the periphery of true learning all their lives, ignorant of their own mistakes.
The sequence of teaching practiced by Confucius was as follows: first he made the students concentrate their minds on the Way; then he taught them virtues; then he made them act in accordance with the principle of humanity. Only after these principles had been incorporated in their daily lives did the students begin to study. In the _Rituals of the Zhou_ the grand educator listed the six arts after the six virtues and six model behaviors, which clearly indicates the order of significance. Our present system of selecting government officials still regards personal virtue as the first criterion; next comes knowledge of the classics and the ability to govern, with writing ability as the last consideration. This is a very reasonable system. The examinations on the classics, furthermore, are based on the teachings of Master Zhu Xi, combining study of philosophy with advancement in officialdom, much to the benefit of those who devote themselves to the Way. This is what the civil service examinations of the Han, Tang, and Song dynasties lacked, and therefore scholars are now offered a rare opportunity. Unfortunately, our students fail to take advantage of this system.
Our students try to follow the teachings of Master Zhu in their study of the classics, yet they are ignorant of his method of study. Because they have no method, they tend to use flowery language to promote themselves. During the period when the teachings of Master Cheng flourished, Hu Wending lamented the wordiness of most people's writing. I fear that the same trend is returning in our time. To correct the situation, I have compiled a "Schedule for Learning," which I would like to share with my friends. This work is based on the selection of Master Zhu's method of study compiled by Fu Hanqing. I have also included other helpful theories by scholars in earlier eras.
In my humble opinion, if we wish to study the classics, to understand the nature of things, to be familiar with all political theories, to investigate our institutions, to be well versed in everthing ancient and modern, to wield language at will, and finally, to popularize our discoveries and contributions throughout the entire nation, we should follow this schedule for learning. For it is the purpose of this work to differentiate between the essential and the trivial and to retain a proper order of progress. In this manner we will not forget what we have learned thoroughly, and we will review and reflect daily on what has not yet been fully digested until it becomes a part of ourselves. Eventually, mind and reason will become one, and a profound tranquillity will be achieved amidst constant changes and movements. There will be a convergence of the self and the Way, and virtues will be reflected naturally in our discourse and writings, which will become models for our contemporaries as well as for posterity. Our method is thus not to be compared with the ordinary methods of studying one narrow subject.
Written by Cheng Duanli, in the eighth month, 1315, at the Academy for Establishing Virtue in Chizhou.
#### **
SCHOOL REGULATIONS ESTABLISHED** _
by Masters Cheng and Dong_
All students of this school must observe closely the following regulations.
1. _Ceremonies held on the 1st and 15th of every month._ At daybreak, the student on duty for that day will sound his clappers. At the first round of the clappers, you should rise, wash your face, comb your hair, and put on proper clothing. By the second round of the clappers, you should be dressed either in ceremonial robes or in summer robes and gather in the main hall. The teachers will then lead you to the image of Confucius, to which you will bow twice. After the incense has been lit, you will make two more bows.
Afterwards, the teachers walk over to the southwestern corner, and you line up in order of your ages in the northeast. Then you pay respect to the teachers by making two bows to them, while the teachers accept the salutation, standing erect. An older student then comes forward and delivers a short greeting; this is followed by two more bows to the teachers. Afterwards, the teachers retire into a room, and you form a circle and bow to each other twice. When this is done, you go to your seats.
2. _Daily salutations held in the morning and in the evening._ On ordinary days, the student on duty sounds the clappers as described above. At the second round of the clappers you will enter the hall and line up to wait for the teachers to come out. Then the teachers and you bow to each other with hands folded in front. Next, you divide into two groups and bow to each other, after which you begin your daily studies.
At night, before bedtime, the clappers are sounded again. You must all gather to repeat the same ceremony as in the morning.
Whenever there is an assembly of students, such as at a group lecture, a dinner, or a tea, the salutations are the same as just described. For a lecture, you should wear ceremonial robes or summer robes. For all other occasions you may dress less formally.
3. _Daily behavior._ You should have a defined living area. When in a group you will be seated according to your ages. When sitting, you must straighten your backs and sit squarely in the chair. You should not squat, lean to one side, cross your legs, or dangle your feet. At night, you should always wait for the elders to go to bed first. After they are in bed, you should keep quiet. Also, you should not sleep during the day.
4. _Gait and posture._ You should walk slowly. When standing, keep your hands folded in front. Never walk or stand in front of an elder. Never turn your back on those who are your superiors in age or status. Do not step on doorsills. Do not limp. Do not lean on anything.
5. _Looking and listening._ Do not gape. Do not eavesdrop.
6. _Discourse._ Statements should always be verifiable. Keep your promises. Your manners should be serious. Do not be boisterous or playful. Do not gossip about your neighbors. Do not engage in conversations about vulgar matters.
7. _Appearance._ Be dignified and serious. Do not be insolent. Do not be rough or rude. Do not be vicious or proud. Do not reveal your joy or anger.
8. _Attire._ Do not wear unusual or extravagant clothing. Yet do not go to the other extreme and appear in clothes that are ragged, dirty, or in bad taste. Even in your private quarters you should never expose your body or take off your cap. Even in the hottest days of summer you should not take off your socks or shoes at will.
9. _Eating._ Do not fill yourself. Do not seek fancy foods. Eat at regular hours. Do not be discontent with coarse fare. Never drink unless on a holiday or unless you are ordered to do so by your elders. Never drink more than three cups or get drunk.
10. _Travel._ Unless you are called upon by your elders, ordered to run errands by your reachers, or faced by a personal emergency, you are not allowed to leave the school grounds at will. Before your departure and after your return you should report to your teacher. You must not change your reported destination, and you must return by the set time.
11. _Reading._ You should concentrate on your book and keep a dignified appearance. You should count the number of times you read an assigned piece. If, upon completion of the assigned number, you still have not memorized the piece, you should continue until you are able to recite it. On the other hand, if you have memorized the piece quickly, you should still go on to complete the assigned number of readings.
Only after a book has been thoroughly learned should you go on to another. Do not read too many things on a superficial level. Do not attempt to memorize a piece without understanding it. Read only those books which expound virtues. Do not look into useless writings.
12. _Writing._ Do not scribble. Do not write slanted or sloppy characters.
13. _Keep your desk tidy._ The assigned seats should be kept in order. Your study area should be simple but tidy. All book chests and clothing trunks should be locked up carefully.
14. _Keep the lecture halls and private rooms clean._ Each day one student is on duty. After sounding the second round of the clappers, he should sprinkle water on the floor of the lecture hall. Then, after an appropriate wait, he should sweep the floor and wipe the desks. The other cleaning jobs should be assigned to the pages. Whenever there is cleaning to be done, they should be ordered to do it, regardless of the time of the day.
15. _Terms of address._ You should address those who are twice your age as "elder," those who are ten years older than you as "older brothers," and those who are about your age by their polite names. Never address one another as "you." The same rules should be followed in letter writing.
16. _Visits._ The following rules should be observed when a guest requests to visit the school. After the teacher is seated and the student on duty has sounded the clappers, all students, properly dressed, enter the lecture hall. After the morning salutation, the students remain standing; only when the teacher orders them to retire may they leave. If the guest should wish to speak to a student privately, he should, after seeing the teacher, approach the student at his seat. If the student finds the visitor imcompatible, he is not obliged to be congenial.
17. _Recreational._ There are rules for the playing of musical instruments, for archery, as well as for other games. You should seek recreation only at the right time. Gambling and chess games are lowly pastimes and should be avoided by our students.
18. _Servants._ Select those who are prudent, honest, and hardworking. Treat them with dignity and forbearance. When they make mistakes, scold them or report to the teacher. If they do not improve after being punished, report to the teacher to have them discharged. A student should not expel his page at will.
If you can follow the above regulations closely, you are approaching the true realm of virtue.
_Translated by Clara Yu_
## 46 **
A SCHOLAR-PAINTER'S DIARY**
_The life of upper-class men involved not only study and official service but also refined pursuits such as collecting antiques or old books and cultivation of the arts—especially poetry writing, calligraphy, or painting. For many individuals these interests totally overshadowed any philosophical, political, or economic concerns; others usually sober-minded found in them occasional outlets for creative activity and aesthetic pleasure. A large share of the informal social life of upper-class men was oriented around these refined pastimes, as they gathered to compose or criticize poetry, to view one another's treasures, or to patronize young talents. In these activities, they frequently mingled with Buddhist and Daoist clergy._
_The diary of Guo Bi, from which sixteen days are given below, illustrates the kind of relationships that existed between poetry, painting, calligraphy, and connoisseur ship in the social and cultural life of a group of upper-class men. Guo Bi was a scholar and artist of the early fourteenth century who painted landscapes and bamboo and was noted for his calligraphy. Diary writing does not seem to have been practiced to any appreciable extent before the Song, and for the next several centuries most diaries, like Guo Bi's, were records of trips._
**1309, The sixth month, 12th day:** Staying at Xinghua. Mr. Zhan Derun invited me for dinner. The guests were the same as yesterday except for Gong Zifang. Zifang is the nephew of Zizhong, and lives in Gaoyou. After dinner, I accompanied the others to Perfect Truth Daoist Monastery, where we sat under four catalpa trees to catch some breeze. I wrote twenty wine poems for Zhao Boqian.
**13th day:** I painted a picture of an impressive stone for Mr. Zhan. The stone was less than a foot long and six or seven inches high. Its shape was very unusual and yet no trace of a chisel could be detected. It was as though it had been carved by fairies. When I finished painting the stone, I asked Mr. Wang, the painter, to come see it. Then with my coconut cup I started drinking, and by noon I was already drunk. Yesterday I went with Gong Zifang, Zang Zixuan, and Xu Guiyan to visit Jinggong at the county school. There we ran into Mr. Zhao and Mr. Huang. All of us sat on the ground and enjoyed a chicken and a jug of wine. When finished with the wine, we went our separate ways.
**14th day:** Staying at Xinghua. Liu Juchuan's new wine had just matured; its taste was pure and its flavor unique. In the morning he brought over a pot, and we enjoyed several cups with Mr. Zhan. At noon Liu barbecued two birds, and we drank some wine together. Besides me, the guests included Huang Zhongwen, Li Jinggong and others. After the wine, Hu Zizhen's brother-in-law, Zang Zixuan, hired a small boat and invited Gong Zifang, Xu Shengzhi, and me to visit Lotus Flower Swamp. Zhao Boqian also came along. After a little while Mr. Zhan, his son, and Liu Juchuan also joined us in another small boat. After lingering for some time, we went to Righteous Road Monastery. The monk in charge prepared wine for us, but I cannot say very much for its taste. Next we went back to the boats and picked lotuses. By this time the sun was setting and a breeze began to blow. We made cups out of lotus leaves and drank wine from them. Those who could not hold their liquor all got drunk. Not until the moon had risen on the horizon did we return. It was a very merry day, except for the mosquitoes—they somehow spoiled the fun.
**15th day:** Staying at the Zhan household at Xinghua. An Dou, the county assistant, and Xing, the warden, came over. Mr. Zhan prepared wine for them and served melons. At night I sat with Mr. Zhan on the bridge. With a cool breeze blowing and the moon shining, we drank some wine and enjoyed the melons.
**16th day:** I made a calligraphy scroll for Mr. Zhan. At noon I drank wine.
**17th day:** Staying at Xinghua. It has been extremely hot every night. I perspired so much, I felt I had been rained on. The mosquitoes in Xinghua are big and ferocious. When you sit unsheltered, they swarm over to attack, and there are so many of them that you feel as if sand had been thrown at you. In the evening, Juchuan invited me to enjoy the cool breeze at the county school. Later I had a few cups of wine with Li, Zang, and Huang.
**18th day:** Staying at Xinghua. Hu Zizhen, Li Jinggong, Wang Shizhong, and I went to the county school and visited Huang Zhongwen in his office. The evening was unbearably hot. Mr. Zhan took a rowboat out onto the lake to get some cool air; yet he too was bothered by the mosquitoes and came back disappointed. That day, Mr. Zhan showed us an ancient bronze vessel with a horse on top and two lines of text under it: "Worthy elders—good sons and grandsons." When one strikes the bronze, it makes a sound.
**19th day:** Had breakfast at Hu Zizhen's. It rained in the evening, then became cooler.
**20th day:** Painted a picture of orchids for Wang Shizhong. I went to Original Goodness Monastery with Gong Zifang and Zang Zixuan to get some cool air. Next we stopped at Four Sages Daoist Monastery. Gong and Zang invited Xu Dongxi, Xu Shengzhi, and me, then all five of us went to visit Liu Dongan. We pooled our money to buy some wine and enjoyed the fragrance of the lotus flowers, not returning until dark. Later I went to the county seat and in the great hall I found a plaque which read: "Hall of Admiration for Fan." They say the plaque was made because Fan Zhongyan had once been magistrate here. In the evening I talked Derun into settling some business.
**21st day:** Staying at the Zhan residence at Xinghua. Liu Juchuan came and had lunch with me. Gong Zifang and Xu Shengzhi bought some paper and asked me to do calligraphy and bamboo drawings for them.
**22nd day:** I gave my writings to Zhan Derun. For my farewell dinner he had a goose cooked. The guests included Hu Zufang. Warden Xing came over. Using a poem by Wei Suzhou, I made a calligraphy scroll for Derun.
**23rd day:** The customs commissioner, Aban, paid me what he owed. Li Jinggong and Zhao Boqian, hearing that I was leaving, presented me with ten catties of yellow fish and brought a roll of paper to ask for samples of my drawing and calligraphy. Warden Xing requested a screen with my calligraphy and bamboo drawings. He offered me presents of two geese, some noodles, and wine cups. I took the wine cups, which were in the Lizhao style.
**24th day:** Everything was set for the trip and I was about to board the boat, when there was suddenly a heavy downpour. It continued all day so I had to stay another day. Xu Dongxi, who is very good at portraits, brought with him two rolls of paper to ask for one of my bamboo sketches. Hu Zizhen made me a present of his calligraphy. He also asked me for a title for Master Wen's painting of grapes and my bamboo sketches. I also painted two old trees for Mr. Zhan. Afterwards I packed.
**25th day:** In the morning I took leave of Mr. Zhan and his son. They gave me a coconut scoop and a square ink block for presents. They asked Wang Shizhong to accompany me to the pier in the rain. Unfortunately, the local officials had appropriated all the boats for catching locusts. I had to ask Wang Shizhong to negotiate with the county government before I was able to leave. That day, Xu Shengzhi and Gong Zifang paid eight thousand cash for the boat fare. By dinner time the three of us had arrived at Gaoyou county. We went to visit Eastern Peak Temple and left our belongings at Gong Zifang's house. In the evening I took a bath and felt refreshed. Compared to Xinghua, Gaoyou had practically no mosquitoes. I slept soundly until midnight. When I woke up my bed was filled with silvery moonlight.
**26th day:** In the morning, Gong Zifang and I went to Heavenly King Monastery. There we visited Abbot Hai and took a look at the newly constructed pavilions. Zifang served me breakfast. Afterwards, on our way to the county seat, we passed Zhuoying Bridge; then we went to the county school to pay our respects to Confucius. At the back of the school there was a pavilion called Love-Lotus, with a plaque written by Qian Chunfu. Further back there was Literary Journey Pavilion, which was built by Chen Maoshu and inscribed by Yan Wufeng. At the side of the pavilion was a shrine housing statues of Sun Xinlao and Qin Taixu. Later I went with Zifang to the market to drink some tea. Returning, I passed by the gate of the painter Zhang Xinjian. When he learned that we were from the same village, he asked me to stay for a cup of tea and showed me his paintings. Next I went to Xu Shengzhi's house, but he happened to be out. At his door, I came across Master Gong Zixiang, and we talked about an encounter we had had thirteen years earlier. The two of us then went up to Westerner Buddhist Monastery, the magnificent architecture of which impressed me. Zixiang dragged me to his place for lunch. He showed me a purple bull painted by Xu Xi and a few other specimens of paintings and calligraphy. Then he brought paper and asked me to do some ten scrolls of calligraphy for him. His three sons were waiting on us; the oldest is called Lifu, the youngest Boya, but the name of the second I cannot recall. After lunch, Zixiang accompanied me back to Zifang's house. Zixiang's residence is called Heavenly Lodge. According to him, there is a "Fair Lady Well" in front of it. Xu Shengzhi came by to see me and left me a pig's head and some pastry as presents. In the evening Zifang cooked a goose and drank wine with me. Lifu brought paper, asking me for some calligraphy. Zifang's brother was also present. Zifang is the son of Yuexi. Even in the summer heat, he treats me like a guest, with extreme hospitality.
**27th day:** In the morning Zifang accompanied me to the outskirts of Gaoyou City to board my boat. I took breakfast in the boat. At noon I got to Zhaobo and changed boats. At that time it started raining very hard, making it impossible to get to shore. Thus, through the pouring rain I rode in a boat which was very damp and narrow. All the riders were common people, so there was no one to talk to. Fortunately, the wind was perfect, and I reached Yangzhou by dinner time. I stopped to see Sheng Maoshi. The two of us then went to a bathhouse. Afterwards, we returned to his place for some wine. Mr. Pei Junde also drank with us. At night I stayed at an inn.
_Translated by Clara Yu_
## PART V
**THE MING DYNASTY**
After the Mongol empire broke apart and the Yuan dynasty collapsed, a Chinese dynasty was founded, the Ming (1368-1644). The early Ming was a period of recovery from some of the setbacks of Mongol rule, but many Yuan institutions were retained, since the forms and institutions of the Song could not be directly or fully restored. The Mongol capital at Beijing was made the Ming capital in 1421 and except for brief intervals has remained the capital of China until today. Economic revival led to a high level of commercial activity and handicraft production, but not to the innovative spirit of the early Song. Nevertheless, the Ming seems to have been one of the most prosperous periods of Chinese history. It was during these centuries that the great potential of south China came to be fully exploited. New crops such as cotton, maize, and sweet potato came to be widely cultivated, and industries such as porcelain and textiles flourished.
The Ming is generally considered the first truly despotic or autocratic Chinese dynasty (if the Yuan is considered an alien dynasty). The problems of central control of a huge, complex empire appeared pressing to the early emperors, who were intent on assuring personal control of the machinery of the bureaucracy and finding ways to keep the officials in line. The Jurchen and Mongol innovation of provincial governments, consisting of branches of the central government, was developed further as a way to cope with the difficulty of direct central control of the whole empire. The censorate, imperial guard, and eunuchs were all used to keep the emperor informed of possible wrongdoing throughout the country. The arbitrary actions of the emperors undoubtedly demeaned the status of high officials and often jeopardized their welfare, but would have had less impact on villagers, whose affairs were still left pretty much to elders and local notables.
Sources for the Ming are even more varied than for the Song. Particularly valuable are genealogies, charters, and other records of group activities which show the proclivity of peasants and townsmen to form corporate groups of various sorts, such as lineages, guilds, village associations, and secret societies. Such groups were probably common before the Ming, but they cannot be as well documented until then. The major reason for forming corporate groups seems to have been to gain protection from the casual mistreatment or exploitation of officials, large landowners, rich merchants, and other powerful people. Once one group of people had organized to protect their own interests, others would imitate them so as not to be left isolated. Indeed, by the Ming there is evidence that isolated individuals, without groups to support them, often lived precarious lives or had to put themselves under the protection of a landlord or employer who could take advantage of their weak position.
Vernacular fiction is another valuable source for the structure and content of social life and culture which becomes plentiful only in the Ming. The development of fiction in the vernacular language had begun in the Song with storytellers, and had progressed further in the Yuan, when drama flourished. During the Ming the stories that had evolved through oral and dramatic performances were written down as short stories and four long novels, _Journey to the West, Romance of the Three Kingdoms, Water Margin,_ and _Jin Ping Mei._ This colloquial fiction is a valuable source for understanding Chinese civilization for two reasons. First, many stories contain realistic portrayals of social life; while often exaggerated for humorous effect, the conversations and behavior of tradesmen, servants, bullies, concubines, government clerks, teachers, and so on are colorfully portrayed and must have corresponded to social types recognized by the audience. The second value of fiction is as a repository of themes, images, and symbols with broad appeal. Much like myths and folk tales, stories of bandits, treacherous women, and docile servants could dramatize the conflicts of everyday life and resolve them in ways emotionally satisfying, even if unrealistic. The great love, from at least the Yuan period on, of stories of the outlaws in the _Water Margin_ saga must be seen in this way—not as evidence that Chinese peasants and townsmen admired bandits (whom they probably considered a scourge if they were ever unfortunate enough to live within their reach), but as evidence that the flouting of authority provided symbols that helped make sense of life as people actually found it. Selections from both _Water Margin_ and _Jin Ping Mei_ are included in Part V.
## 47 **
PROCLAMATIONS OF THE HONGWU EMPEROR**
_In 1368 Zhu Yuanzhang (1328-1398) founded the Ming dynasty. He was the first commoner to become emperor in 1500 years. His origins were truly modest; after his parents died in an epidemic when he was sixteen, he became a monk and even for a while begged for his living. During the chaotic years of the fall of the Yuan dynasty, he became a rebel organizer. In 1356 his group of rebels seized Nanjing and two years later Beijing. Known by his reign title as the Hongwu Emperor, he is famous as both a conscientious and a despotic ruler. In the two proclamations below, he discusses two topics that were to worry social and political observers for the rest of imperial China: the corruption of high officials occupying positions that made extortion or acceptance of bribes all too easy; and the disruptive and dishonest activities of the assorted underlings, runners, guards, and servants who did the bidding of officials and controlled ordinary people's access to them. Hongwu's proclamations can be read as expressions of the values and thoughts of a man who rose meteorically within the Chinese social system. They also reveal much about the working of the bureaucracy and its impact on people's lives._
#### **
AN IMPERIAL EDICT RESTRAINING OFFICIALS FROM EVIL**
To all civil and military officials:
I have told you to refrain from evil. Doing so would enable you to bring glory to your ancestors, your wives and children, and yourselves. With your virtue, you then could assist me in my endeavors to bring good fortune and prosperity to the people. You would establish names for yourselves in Heaven and on earth, and for thousands and thousands of years, you would be praised as worthy men.
However, after assuming your posts, how many of you really followed my instructions? Those of you in charge of money and grain have stolen them yourselves; those of you in charge of criminal laws and punishments have neglected the regulations. In this way grievances are not redressed and false charges are ignored. Those with genuine grievances have nowhere to turn; even when they merely wish to state their complaints, their words never reach the higher officials. Occasionally these unjust matters come to my attention. After I discover the truth, I capture and imprison the corrupt, villainous, and oppressive officials involved. I punish them with the death penalty or forced labor or have them flogged with bamboo sticks in order to make manifest the consequences of good or evil actions.
Those who have died from their punishments are mute. However, those who survive confuse the truth by speaking falsely. Lying to their friends and neighbors, they all say they are innocent. They complain, "The court's punishments are savage and cruel." This kind of slander is all too common. Yet I had clearly warned my officials from the beginning not to do anything wrong. Too often they have not followed my words, thereby bringing disaster upon themselves.
When a criminal commits a crime or when a good person mistakenly violates the law, he is going to be punished. Among these guilty ones there will always be some who are so afraid of being flogged or of dying that they will try to bribe the law enforcement officials with gold and silk. The law enforcement officials, for their part, place no value on bringing glory to their ancestors, their wives and children, or themselves; nor do they seek to preserve their own lives. The guilty persons, afraid of death, use money to buy their lives. The officials, not afraid of death, accept the money, thereby putting their lives in danger of the law. Yet later, when they are about to be punished or are on their way to the execution ground, they begin to tremble in fear. They look up to Heaven and they gaze down at the earth. They open their eyes wide, seeking for help in every direction. Alas, by then it is too late for them to repent their actions. It is more than too late, for they now are no longer able to preserve their lives.
For example, the former vice-president of the ministry of war, Wang Zhi, accepted a bribe of 220,000 cash for making up false reports on runaway soldiers and other matters. I questioned him face to face, "Why are you so greedy?"
He replied, "Money and profit confused my mind. They made me forget my parents and my ruler."
I then asked, "At this moment what do you think about what you did?"
"Facing punishment," he replied, "I begin to feel remorse, but it is too late."
Alas, how easily money and profit can bewitch a person! With the exception of the righteous person, the true gentleman, and the sage, no one is able to avoid the temptation of money. But is it really so difficult to reject the temptation of profit? The truth is people have not really tried.
Previously, during the final years of the Yuan dynasty, there were many ambitious men competing for power who did not treasure their sons and daughters but prized jade and silk, coveted fine horses and beautiful clothes, relished drunken singing and unrestrained pleasure, and enjoyed separating people from their parents, wives, and children. I also lived in that chaotic period. How did I avoid such snares? I was able to do so because I valued my reputation and wanted to preserve my life. Therefore I did not dare to do these evil things.
For fourteen years, while the empire was still unpacified, I fought in the cities and fields, competing with numerous heroes, yet never did I take a woman or girl improperly for my own pleasure. The only exception occurred after I conquered the city of Wuchang. I was enraged at Chen Youliang's invasion, so after I took over the city, I also took over his former concubine. Now I am suddenly suspicious of my own intentions in that case. Was it for the beauty of the woman? Or was it the manifestation of a hero's triumph? Only the wise will be able to judge.
In order to protect my reputation and to preserve my life, I have done away with music, beautiful girls, and valuable objects. Those who love such things are usually "a success in the morning, a failure in the evening." Being aware of the fallacy of such behavior, I will not indulge such foolish fancies. It is not really that hard to do away with these tempting things.
#### **
DISMISSAL OF EXCESSIVE LOCAL STAFF BECAUSE OF THEIR CRIMES**
Among those with no redeeming features, the worst are the riffraff found in the prefectures of Su and Song. It is indeed a great misfortune that these ne'er-do-wells can cause such great disturbances among the cities' inhabitants. For the average town dweller there are four types of occupation. These idle riffraff engage in none of them, but just hang around, concerned only with establishing connections with the local officials. In the city and suburbs of Songjiang alone there are 1350 persons who do not engage in any actual production but busy themselves only with currying favor with local officials. In the city and suburbs of Suzhou, 1521 individuals fall into this category. Alas, those who engage in productive work are few, while those who shirk work are many!
These idlers understand neither the hardships of the farmer nor the hard labor of other occupations. They work for the local government, calling themselves the "little warden," the "straight staff," the "record staff," the "minor official," and the "tiger assistant"—six types in all, each with a different name.
Even during the farmers' busiest season these idle persons will go to the fields to make trouble and interrupt agricultural activities. When it is time to transplant rice, and the farmers, with rice sprouts in their hands, are busy with their chores, these idlers will come into the fields, clutching an official dispatch. They will drag people away from the irrigation water wheel and arrest them on the spot. They have even been known to take the rice sprouts out of a farmer's hands and arrest him right in his field. Yet when formal official matters are not really pressing, government officials are not supposed to interrupt agricultural work. Therefore, how could one interrupt the farmer as he farms with something that is really nothing?
At this time, if I were to thoroughly eradicate this riffraff, in addition to those already imprisoned, I would have to deal with no less than 2000 people from each of these two prefectures. These men take part in none of the four useful occupations. They utilize the prestige of the government to oppress the masses below. If people outside the government do not know how wicked these men are, they are going to say that I am harsh in my punishments, since they see only the severity of the law. They do not know that certain persons have used the name of the court and the government to engage in evil practices.
In the morning I punish a few; by evening others commit the same crime. I punish these in the evening and by the next morning again there are violations. Although the corpses of the first have not been removed, already others follow in their path. The harsher the punishment, the more the violations. Day and night I cannot rest. This is a situation which cannot be helped. If I enact lenient punishments, these persons will engage in still more evil practices. Then how could the people outside the government lead peaceful lives?
What a difficult situation this is! If I punish these persons, I am regarded as a tyrant. If I am lenient toward them, the law becomes ineffective, order deteriorates, and people deem me an incapable ruler. All these opinions can be discerned in the various records and memorials. To be a ruler is indeed difficult.
I have exterminated the vicious riffraff in the prefectures of Suzhou and Songjiang. Evil persons in other areas, seeing this edict, take heed. Discontinue your evil practices and you will perpetuate your good fortune and prosperity. But if you violate this edict, you will be exterminated and your family will be broken. Be cautious! Be cautious!
_Translated by Lily Hwa_
## 48 **
THE DRAGON BOAT RACE**
_The Chinese did not have a custom equivalent to making one day a week a day of rest. In busy seasons, peasants worked long hours every day; in slack seasons they would work less intensively. Festivals and holidays, however, broke up their year and gave them welcome rest. Colorful and entertaining, they were times to have fun. Festivals were also important in creating community identity, since villages or larger communities took pride in the performances they put on and often invited other communities to watch._
_One of the most popular seasonal festivals in China took place on the 5th of the fifth month, which occurred sometime in June according to the Western calendar. The nature of the festival varied from place to place, but where there were rivers, boat races were traditional. The following selection is a description of the boat race as it was performed in Hunan in the late Ming. The account was written by Yang Sichang (1588-1641), a native of the area. He makes it clear that the races were not simple diversion, but occasions for the expression of intense competition, with all the hold over the audience of contemporary sporting events._
The dragon boat race originated in the old Yuan and Xiang regions as a ceremony to call back Qu Yuan.* Being north of Lake Dongting, our Wuling is part of Yuan (Changsha, south of the Lake, is in the old Xiang) and therefore the boat race flourishes here. Since we inherited it directly from the state of Chu of the Zhou dynasty it is only natural that our boat race cannot be matched by that of any other province.
The boat race is held at the center of the prefectural seat. The most distant places from which boats still come are Yujiagang, fifteen _li_ downstream, and Baishadu, thirty-five _li_ upstream. On the day of the festival, flagmen and drummers on boats going to and fro make a deafening noise heard for about fifty _li._ The race course runs for about ten _li_ along the southern shore from Duanjiazui to Qingcaozui and along the northern shore from Shangshigui. The river is wide there and well suited for a race course. The southern shore is covered with grass, forests, and snowy white sands. On the northern shore are high buildings with beautifully painted balconies and old city walls. The spectators gather there....
The current popular belief is that the boat race is held to avert misfortunes. At the end of the race, the boats carry sacrificial animals, wine, and paper coins and row straight downstream, where the animals and wine are cast into the water, the paper coins are burned, and spells are recited. The purpose of these acts is to make pestilence and premature death flow away with the water. This is called "sending away the mark." Then the boats row back without flags and drumbeating. They will be pulled onto land and housed in huts on the shore till the next year, as this year's races are over. About this time the people have rites performed to ward off fires. Also, those who are ill make paper boats in the same color as the dragon boat of their region and burn them at the shore....
Priests of local temples are employed during the boat races in order to suppress evil influences. Sometimes people go to the mountains to invite famous priests, called "mountain teachers," who are especially skillful. The night before the race, the headman provides sacrificial animals and wine and asks the priest to perform. The priest jumps head over heels from the bow to the stern. Buckwheat is scattered and a fire is lighted. This is called "brightening the boat." Drums are beaten throughout the night to ward off the influences of opposing priests, who, if caught, might be beaten to death.
On the day of the races the priest makes an oil fire to launch the boat. He can foresee unfailingly the victory or defeat of the boat from the color and height of the flame. The god he serves is called the Immortal of Xihesa. The priest's spells include "the furious fire of the violent thunder burning Heaven." His finger charms include "arresting the front dragons," "stopping the devil-soldiers," and "moving the mountains and overturning the seas." With his trouser legs rolled up and his feet bare, he jumps seven steps and then throws water into the fire. When the fire rises again, the boat starts. Some sentences of his spell are: "The Heaven fire burns the sun. The earth fire burns the five directions. The thunder fire, executing the law, burns to death the various inauspicious things. The dragon boat taking to the water will float at will in the five lakes and four seas." The outer side of the bottom of the boat is swept with a bundle of reeds from stem to stern in order to prevent anything from being hung on the boat by an enemy. The other ceremonies, being secret, cannot be described.
The man chosen as the headman of a racing boat must be brave and have a family. Several days before, he distributes steamed cakes and pieces of paper to those who belong to his region and is repaid in money. On the top of the pieces of paper pictures of dragon boats are printed and on the bottom some sentences are written.
Supplying food and wine during the race is assigned to rich men, who are honored if they contribute generously. Others supply food because they have made a vow to do so. On the day of the races there are small boats in the river bringing food. They are decorated with two trees of paper money and colored silks, and musicians play in them. The boatmen must force in the food and wine beyond the point of satiation until nothing is left. Otherwise anything left has to be thrown into the water together with the dishes and chopsticks.
In the evening when the boats return, the people take the water in the boats, mix it with various grasses, and use it to wash their bodies. This is said to prevent bad luck and is a kind of purification.
The boatmen are all familiar with the water and are expert swimmers, but the headman, flagman, drummer, and clapper need not be able to swim, as the oarsmen are responsible for their lives. On the day of the races all wear on their heads the charms furnished by the priest and stick small reddish-yellow flags with egret feathers in the hair at their temples to ward off evil. The spectators display red or green pieces of silk, some with sentences written on them, and give them to the passing dragon boats as presents. As a boat passes by its home base, the people set off fireworks, wave their fans, and applaud. If the boat belongs to some other place, they shout ridicule at it, some of them getting angry and even throwing tiles at it. The boatmen respond by grabbing their oars or gesturing to show their willingness to fight....
Each boat belongs to a distinct region, and the people of its home base quarrel with those of the others about who won and who lost. Even the children and women do not admit defeat. Most men who have moved away from where their ancestors lived are still loyal to the boat of their ancestral region. But others who have moved do not root for any boat, which makes them despised by their neighbors as cowardly. At this time, while playing chess, guessing fingers, and even when drinking, people say nothing but "victory." Sometimes they shout "dong, dong" to imitate the sound of the drums; sometimes they wave their sleeves to accompany the rowing and cry "victory! victory!" It is the custom to have this kind of enthusiasm for the races. Officials stationed within the territories of the different boats should not join the contending groups, but, in fact, they are also divided according to the popular way of thinking....
The people watch the boat races from the shore. Along the northern shore from Qingpingmen to Shigui, about five or six _li,_ are buildings of three or four stories in which space can be reserved by paying an advance fee of up to several hundred cash. On the day of the races, the people, carrying wine bottles and food boxes, ride on carts and horses or walk along the roads to get there by mid-morning. Tables are covered with fruit and food for sale. The best fruits are the "plums from the Han family" and the "wheat-yellow peaches"; the food includes shad and vegetables. When the start of the race is announced, everyone stops talking, laughing, or leaning against the balustrades. Attentively they watch, wondering which is their boat and whether it will meet victory or defeat. All too quickly victory is decided. Then some are so proud it seems as if their spirits could break the ceiling, and some have faces pale as death and seem not to know how to go down the stairs....
The people can only rent space in buildings within their respective regions. Those who belong to the flower or the white boat do not enter the region of the black boat; those of the black or the red boat do not enter that of the flower boat. No one would do so consciously unless he wanted a fight, because sometimes terrible consequences result.
Because there are too few buildings for all the spectators, there are numerous food shelters on the southern shore and houseboats in the river. People on the southern shore can see quite clearly as the boats cross the river from the northern to the southern bank. When a boat nears a bank, if it does not belong to their region, people fling stones at it, and the men on the boat wave their oars menacingly. The spectators' boats in the river often obstruct the route of the racing boats. If a boat happens to be just in front of a racing boat and cannot get out of the way, it can be broken to pieces in seconds....
The victorious boat rows with its stern forward. The men hold their oars vertically, dance, and beat gongs on the boat. When they pass a losing boat, they threaten it. Those losing try to do the same but with less spirit, or if a little further behind, they silently acknowledge defeat. At sunset the boats disperse. At the home of the headmen, feasts are prepared and the boatmen all gather to dine. At the victor's home, food and wine are especially abundant and his neighbors, relatives, and friends come to offer congratulations. The next day, the door of his house will be beautifully decorated with colored silk, and a feast and a dramatic performance will be held. Some people write sentences or short poems on the city gates to ridicule the losers, or tie up a dog or a tortoise with some grass and fruit and place them there for the same purpose. When the men of the defeated boats happen to pass by, they lower their heads and go on their way. Their relatives or friends sometimes send such things to them to make fun of them.
From the fourth month the people begin to talk enthusiastically about the boats. In the fifth month the race is held and victory and defeat are decided. Yet even by the eighth or ninth month the people are still not tired of the subject.
Translated by Patricia Ebrey
* Qu Yuan (322-295 b.c.) was the archetype of the loyal minister who lost the favor of his king through slander. In despair, he threw himself into the river to drown.
## 49 **VILLAGE ORDINANCES**
_In every dynasty villages were allowed considerable self-government, and by the Ming many villages had councils that set and tried to enforce their own rules or ordinances. Well-known Confucian scholars, including Zhu Xi in the Song and Wang Yangming in the Ming, urged local literati to take leadership roles in helping villagers in these activities, seeing them as ways to promote morality and good social order._
_The following three sample village ordinances come from late Ming reference books aimed at broad audiences and consequently given titles like_ The Complete Compilation of Everything the Gentry and Commoners Need to Know _and_ The Complete Book of Practical Information Convenient for the Use of Commoners. _The sample ordinances in them provide evidence of the principles by which villages, or at least village leaders, thought their affairs should be run and show the kinds of restraints people could be placed under by decisions of their neighbors._
#### **
PROHIBITION ORDINANCE**
In the imperial court there are laws; in the village there are ordinances. Laws rule the entire nation; ordinances control only one area. Although laws and ordinances differ in scope, the matters they deal with are equally significant.
Each year we set up ordinances for our village, and yet, to our deep regret, they are denigrated by the greedy and overturned by the influential. As a result, they are rendered ineffective, customs deteriorate, and incalcuable damage is done by our people and their animals.
The problem is not that ordinances cannot be enforced; rather, it is that those in charge of the ordinances are unequal to their posts, and those who design them are incompetent. Recently we have followed the suggestion of the villages and grouped all households into separate districts, each with a fixed number of members. On the first and the fifteenth of each month, each district will prepare wine and hold a meeting to awaken the conscience of its residents. In this manner, contact between the high and low will be established, and a cycle will be formed. Anyone who violates our village ordinances will be sentenced by the public; if he thinks the sentence is unfair, he can appeal to the village assembly. However, let it be known that no cover-up, bribery, blackmail, or frame-up will be tolerated; such evil doings will be exposed by Heaven and punished by thunder. We know that even in a small group there are good members as well as bad ones; how can there be a lack of honest people among our villagers?
From now on, our ordinances will be properly enforced and the morality of our people will be restored. The village as a whole as well as each individual will profit from such a situation, and there will be peace between the high and the low, their morality and custom having been unified. Thus, what is called an "ordinance" is nothing but the means to better ourselves.
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ORDINANCE PROHIBITING GAMBLING**
This concerns the prohibition of gambling. Those who are farmers devote their time to their work and certainly do not gamble. It is the unemployed vagrants who have the gambling disease—a disease which is detrimental to social customs and ruins family fortunes. Unfortunately in our village the population increases daily, and proper behavior does not prevail. As a result vagrancy becomes the fashion. Among us there are homeless rovers who, lacking occupations, form gangs and occupy themselves solely with gambling. They either bet on card games or play with dice; vying to be the winner, they continue day and night, without food or sleep. They have nothing with which to support their parents or their wives and children. Thus, unlawful intents are born, and wicked schemes are hatched. In small offenses they dig holes or scale walls, using all the cunning they have to steal from others; in more serious cases they set fires and brandish weapons, stopping at nothing. If we fail to prohibit gambling, the situation will become impossible. This is why we are gathered here to enact an ordinance for the prohibition of gambling. From now on those in question should repent for their past sins and reform their souls; they should espouse duty and kindness; they should tend to their principal occupations. Should there be anyone who persists in this evil practice and fails to honor this ordinance, he will definitely be punished. The light offenders will be confined, upon the decision of our village assembly, and the serious ones will be brought to the officials for sentence.
Our purpose is clearly stated in the above, and this notice is not posted without good reason.
#### **
PROHIBITION ON TRAVEL AT NIGHT**
This ordinance is drawn up by so-and-so to prohibit travel at night, for the purpose of safeguarding our village.
In ancient times, night travel was strictly prohibited, and violaters were punished without exception. Robbers and thieves were prevented from climbing walls and boring holes in houses, to the benefit of all the inhabitants of the area.
Recently, however, night wanderers, instead of resting at night, have dared to saunter around at will. Because of this we have prepared wine and called for this meeting to draw up a strict ordinance. As soon as the sun sets, no one will be allowed to walk about; not until the fifth drum will traffic be allowed to start again. We will take turns patrolling the streets, carrying a bell, and clapping the nightwatchman's rattle. He who sights a violator will sound his gong, and people in every household will come out with weapons to kill the violator on the spot. Should anyone fail to show up for roll call at the sound of the gong, he will be severely punished upon the decision of the village assembly.
We have made copies of this ordinance to be posted at various places so that night wanderers will be warned and thieves and rogues will not prevail. Duly enacted.
_Translated by Clara Yu_
## 50 **
COMMERCIAL ACTIVITIES**
_As seen in selection 14, "The Debate on Salt and Iron," early Confucian views were distrustful of the profit motive and consequently of commercial activity in general. Still, merchants thrived in almost all periods of peace, and Chinese society by Ming times was highly commercialized. The two parts of this selection show two sides of Chinese commercialization: ordinary people's buying and selling, borrowing and mortgaging; and merchants' far-flung pursuit of profit._
_The first part consists of seven blank contracts taken a late Ming reference book. By the Tang dynasty, contracts were widely used in China for private transactions. In the Ming even illiterate peasants generally realized the importance of having a piece of paper to prove the original terms of an agreement. Financial agreements could be drawn up by any two individuals, but brokers or witnesses were often asked to participate. Legal experts were rarely consulted; instead people would use sample contracts (or scribes who had books of them) to ensure that the key issues had been covered, such as the stipulation that the transaction had not been coerced and the specification of responsibility if anything went wrong._
_Often one of the parties in a financial transaction of the sort covered in these contracts was a small town merchant. Other merchants dealt at a much larger scale in interregional wholesale trade, and often made great fortunes. Rich merchants regularly educated their sons as scholars, and many scholars and officials in Ming times came from commercial families. Ming views of merchants and their social roles are revealed in two essays given here. The first was written by Zhang Han (1511-1593), a Ming official whose family had established its fortune through the textile industry. It shows ambivalent feelings toward merchants and commerce not atypical of the period. The second is a biography of a merchant respected for his skills in business but even more for his virtue and generosity. It was included in a collection of biographies compiled by Wang Daokun (1525-1593), a high official and writer who was the son and grandson of salt merchants._
#### **
SAMPLE CONTRACT FOR THE SALE OF A HOUSE**
The undersigned sellers, ____, unable to sustain themselves, agree to sell their part of the house with ___ rooms, together with the main structure of ___ rooms, encompassing ___ to the east, ___, to the west, ___ to the south, ___ to the north, its boundary clearly stated in the above, including the tiles on the roof and the land on which the house is constructed (for those who do not sell the land, just state: "the foundation of the house"), complete with doors and windows, all in sound condition, to the buyer, ____. This transaction is mediated by ____.
On this date, all three parties negotiated the price, which comes to ___ only. The deed and the full payment were exchanged, leaving no outstanding debts.
Before this transaction, all the sellers' relatives involved were consulted. The house has not been previously sold or mortgaged. Should any questions arise, the sellers assume full responsibility.
This transaction is completed out of the free will of the seller and the buyer; there has been no pressure from any creditor to sell the house as payment for debts. After the sale, the buyer will have full control of the property and there should be no other disputes. (In cases where only the house is for sale, then state: "The sellers will vacate the premises on the date selected by the buyer, their noncompliance or resistance being prohibited.") Should either party violate any terms of this contract, he will have to compensate the other party with an amount equivalent to half of the total sale price.
This contract is draw up as evidence of the sale.
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SAMPLE CONTRACT FOR THE MORTGAGE OF A HOUSE** *
The undersigned mortgagor, ___, because of inadequate funds, agrees to mortgage his house of ___ rooms, encompassing ___ to the east, ___ to the south, ___ to the west, ___ to the north, its boundary clearly stated in the above, through a mediator to the mortgagee, ____, for ___ amount of silver, which has been received in full. The house is now available for immediate occupancy by the mortgagee.
It is agreed that the sum received will not accrue any interest and the house will not yield any rent. The mortgage will remain effective until ____ year, at which time the mortgagor will, by reimbursing the mortgagee for the sum specified above and presenting this contract as evidence, reclaim his property.
If the mortgagor is unable to pay back the mortgagee at the specified time, the latter will be entitled to continue occupancy of the house; the mortgagor will also be fined ___ amount.
It is further stated that there are no prior mortgages on the house, nor are there any questions as to its ownership. Should any such question arise, it will be the sole responsibility of the mortgagor.
This contract is drawn up as evidence of the present mortgage transaction.
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SAMPLE CONTRACT FOR THE SELLING OF CATTLE**
The undersigned seller, ____, agrees to sell a water buffalo (bull/cow), its age as indicated by its teeth, its body intact, having four limbs, head and tail, to the buyer, ____, for use in ploughing. The seller, the buyer, and the mediator have agreed on the price, ___, which is to be paid in full on the same day this contract is signed. The condition of the merchandise has been examined by the buyer; the seller assumes full responsibility for its origin.
This contract is drawn up as evidence of the sale.
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SAMPLE CONTRACT FOR THE PURCHASE OF A CONCUBINE**
The undersigned, ____, from ____ village, has agreed to give in marriage his own daughter ____, aged ___ years, to the second party, ____, as a concubine, through the mediator, ____.
On this date the undersigned has received ___ amount as betrothal payment. He agrees to give his daughter away on the date selected by the second party. He will not dare to cause any difficulties or to extort more money from the second party. He also guarantees that the girl has not been previously betrothed, and that there is no question as to her origin. Should such questions arise, or should the girl run away, he will he held responsible. Should the girl die of unexpected circumstances, it is her fate, and not the responsibility of the second party.
This contract is drawn up as evidence os the agreement.
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SAMPLE CONTRACT FOR THE SELLING OF A SON FOR ADOPTION**
The undersigned, ____, from ____ county, ____ village, is unable to raise his own son ___, aged ___ years, because of poverty. After consulting his wife and relatives (uncle/brother ____ and ____, etc.), he has decided to sell the child, through a mediator, to ____ as an adopted son.
On this date the undersigned received ___ amount of money from the second party, and the transaction was completed. The second party agrees to raise the child, who will be at his disposal for marriage, will be as obedient to him as a servant, and will not avoid labor or run away. This contract is signed out of the free will of both parties, there being no prior sales, and no questions as to the origin of the child; nor is the seller forced by a creditor to sell the child as payment for debts. From now on the child belongs to his new owner; alive, he shall never return to this original family; dead, he shall not be buried in the graveyard of his original family. Should he run away or be kidnapped, only the seller and the mediator are responsible; should the child die of unexpected circumstances, it is his fate, and not the responsibility of his owner.
This contract, stamped with the palm prints of the child, is to be held by the owner as evidence of the transaction.
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SAMPLE CONTRACT FOR HIRING A WORKER**
The undersigned, ____, in order to support his family, agrees to work for ____ for one year as a laborer. The wages of ___ have been agreed on by both parties and are to be drawn by the employee at set intervals.
After the contract becomes effective, the hired worker will not avoid labor, but will devote himself to it. Should any unpredictable misfortune befall him, it is his fate, and not the responsibility of his master. If he should fail to work, deductions will accordingly be made from his daily wages.
This contract is drawn up as evidence of the agreement.
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SAMPLE CONTRACT FOR FORMING A BUSINESS PARTNERSHIP**
The undersigned, ____ and ____, having observed that partnerships bring profit and enterprise brings success, have agreed to pool their capital for profit. As witnessed by a mediator, ____, they have each contributed ___ as capital, and will cooperate sincerely in their business venture. The profit yielded will be divided between them each year to provide for their families. The capital will remain untouched to serve as the fountainhead of the business. Each individual will take care of his own personal expenses and not draw from the capital, nor should business and private expenditures be in any way mixed in bookkeeping. The two parties have taken an oath by drinking blood-wine to work together in harmony and share both profits and losses. They will not disagree, feud, or seek separate profits. The party that breaks this contract will be persecuted by gods and men alike.
This contract is drawn up in two copies as evidence of the agreement.
_Translated by Clara Yu_
#### **
ZHANG HAN'S ESSAY ON MERCHANTS**
Money and profit are of great importance to men. They seek profit, then suffer by it, yet they cannot forget it. They exhaust their bodies and spirits, run day and night, yet they still regard what they have gained as insufficient.
Those who become merchants eat fine food and wear elegant clothes. They ride on beautifully caparisoned, double-harnessed horses—dust flying as they race through the streets and the horses' precious sweat falling like rain. Opportunistic persons attracted by their wealth offer to serve them. Pretty girls in beautiful long-sleeved dresses and delicate slippers play stringed and wind instruments for them and compete to please them.
Merchants boast that their wisdom and ability are such as to give them a free hand in affairs. They believe that they know all the possible transformations in the universe and therefore can calculate all the changes in the human world, and that the rise and fall of prices are under their command. They are confident that they will not make one mistake in a hundred in their calculations. These merchants do not know how insignificant their wisdom and ability really are. As Zhuangzi says, "Great understanding is broad and unhurried; little understanding is cramped and busy."
Because I have traveled to many places during my career as an official, I am familiar with commercial activities and business conditions in various places. The capital is located in an area with mountains at its back and a great plain stretching in front. The region is rich in millet, grain, donkeys, horses, fruit, and vegetables, and has become a center where goods from distant places are brought. Those who engage in commerce, including the foot peddler, the cart peddler, and the shopkeeper, display not only clothing and fresh foods from the fields but also numerous luxury items such as priceless jade from Kunlun, pearls from the island of Hainan, gold from Yunnan, and coral from Vietnam. These precious items, coming from the mountains or the sea, are not found in central China. But people in remote areas and in other countries, unafraid of the dangers and difficulties of travel, transport these items step by step to the capital, making it the most prosperous place in the empire....
South of the capital is the province of Henan, the center of the empire. Going from Kaifeng, its capital, to Weizhong, one can reach the Yangzi and Han rivers. Thus, Kaifeng is a great transportation center; one can travel by either boat or carriage from this spot to all other places, which makes it a favorite gathering place for merchants. The area is rich in lacquer, hemp, sackcloth, fine linen, fine gloss silk, wax, and leather. In antiquity, the Zhou dynasty had its capital here. The land is broad and flat, the people are rich and prosperous, and the customs are refined and frugal....
In general, in the southeast area the greatest profits are to be had from fine gauze, thin silk, cheap silk, and sackcloth. Sanwu in particular is famous for them. My ancestors' fortunes were based solely on such textile businesses. At the present time, a great many people in Sanwu have become wealthy from the textile industry.
In the nation's northwest, profits are greatest in wool, coarse woolen serge, felt, and fur garments. Guanzhong is especially famous for these items. There is a family named Zhang in that area which has engaged in the animal-breeding business generation after generation. They claim to have ten thousand sheep. Their animal-breeding enterprise is the largest in the northwest and has made them the richest family in the area. In the surrounding areas of Yan, Zhou, Qi, and Jin, many other people have also become rich from animal breeding. From there, merchants seeking great profits go west to Sichuan and south to Guangdong. Because of the nature of the special products from the latter area—fine and second-grade pearls, gold, jade, and precious woods—profits can be five-or tenfold or more.
The profits from the tea and salt trades are especially great, but only large-scale merchants can undertake these businesses. Furthermore, there are government regulations on their distribution, which prohibit the sale of tea in the northwest and salt in the southeast. Since tea is produced primarily in the southeast, prohibiting its sale to the non-Chinese on the northern border is wise and can be enforced. Selling privately produced salt where it is manufactured is also prohibited. This law is rigidly applied to all areas where salt is produced during the Ming dynasty. Yet there are so many private salt producers there now that the regulation seems too rigid and is hard to enforce.
Profits from selling tea and the officials' income from the tea tax are usually ten to twenty percent of the original investment. By contrast, merchants' profits from selling salt and official income from the salt tax can reach seventy to eighty percent of the original invested capital. In either case, the more the invested capital, the greater the profit; the less the invested capital, the less the profit. The profits from selling tea and salt enrich the nation as well as the merchants. Skillful merchants can make great profits for themselves while the inept ones suffer losses. This is the present state of the tea and salt business.
In our Zhejiang province it appears that most of the rich gain their wealth from engaging in the salt trade. But the Jia family in Wuling became rich from selling tea and have sustained their prosperity for generations. The [ancient] _Book of Zhou_ says, "If farmers do not work, there will be an insufficiency of food; if craftsmen do not work, there will be an insufficiency of tools; if merchants do not work, circulation of the three necessities will be cut off, which will cause food and materials to be insufficient."
As to the foreign trade on the northwestern frontier and the foreign sea trade in the southeast, if we compare their advantages and disadvantages with respect to our nation's wealth and the people's well-being, we will discover that they are as different as black and white. But those who are in charge of state economic matters know only the benefits of the Northwest trade, ignoring the benefits of the sea trade. How can they be so blind?
In the early years of the frontier trade, China traded sackcloth and copper cash to the foreigners. Now we use silk and gold but the foreigners repay us only with thin horses. When we exchanged sackcloth and copper cash for their thin horses, the advantage of the trade was still with China and our national wealth was not endangered. But now we give away gold and silk, and the gold, at least, will never come back to us once it flows into foreign lands. Moreover, to use the silk that China needs for people's clothing to exchange for useless, inferior horses is clearly unwise.
Foreigners are recalcitrant and their greed knows no bounds. At the present time our nation spends over one million cash yearly from our treasury on these foreigners; still we cannot rid ourselves of their demands. What is more, the greedy heart is unpredictable. If one day these foreigners break the treaties and invade our frontiers, who will be able to defend us against them? I do not think our present trade with them will ensure us a century of peace.
As to the foreigners in the southeast, their goods are useful to us just as ours are to them. To use what one has to exchange for what one does not have is what trade is all about. Moreover, these foreigners trade with China under the name of tributary contributions. That means China's authority is established and the foreigners are submissive. Even if the gifts we grant them are great and the tribute they send us is small, our expense is still less than one ten-thousandth of the benefit we gain from trading with them. Moreover, the southeast sea foreigners are more concerned with trading with China than with gaining gifts from China. Even if they send a large tribute offering only to receive small gifts in return, they will still be content. In addition, trading with them can enrich our people. So why should we refrain from the trade?
Some people may say that the southeast sea foreigners have invaded us several times so they are not the kind of people with whom we should trade. But they should realize that the southeast sea foreigners need Chinese goods and the Chinese need their goods. If we prohibit the natural flow of this merchandise, how can we prevent them from invading us? I believe that if the sea trade were opened, the trouble with foreign pirates would cease. These southeast sea foreigners are simple people, not to be compared to the unpredictable northeast sea foreigners. Moreover, China's exports in the northwest trade come from the national treasury. Whereas the northwest foreign trade ensures only harm, the sea trade provides us with only gain. How could those in charge of the government fail to realize the distinction?
Turning to the taxes levied on Chinese merchants, though these taxes are needed to fill the national treasury, excessive exploitation should be prohibited. Merchants from all areas are ordered to stop their carts and boats and have their bags and cases examined whenever they pass through a road or river checkpoint. Often the cargoes are overestimated and thus a falsely high duty is demanded. Usually merchants are taxed when they enter the checkpoint and are taxed again at the marketplace. When a piece of goods is taxed once, the merchant can still make some profit while complying with the state's regulations. But today's merchants often are stopped on the road for additional payments and also suffer extortions from the clerks. Such exploitation is hard and bitter enough but, in addition, the merchants are taxed twice. How can they avoid becoming more and more impoverished?
When I was vice-president of the Board of Public Works in Nanjing, I was also in charge of the customs duties on the upper and lower streams of the Black Dragon River. At that time I was working with the censor, Fang Keyong. I told him, "In antiquity, taxes on merchants were in the form of voluntary contributions based on official hints, not through levies. Levying taxes on merchants is a bad policy. We should tax people according to their degree of wealth or poverty. Who says we cannot have good government?" Fang agreed with me, so we lowered the taxes on the merchants some twenty percent. After the taxes were lowered, merchants became willing to stop at the checkpoints. All boats now stop when they should and the total tax income received from merchants has increased fifty percent. From this example one can see that the people can be moved by benevolent policies.
#### **
THE BIOGRAPHY OF ZHU JIEFU**
Zhu Jiefu, whose formal name was Jie, started as a Confucian scholar. He was from Tunxi of Xiuning and his father, Xing, was a salt merchant who lived away from home at Wulin. Xing had taken Shaoji of Wulin as his concubine but she was barren. Later, when he returned home for his father-in-law's birthday, his primary wife became pregnant and gave birth to Jiefu. In his early childhood, Jiefu lived in Wulin with his father and went to school there. Shaoji, relying on his father's favor, did not treat him as her son. Jiefu, however, served her respectfully and worked diligently in school. At the age of fourteen, he officially registered Wulin as his native place and was designated an official student of that place. Shortly thereafter, his father died at Wulin. The concubine took the money and hid it with some of her mother's relatives and would not return to her husband's hometown. Jiefu wept day and night, saying, "However unworthy I may be, my late father was blameless." Finally the concubine arranged for the funeral and burial of Jiefu's father in his hometown. Thus, everything was done properly.
After the funeral, Jiefu was short of funds. Since for generations his family had been in commerce, he decided not to suffer just to preserve his scholar's cap. Therefore he handed in his resignation to the academic officials and devoted himself to the salt business. He thoroughly studied the laws on salt merchandising and was always able to talk about the strength and weaknesses of the law. When the envoy from the salt manufacturing division asked for his suggestions, Jiefu would respond promptly. As a result, all the other salt merchants respected him as their leader.
During the Jiajing period [1522-1567], salt affairs were handled by the central law officer, who increased the taxes suddenly, causing great inconvenience for the merchants. They gathered in Jiefu's house and asked him to serve as their negotiator. Jiefu entered the office and stated the advantages and disadvantages of the new law eloquently in thousands of words. Leaning against his couch, the central law officer listened to Jiefu's argument and finally adopted his suggestions.
At that time, the merchants suffered greatly from two scoundrels who often took them to court in the hopes of getting bribes from them. During tense moments at trials, the merchants usually turned to Jiefu as their spokesman. Being lofty and righteous, he always disclosed the scoundrels' crimes and incriminated them. The merchants thus esteemed Jiefu for his virtue and wanted to give him a hundred taels of gold as a birthday present. But he protested, "Even if my acts have not been at the lofty level of a knight-errant, I did not do them for the sake of money." Thus, the merchants respected him even more and no longer talked about giving him money.
When there was a dispute among the merchants that the officials could not resolve, Jiefu would always promptly mediate it. Even when one group would go to his house and demand his compliance with their views, he would still be able to settle the dispute by indirect and gentle persuasion. Hence, people both far and near came one ofter the other to ask him to be their arbitrator. Yet, after settling a dispute, Jiefu would always step aside and never take credit himself.
The populace in Tunxi city where Jiefu lived was militant and litigious. When he returned home for his father's funeral, slanderous rumors were spread about him, but Jiefu humbled himself and never tried to get back at the instigators. Later, when he rapidly grew rich, people became even more critical. Jiefu merely behaved with even greater deference. When the ancestral shrine fell into disrepair, Jiefu on his own sent workmen to repair it. When members of his lineage started talking about it, he had the workmen work during the day and consulted with his relatives in the evening. Finally the whole lineage got together and shared the task with him.
Once Jiefu bought a concubine in Wulin who bore a child after only a few months. His family was about to discard the child but Jiefu upbraided them, saying, "I love my children dearly. How could I cause someone else's child to die in the gutter?" He brought the child up and educated him until he was able to support himself.
In the past many wealthy merchants in the eastern provinces had striven to associate themselves with the gentry. But for several years the merchants had been barely scraping by, limiting their access to such friendship. Yet when Jiefu was in East Yue for business he became acquainted with some members of the gentry there. He gained a reputation for his hospitality, and even when common people visited him, he always treated them very well. Some people came to rely upon Jiefu as much as if he were a relative. If he did not offer them enough, they would complain, "You stupid little rich merchant, why are you so stingy with me?"
Jiefu finally discontinued his salt business and ordered his son to pursue a different career. By that time he was already planning to retire to his hometown. Then in 1568 a central law officer who was appointed to inspect the salt business started to encourage secret informants. Soon Jiefu was arrested, an enemy having laid a trap for him. However, the official could not find any evidence against him. But then He, whose son Jiefu had once scolded, came forward to testify. Consequently, Jiefu was found guilty. When the litigation against him was completed, he was sentenced to be a frontier guard at Dinghai. The merchants said, in describing Jiefu's case, "Beating the drum, the official seized a lamb and claimed it to be a tiger; pretending to net a big fish, he actually aimed at the big bird."
When Jiefu received his sentence to enter the army, he controlled his feelings and immediately complied. His son, fearing his father would acquire a bad name, suggested that he send a petition to the emperor. Jiefu merely sighed and said, "Your father must have offended Heaven. The truth is that the central law officer is a representative of his Heavenly Majesty, not that your father is falsely charged."
The frontier general Liu had heard of Jiefu and therefore summoned him to work in his own encampment. At that time, a friend of the general's moved to Xindu upon his retirement. The general sent Jiefu to Xindu as his personal messenger but within a short time Jiefu became seriously ill. He advised his son, Zhengmin, "Your father's name has been recorded in the official labor records. Now he is about to die as a prisoner. Never let your father's example stop you from behaving righteously. Remember this." Then at the age of sixty-five, he died.
_Translated by Lily Hwa_
* Note the difference between this kind of mortgage and our own: In this case the owner of the house is essentially "pawning his house for a sum of money; he cannot live in the house until he repays the loan.
## 51 **WHAT THE WEAVER SAID**
_By the Ming dynasty, textile production had become a major industry involving considerable specialization and establishment of large and small workshops, networks of brokers, and markets. Cotton cloth was woven mainly by peasants working in their homes as a means of gaining extra income. Fancy silks, however, were generally produced in workshops by weavers paid wages. Below is an account of a weaver in such a workshop written by the scholar and teacher Xu Yikui (d. ca. 1400). His purpose in recording his conversation with the weaver was to provide a moral lesson, but there is no reason to doubt his description of what he saw and heard._
When I lived in Xiangan Ward in Qiantang, I had a wealthy neighbor who employed live-in weavers. Late every evening one of them would start to sing and the rest would join in. From the sound of their voices, they seemed to be cheerful. "How happy they are!" I sighed.
One morning I walked over there and found it to be just a rickety old house. There were four or five looms in a room, arranged in a row from the north to south, and about ten workers, all of whom were laboring with both hands and feet. They looked pale and spiritless. I called one worker over and said, "From what I have seen, your work is very hard. Why are you still so happy?"
The worker replied, "Happiness is determined by the thoughts in a person's mind. If he isn't greedy, he can be happy with very little. But those who are greedy may earn a thousand strings of cash a day and still always feel unhappy. Though my job is a humble one, I can earn two hundred cash a day. The master provides me with food and clothes, so I can use my wages to support my parents, wife, and children. We are far from having delicious food, yet neither are we suffering from hunger or cold. I consider my life a normal one: I am not discontent, and the material I weave is very beautiful and highly valued by people. Thus, the master can easily sell the products and we are able to earn our wages easily. Since this is all we really want, our inner contentment naturally comes out in our voices as we sing together. We do not think of the hardship of the work.
"Not long ago, there was a weaver employed in another workshop. He earned approximately the same amount of money as we do. Yet, after working for a while, he started to complain: 'I am a more skillful weaver than anyone else, but I still get the same wages. I am going to work for someone who will pay me twice as much.' Later on, one workshop owner did offer him double. The master examined his work and noticed that it was indeed superior, and the other weavers, after seeing his skill, also respected him highly. The master was very happy, thinking, 'This one weaver's work is better than that of ten others put together. It is well worth doubling his pay.' After working for a while, the weaver again became dissatisfied. He thought, 'I am such a superior weaver that if I leave this occupation and engage in another, I will undoubtedly be superior in that one, too. If I take employment under a high official, by playing up to him and serving him wholeheartedly, I will be able to gain great wealth and glory for myself. Why should I work in a weaving factory forever?'
"Eventually, he did take a position serving a high official. He worked among the slaves taking care of carriages and horses, and for five years did not find anything he could consider an opportunity for wealth and glory. Then one day, after another five years had passed, he provoked the official, who became infuriated and dismissed him and refused to see him ever again. By that time, the weaver had already forgotten his former trade. Moreover, people were disgusted with his arrogance and inability to be content, and no one wanted to hire him to weave. In the end he died of hunger and cold.
"I took this person as a warning. How could I fail to feel content and happy?"
This worker is indeed content, and exemplifies what Laozi meant when he said, "One who knows how to be satisfied will always be satisfied." This is why I recorded his story. At the time of our conversation, there were about ten workers present. The one who talked to me was named Yao.
_Translated by Lily Hwa_
## 52 **
TENANTS**
_From the time of the late Zhou dynasty, when free buying and selling of land became common, tenancy was a recurrent problem. Some farmers would flourish and buy more land. Others would fall into debt, have to sell their land, and work the land of others either as hired hands or as tenants paying their landlords a fixed share of the harvest or a fixed yearly sum. Tenancy was always considered a social and political evil because large landowners stood to gain too much local power. Often they would protect their tenants from tax and labor service obligations to the government, thereby attracting more tenants but also reducing the government's revenues. From the Han through the Tang, the government repeatedly tried to limit landholdings and tenancy, but after mid-Tang great variation in the size of landholdings was legally tolerated._
_How did tenants see their position? Contracts are one of the few sources that can give us a clue to this question. Although contracts would usually have been composed by the master or a scribe, their content was so important to the tenant that it must often have been deeply impressed on his mind. Below are two contracts from an estate in Huizhou, in Anhui province, which date from the late Ming. In certain parts of China, including the Huizhou area, tenants were often obligated to perform nonagricultural duties for their masters, such as helping at festivals, weddings, and funerals. Such tenant-servants were acquired through contracts, and their status was often hereditary. The two contracts here show two common ways a person could become a tenant-servant: in exchange for gravesites; or to gain the right to marry the widow of another tenant-servant. After these two contracts is the brief description from a local history of an abortive revolt of tenant-servants in this area during the upheavals that accompanied the fall of the Ming._
The servants Hu Shengbao, Hu Zhubao, Hu Chibao, and the sons and grandsons of the four Hu branch families draw up this contract. Previously our ancestors, Hu Ang and Hu Sheng, besought from Master Hong Shou one piece of open land, the Lower Pond Hill, located in our county, for the purpose of burying our ancestors, Hu Fu and his wife. Since then, fifteen more coffins have been buried there. Each coffin occupies the space of nine paces. Kept in this cemetery was also one small coffin of the master's family and one stone tablet. Our ancestors had drawn up statements specifying that we could bury no one outside these given spaces. It stated that we could only have further burials in the master's cemetery with his permission. It is agreed that the descendants of our Hu family will observe this regulation in perpetuity; no arbitrary burial is allowed. If there are any violations of this rule, the master can present the case to the court and have us punished as violators.
Recently because of our failure to perform adequately our duty of escorting his children to school, the master expressed his intent to take our case to court. All the four branch families, realizing our weak position, pleaded for forgiveness and were willing to accept punishment. It is agreed that from now on, whenever there are marriages, funerals, or sacrifices in the master's house, we will offer our services.
The master, in consideration of the fact that we live far away from his estate and that he has enough servants on the estate, only requests us to send over two people to help with the sacrifice and cleaning during the Clear and Bright Festival [for honoring the dead]. In addition, on occasions when members of the master's family are going to school, going to the examinations, or responding to the call to serve in public office, the descendants of the four families will each dispatch one person to serve for one day. We dare not refuse the call for service. We also agree to keep watch carefully over the master's family graveyard.
After this contract is drawn up, the descendants of the four Hu families will observe the regulations in perpetuity. Should there be any violations, the master can present the case to the court and have us punished as violators.
In order to guarantee the agreements, we draw up this contract as evidence.
_Dated on the 17th day of the twelfth month of 1605. The servants who draw up the contract, Hu Shengbao, Hu Xibao, and their sons and grandsons, Hu Qi, Hu Chengming and Hu Yangui, Hu Zhubao, Hu Chu and their sons and grandsons, Hu Xisun, Hu Xialong, Hu Chibao and Hu Sheqi, Hu Ji, Hu Qibao and their sons and grandsons, Hu Shefu and Hu Shelong The person who wrote the contract, Hu Chengming_
Tenant Wang Mengxi draws up this contract. The resident tenant Lü San of the Old Father Temple Estate, Hu Family Mountain, passed away, leaving behind him his widow, Juxiang, nee Lin, and two sons. The elder son is Youshou; the younger one is Baoshou. They are both young and weak and unable to perform the duty of cultivating the field for the estate.
The master, considering that I have not been married, permitted me to marry the widow, Lin, to enter her family, to raise her two children, and to pay the rent to the master.
Previously Lü San had separated his property from that of Lü Xing. I will take possession of the house and lands which belonged to Lü San. Upon entering the widow's house, I will carefully serve the master, diligently cultivate the land, and earnestly raise the two children. I do not dare to come or go at will or to make trouble. Later on if I have children of my own, I will divide my earnings and the field and the house equally among all of them. If I am lazy or indolent, the master can take action against me.
In order to guarantee this agreement, I have drawn up this contract as evidence.
_Dated on the 27th day of the eleventh month of 1634. The person who drew up the contract, Wang Mengxi [sign] Younger cousin, Lü Xing [sign] Roommate Lin Fahu [sign]_
Yi county and Xiuning county were both under the jurisdiction of Huizhou. In the fourth month of 1645, before the Qing troops had arrived, the tenant-servants in these counties formed twelve stockades and demanded the return of their contracts from their masters. If their masters acted in any way against their will, they were killed and their houses burned. The tenant-servants all said: "The emperor has been replaced; our masters should now be our servants." Masters and servants began to address each as "brothers." In weddings, the bride and groom had to walk, for there were no servants to carry them. This situation bore a resemblance to the rebellion of Jiangyin, except it seemed even worse in Yi county.
When this revolt reached Xiuning, the people of good birth there were all in a quandary. They subsequently formed seventy-two societies, with the wealthy contributing food and silver to ensure local security. The county magistrate, Ouyang Xuan, was from Jiangxi. He invited the gentry of the county to a banquet, during which he made a tearful declaration that he would immediately raise troops. Jin Sheng and Huang Geng also mobilized their own troops. For this reason, the tenant-servants did not dare make any more moves.
_Translated by Lily Hwa and Clara Yu_
## 53 **
SHI JIN THE NINE-DRAGONED**
_From at least the late Song, Chinese storytellers and dramatists delighted audiences with tales of the 108 heroes and outlaws of Liangshan. Based on an actual gang active in the last decades of the Northern Song, this legend grew over the years and these bandits came to be credited with numerous feats of strength, daring, and cruelty. An episodic novel about the members of this bandit gang, called Water Margin, developed from this long oral tradition and probably was put in its present form in the fifteenth century._
_The section of this novel given below recounts how one young man came to embark on a career that would eventually lead him to join the bandits of Liangshan. This episode provides descriptions of social customs, such as ways of treating teachers and guests. Moreover, by contrasting the docility and weakness of villagers and servants with the behavior of the hero, it suggests some reasons why Chinese peasants, townsmen, and even members of the upper class were so attracted to stories of the reckless pursuit of honor and profit._
Let us now tell about Instructor Wang Jin and his mother. After leaving the Eastern Capital to escape Minister Gao, they traveled for over a month, taking their meals on the road, stopping at night and setting out early in the morning. Finally one evening, Wang Jin, walking behind his mother's horse with the luggage on his shoulders, said to her, "Heaven has taken pity on us. We have escaped. Soon we'll be in Yan'an prefecture, where Minister Gao cannot arrest us even if he wants to."
Mother and son were so overjoyed that they went past the inn where they should have stopped. "It's so late now, and there's not a single village in sight. Where can we spend the night?" Just as they were worrying themselves with these thoughts, they caught the glimmer of a light through a patch of woods some distance away. Wang said to his mother, "We'll be all right now. We'll just go there and beg to stay for the night and be on our way again early tomorrow."
When they turned into the woods, they found a large farmhouse surrounded by a mudwall, lined by some two to three hundred willow trees. Instructor Wang went to the gate of the village and knocked. Finally, a servant came out. Setting down his load, Wang saluted the servant, who asked their purpose.
"Let me explain," Wang said. "My mother and I were so eager to go a little farther that we went beyond the last inn and found ourselves in the middle of nowhere. So, we would like to stay overnight in your village. We will pay for the lodging and leave promptly in the morning. We hope you can help us."
"Wait here a moment," said the servant, "while I ask my master. If he says so, you may stay." The servant went in, and eventually came out again to say, "Our master says to show you in."
Wang helped his mother dismount, then picked up his luggage again and entered with the servant. He led the horse to the threshing ground, set down his luggage, and tied the horse to a willow tree. Mother and son now went to the main hall to meet the master of the house.
The master was an old man of over sixty, his hair and beard completely white. He wore a warm wadded cap, a straight-cut loose robe belted by a black silk sash, and leather boots. When Wang Jin saw him, he hurried to salute. The old man stopped him, saying, "Don't stand on ceremony. You are travelers and must be exhausted. Please be seated." Wang and his mother sat after the usual preliminaries. The old man asked them, "Where are you from? Why have you arrived here late at night?"
Wang replied, "My name is Zhang. I am originally from the capital, but I lost all my money in business. Now that I have no way to make a living, I'm on my way to Yan'an prefecture to stay with relatives. Today, because we were eager to cover as much distance as possible, we missed the last inn. We hope to stay at your village overnight and will be on our way again early tomorrow morning. We will be happy to pay the standard rate for the lodgings."
"No problem," said the old man. "Who in this world can carry his own house over his head when he travels? I suppose you haven't eaten yet, have you?" Then he ordered a servant to bring food.
In no time a table was set right in the hall, and the servants brought out a tray with four kinds of vegetables and a plate of beef. They set the plates on the table, warmed some wine, and poured it into cups. The master of the house said, "In this backwater area, we do not have much to offer our guests. Please don't take offense."
Wang rose from his chair to thank him. "My mother and I have intruded on you and troubled you. We don't know how to repay you for your kindness."
"Please—no such nonsense!" the old man said. "Come, have some wine."
At his urging, mother and son drank some five or seven cups of wine. Afterwards rice was served, and they took their meal. When the dishes were cleared away, the old man showed the pair to the guest room where they would spend the night. Wang then made another request, "The horse that my mother rode—could you please take care of it, too? I will also pay for its stall and feed."
"No problem at all. I myself also have a few horses and mules. I'll just tell the servants to put your horse in the stable and feed it with the others."
Thanking him, Wang brought his luggage to the room. A servant lit the lamp and brought them hot water for washing their feet. The old man went back to his inner quarters to rest. Thanking the servant, Wang and his mother closed the door and went to bed.
The next morning, Wang and his mother did not get up. When the old man passed by the guest room, he heard the mother groaning. So he called out, "Sir, it's dawn, time to get up."
When Wang heard him, he hurried out of the room and saluted him. "I have been up for a long time," he said. "Sorry for all the trouble we caused you last night."
The old man then asked about the groaning. Wang explained, "Sir, I won't hide it from you. My mother is exhausted from riding and last night she suffered pains in her heart."
"Don't worry," said the old man, "let your mother stay a few days in my house. I have a good prescription for heart pain, and I'll send a servant to the town to fill it for her. Tell her to relax and take her time resting." Wang Jin again expressed his thanks.
But let's not go into every detail. In short, Wang and his mother stayed at the farm while she took her medication. In about a week's time, Wang felt that his mother had recovered and prepared to leave. On his way out to the stable in the back of the house to see his horse, he passed an open yard where he saw a young man practicing with a cudgel. He was naked from the waist up and tattooed all over with blue dragons. About eighteen or nineteen, his face was as bright and shiny as a silver plate.
After watching him for a while, Wang Jin inadvertently remarked, "That's very good! But you're still making mistakes and couldn't beat a real master."
This remark infuriated the young man, who shouted at Wang, "Who are you? How dare you put me down? I've studied with seven or eight famous teachers. There's no way you can beat me! I dare you to fight with me."
Hardly had he finished speaking when the old man appeared and scolded him, "Don't be rude."
"But this jerk laughed at my fencing techniques."
The old man then asked Wang if he knew martial arts. "Rather well," he replied. Then he asked who the young man was, and the old man told him he was his son. Wang said, "Since he is the young master of the house, I wouldn't mind giving him a few hints to improve his skills—that is, if he wishes to learn."
"That would be great," said the old man, who then told the youth to pay Wang Jin the obeisance due a teacher.
This the young man would have nothing to do with. Now even more angry than before, he said to his father, "Dad, don't listen to this jerk. I'll be his student only if he can win over this cudgel of mine."
"If the young master doesn't think I'm his equal," Wang Jin said, "we can spar just for fun."
Hearing this, the young man, who already occupied the center of the yard, whirled his cudgel so swiftly that it looked like a windmill. He called out to Wang Jin, "Come on, come on! I'm not a man if I'm afraid of the likes of you."
Wang Jin laughed, but did not make a move.
The old man then said to him, "Sir, since you are willing to teach my son, why don't you go ahead and try the cudgel with him?"
"I'm afraid that I may hurt him, which would be embarrassing."
"It doesn't matter," the old man said. "Even if you break his arm or leg, it is all his own fault."
"In that case, forgive me for my audacity." Saying that, Wang Jin picked a cudgel from the weapon rack. Then he went to the center of the yard and struck a pose.
The young man looked at him, then, whirling his cudgel, rushed at him. Wang turned and ran, trailing his cudgel on the ground. The young man, flourishing his cudgel, ran after him. Now, Wang suddenly turned around, raised his cudgel, and crashed down on the young man, who lifted his cudgel to meet the blow, only to find that Wang Jin had changed direction. Wang swiftly drew back the cudgel, and thrust it toward the young man's chest. With one twirl, he knocked the cudgel out of the young man's hands and threw him to the ground.
Wang dropped his own cudgel and hastened to help him get up, apologizing. The young man scrambled to his feet, then immediately pulled over a stool and forced Wang to sit on it. He knocked his head on the ground in front of Wang Jin and said, "I've wasted my time with those worthless teachers. You are now my teacher; please instruct me."
"I haven't been able to think of a way to repay all the trouble my mother and I have caused these many days. I would be glad to teach you."
Delighted, the old man told his son to get dressed, and together they took Wang Jin to the inner guest hall. There they ordered the servants to kill a sheep and prepare various wines, foods, fruits, and sweets. Wang Jin's mother was invited to join them. After the four of them were seated and the wine was served, the old man rose to make a toast. Then he said to Wang, "Sir, you are such a master of martial arts, surely you must be a head instructor in the army. My son may have eyes, but he failed to recognize a hero."
Wang Jin laughed and said, "To tell you the truth, my name is not Zhang. I am Wang Jin, Head Instructor of the eighty-thousand-man imperial army in the Eastern Capital, and I have spent my life playing with weapons. You see, the new Commander of the Imperial Army, Gao, was once given a beating by my father. When he became the commander, he sought to vent his old hatred on me. Unfortunately I was under his command and in no position to argue with him. That's why I fled with my mother in the hopes of getting a job with the commander-in-chief of Yan'an prefecture. It wasn't my plan to come here. You and your son have been very kind to us, curing my mother and looking after us for so many days. I feel very indebted to you. If your son is willing to learn, I'll do all I can to teach him. But what he has learned so far is only show, of no value in combat. I must teach him again from the beginning."
"Do you understand how wrong you were, my son? Come over and pay respect to your teacher again!"
The young man once more knocked his head on the ground before Wang Jin, while the old man told him, "Sir, for generations our family has lived here in Huayin county with Little Flower Mountain right in front of us. This village is called Shi Family Village and contains three to four hundred families, all named Shi. Since his childhood, my son has been entranced by the martial arts and unwilling to learn farm work. His mother scolded him to no avail and eventually died of anger and frustration. Unable to control him, I've had to let him do what he wants. I don't know how much money I've spent for his teachers. I even had a famous artist tattoo his arms, shoulders, and chest with nine dragons, which resulted in his being called 'Shi Jin the Nine-Dragoned' by people here in the county. Sir, now that you are here, it will be great if you can help him complete his training. I will reward you handsomely for it."
Wang Jin, now highly pleased, replied, "Rest assured, sir, I will not leave until I've taught him everything."
From the day of that banquet, Instructor Wang and his mother stayed in the village. Every day Shi Jin would come and beg Wang to teach him the techniques of the eighteen weapons of war, and Wang taught him everything from scratch. Shi Jin's father was in the Huayin county seat serving as a village headman.
Time slipped quickly by. Within a little more than half a year Shi Jin had mastered the skills of all eighteen weapons: the lance, battle-hammer, bow, crossbow, jingal, whip, truncheon, double-edged sword, chain, hooks, axe, battle-axe, as well as the three-pronged spear, halberd, shield, cudgel, spear, and rake. With Wang putting his heart into teaching the young man, Shi Jin learned the secret techniques of each weapon. When Wang saw that he had mastered them all, he thought to himself, "Nice as it is to be here, I can't stay forever." So, one day, he said it was time to go to Yan'an. Shi Jin, however, wouldn't let him go, saying, "Don't leave. I'll take care of you and your mother till the end of your days. How about it?"
"My good brother," Wang replied, "you have been very kind, and everything is very nice here. But I'm afraid that Commander Gao will send someone to arrest me. You'd be implicated, not a very good prospect. For these reasons, I've decided to go to the commander-in-chief in Yan'an. It's on the border where people are needed. I'll be able to get a job there and settle down."
When Shi Jin and his father found that they couldn't change Wang Jin's mind, they prepared a farewell feast for him. To show their gratitude, they presented him with a platter on which lay two rolls of satin and one hundred taels of silver.
The next day Wang Jin packed his luggage and got his horse ready, and he and his mother bade their host farewell. Wang helped his mother onto the horse, and they started their journey to Yan'an. Assigning a servant to carry Wang's luggage, Shi Jin escorted him for a distance of ten _li,_ so reluctant was he to let his teacher go. Then he bowed to the ground to him, and they parted in tears. Shi Jin returned home with his servant, while Instructor Wang again shouldered his bundles and walked behind his mother's horse on their way to Guanxi.
We will now leave Wang Jin, who went to seek a career in the military, but continue our story of Shi Jin, who returned to his village.
Every day Shi did nothing but train to increase his strength. As he was in his prime and unmarried, he would get up before dawn to practice his skills and during the day would spend all his time in the back of the village riding on horseback and shooting arrows. Less than half a year had passed in this way when one day his father fell ill. He did not improve for many days, and Shi Jin sent all over for doctors to care for him, but the old man could not be cured and passed away.
For the sake of his father, Shi Jin selected the best coffin and outer casket. He engaged monks to pray for him, to hold memorial services through the forty-nine-day mourning period, and to establish merits for the old man in the next world. He also engaged Daoist priests to set up an altar and perform a dozen redemption services to ensure his passage to Heaven. Then Shi Jin selected an auspicious day and a propitious hour for the burial. All the three to four hundred families of the village joined in the funeral procession in mourning dress. They buried his father in the ancestral graveyard on the mountain west of the village. From then on, Shi Jin's family estate lacked a manager, for he would not concern himself with farm work; the only thing he enjoyed was challenging others to spar with him using various weapons.
Three or four months after the old man's death, on a very hot day in the middle of the sixth month, Shi Jin was idling away his time and pulled up a bench to sit in the shadow of the willow trees near the threshing ground. A breeze wafted through the pine grove on the other side, and Shi Jin exclaimed, "Ah, what a good, cool breeze!" Just then he saw someone peeping out from behind the trees. "What are you up to—you who are spying on my village?" shouted Shi Jin. He jumped up and went around on the other side of the trees, where he found the hunter Li Ji, nicknamed "Rabbit-lancer."
"Li Ji, what are you searching for in my village? Are you planning to rob us?"
Stepping forward, Li Ji said, "Sir, I was just going to have a drink with 'Shorty' Qiu Yilang. When I saw you there resting, I didn't dare to intrude."
"I have a question for you," Shi interposed. "You used to bring by game to sell in our village, and I paid you for it. Why have you stopped doing it? Is it because you think I don't have the money to pay you any more?"
"Sir, how dare I even dream of such a thing! The truth is that I haven't had any game to sell."
"Nonsense," said Shi Jin. "Little Flower Mountain is so big; I can't believe that there isn't a deer or rabbit on it."
"Haven't you heard?" said the hunter. "There's a band of robbers in the mountains now. They've built themselves a hideout and gathered some five to seven hundred men and over a hundred good horses. The chief is called Zhu Wu, nicknamed 'Clever Strategist,' the second in command is Chen Da, nicknamed 'Gorge-leaping Tiger,' and the third in command is Yang Zhun, 'White-speckled Snake.' These chiefs lead their men to raid people's houses. Even the Huayin county government can't handle them and is now offering a reward of three thousand strings of cash to anyone who captures them. But who dares? Since we hunters don't even dare climb the mountain to hunt for game, how can I have any for sale?"
"I've heard about these bandits," said Shi Jin, "But I didn't know they'd gotten so powerful. Sooner or later they'll bring trouble. Well, Li Ji, if you ever have any game, bring some by." Li Ji bowed and left.
As Shi Jin went back into the house, he thought, "These bandits are growing so strong. Inevitably, they'll come to our village to make trouble. In that case..." He then ordered the servants to butcher two fat buffalos and bring out some good home-brewed wine. After burning a stack of paper coins for the gods, he sent servants out to invite over all the three or four hundred farmers of the Shi Family Village. When they arrived, Shi Jin seated them in the main hall according to seniority. As the servants poured wine for the guests, Shi Jin told them, "I have learned that there are three great bandits on Little Flower Mountain, who have gathered five to seven hundred men and taken them looting. Having become so strong, sooner or later they will come to our village to bother us. I've especially invited you here to discuss this matter. In case they should come, we ought to be prepared. If the bamboo clappers at my house are sounded, all of you should come with arms to help me. If something happens to any of you, we'll do the same. In this way we will help each other and together we'll protect our village. If the chiefs themselves should come here, I'll take care of them."
All the people said, "Sir, we farmers all depend on you to make the decisions. When the clappers are sounded, we'll all come to help." They thanked Shi Jin for the wine, and each went back home to get his weapons ready. Shi Jin also began precautionary measures; he repaired his doors and walls, set up watch stations, and got his armor, weapons, and horses ready.
Now let's turn to the three chiefs, who were holding a conference in their hideout at Little Flower Mountain. The leader, "Clever Strategist" Zhu Wu, was from Dingyuan and could fight with a sword in each hand. Although not particularly skilled in fighting, he knew military maneuvers well and was clever at strategy. The second in command was Chen Da, from Yecheng, whose weapon was a steel lance with a white tip. The third one, Yang Chun, was from the Jieliang county of Puzhou, and he used a big, long-handled sword. At the conference, Zhu said to Chen and Yang, "I heard that the Huayin county government has offered three thousand strings of cash to anyone who captures us. I'm afraid that we'll have to put up a fight. Since we're low on both money and food, we'd better go get some. Not only are we short now, but we need to stock up provisions for a long war."
Chen Da, the "Gorge-leaping Tiger," added, "You're right. We'll go to Huayin county and ask to 'borrow some rations' from them and see what they say."
"Don't go to Huayin county," injected the "White-speckled Snake" Yang Chun. "Let's go to Pucheng county and run no risks."
Chen said, "Pucheng has very few people and not a lot of cash or food. We'll do better in Huayin. The people there have lots of money and grain."
"Elder brother, you don't understand," explained Yang. "To raid Huayin, we must pass Shi Family Village. That 'Shi Jin the Nine-Dragoned' is a tiger of a man, not to be provoked. He'll never let us pass."
"Brother, what a coward you are! If you can't even get through a mere village, how can we fight the government soldiers?"
"Elder brother, don't underestimate Shi Jin. He's really something," Yang Chun warned.
Zhu Wu concurred. "I've also heard that the man is extremely brave and capable. Let's not go that way, brother."
At this Chen Da yelled, "Shut your traps, you two! Don't tell me how great he is and how worth-less we are. He's just a man and doesn't have three heads or six arms." Then he called out to his followers, "Get my horse ready! We'll attack the Shi Family Village right now. And afterwards we'll take Huayin county."
Zhu Wu and Yang Chun tried to dissuade him, but Chen Da wouldn't listen. He put on his armor and mounted his horse, selected some one hundred and fifty men, then, to the accompaniment of drums and gongs, descended the mountain heading straight for Shi Family Village.
Shi Jin was just getting his weapons and horses ready when a servant reported the bandits were coming. He ordered the bamboo clappers sounded. When the farmers all around Shi Family village heard the clappers, they gathered together, three or four hundred of them. Bearing lances and staves, they rushed over to Shi Jin's place. There they saw the young man. On his head was a flat-topped turban; on his body a vermilion mail over a blue padded silk robe; on his feet a pair of green boots; and around his waist a wide leather belt. In front and behind, he wore metal plates as shields; on his back hung a bow and a quiver of arrows; in his hand he held a three-pointed, double-edged sword with four holes on which eight large metal rings were attached. A servant led forth a fiery red horse, which Shi Jin mounted, his sword in hand. In front of him were some forty strong retainers and behind some ninety farm laborers. The farmers of the Shi clan made up the rear of this procession. Shouting and yelling, they all made straight for the crossroad north of the village.
Chen Da had led his men dashing down Little Flower Mountain and ordered them to take position. Shi Jin saw that Chen Da wore a red concave cap, a gilded iron breast plate over a red padded robe, high boots, and a woven belt seven feet long. He rode on a tall white horse and held in horizontal position a steel spear eighteen feet long. His men, who had split into two groups and stood on either side, were shouting and yelling. The two leaders then approached each other to talk.
Chen Da looked at Shi Jin and bowed from his horse. Shi addressed him in a loud voice, "You and your men kill, set fires, and rob people of their possessions. These are all capital offenses. You all have ears and ought to have heard of me! How dare you come here looking for trouble?"
Chen Da answered, "We are short of food up in our mountain hideout and are on our way to Huayin county to borrow some. We only wish to pass your village; we wouldn't dare touch even a blade of grass here. If you let us pass now, we will thank you on our return."
"Nonsense! I am the village headman and was just about to go and capture you. How dare you ask to pass through my village! If I let you go, I myself will be implicated when the county magistrate hears of it."
"Within the four seas all men are brothers," said Chen Da. "Please let us pass."
"Cut the idle talk! Even if I let you go, there is someone else who wouldn't. Ask him; if he's willing to let you pass, you may."
"My good man," asked Chen Da, "whom am I to ask?"
"Ask this sword in my hand," replied Shi Jin. "If he lets you go, so will I."
Chen Da grew very angry and said, "You've driven me beyond endurance. Don't you be presumptuous with me!"
Shi Jin, now also incensed, flourished his sword and spurred on his horse in the direction of Chen Da, who raised his spear and charged at Shi Jin. Their horses drew near, and a long fight ensued. Finally, Shi Jin faked a mistake and allowed Chen Da to thrust the spear toward his chest. At that instant Shi suddenly turned sideways, and Chen, his spear in hand, lunged right in front of him. With great ease Shi stretched out his long arm and, with a twist of his strong waist, lifted Chen from his saddle. Then, seizing him by the woven belt he wore, Shi tossed his to the ground. Chen Da's horse galloped away like a gust of wind.
Shi ordered his servants to tie Chen up. After chasing the bandits away, Shi returned home, where he tied Chen to a pillar in the center of the courtyard. He announced that he would capture the other two leaders and then go for the reward. Then he gave everyone a round of drinks and told them to return to their homes for the time being. They all applauded him. "You're a real hero, sir!"
Let's leave this joyous drinking crowd and return to Zhu Wu and Yang Zhun, who had stayed in their mountain hideout, holding their breath. They sent out some men to find out what had happened, and these men returned with the defeated bandits leading Chen Da's riderless horse. "Bitter, bitter news!" they cried. "Brother Chen wouldn't listen to the chiefs and now has lost his life." Upon Zhu Wu's inquiry, the men reported the details of the battle and concluded, "He couldn't measure up to the invincible Shi Jin."
Zhu Wu said, "This is all because he wouldn't listen to me."
"Let's all go out there and fight to the death!" said Yang Chun.
"That won't help any," Zhu said. "If even Chen is not Shi Jin's equal, you won't have a chance. I do have a plan, but if it doesn't work, it'll be the end of both of us." Then he whispered his plan to Yang Chun, adding, "There's no other way."
"An excellent plan!" exclaimed Yang. "Let's go at once; there's no time to lose."
Back in the village, before Shi Jin's anger had abated, a servant ran in so fast that it seemed he had wings. "The bandit leaders Zhu Wu and Yang Chun have come here themselves," he reported.
"Those guys are doomed. I'll send them both to the magistrate. Bring my horse!" Shi Jin ordered. Meanwhile, the bamboo clappers sounded everywhere, and all the farmers gathered. Shi Jin mounted his horse, but before he could depart from the village gate, he saw that Zhu Wu and Yang Chun had already walked up to it. The pair of bandit chiefs dropped to their knees, four streams of tears flowing down their cheeks.
"What's going on?" Shi Jin got off his horse and shouted at them. "Why are you kneeling?"
Zhu Wu replied in tears, "The three of us were forced to become bandits because we were persecuted by the law. Whe we became blood brothers, we made a vow: 'Though we were not born on the same day, we will die on the same day.' We dare not compare our bond with that between the heroes of the Three Kingdoms, Guan Yu, Zhang Fei, and Liu Bei, but that is what we aspire to. Chen Da, my younger brother, wouldn't listen to my advice and offended you. You captured him and we have no way of convincing you to release him, so we have come here to die with him. We beg you to send all three of us to the magistrate and collect the reward. We swear that we will not even bat an eye, for we want to die at the hands of such a hero as you."
When Shi Jin heard this, these thoughts ran through his mind: "What brotherly love! If I turn these people in for a reward, all the heroes in the world will hold me in contempt for such an unworthy act. Since ancient times it has been said, 'A tiger does not eat a piece of offered meat.'" Aloud he said, "You two, come inside with me."
Zhu Wu and Yang Chun were unafraid. They followed Shi Jin into the inner hall and there again fell on their knees and asked to be tied up. Shi asked them to rise many times but they refused. As a hero naturally admires heroic qualities, Shi Jin finally said to them, "Since there is such a bond between you, I would be less than a real man if I were to send you to the magistrate. Why don't I release Chen Da and return him to you."
"No," said Zhu Wu. "That would implicate you, which won't do. It's better for you to send us in and collect the reward."
"That I will not do," Shi Jin said. "Will you eat and drink with me?"
"We are not even afraid to die," Zhu Wu replied. "Why should we be afraid of your wine and meat?"
Very pleased with this reply, Shi released Chen and prepared wine and food for the three right in the inner hall. Zhu Wu, Yang Chun, and Chen Da thanked him for his clemency. After a few rounds of drinks, they grew warmer toward each other. When the dinner ended, the three thanked their host again and together set out for the mountain. Shi saw them off at the village gate and then returned home.
When Zhu Wu and the others arrived at their mountain hideout, they took their seats, and Zhu said, "If we hadn't used this scheme to win his sympathy, we wouldn't have emerged alive. Although we achieved our goal, we must admire Shi Jin for his sparing us on the grounds brotherly love. Let's send him some presents one of these days to thank him."
In short, on a moonless night about a fortnight later, the three bandit leaders gathered thirty taels of slim gold ingots and commanded two of their men to take the gift to Shi Family Village. When the servants reported that two men were knocking at the gate, Shi Jin quickly threw on his clothes and hurried out. "What is it?" he asked the men.
"Our three chiefs send their repeated regards. They have sent us here with a small token of their gratitude for your sparing their lives. Please do not refuse it, sir."
At first Shi Jin would not accept the gift, but when he thought of the givers' good intention, he relented. He ordered the servants to serve the messengers plenty of wine, and, before leaving, gave them some odd silver as a tip. Half a month later, Zhu Wu and his men succeeded in obtaining some large pearls in the course of their exploits, and they again sent some men on a midnight mission to present the pearls to Shi Jin, who once more accepted the gift.
Another half month passed, and Shi Jin thought to himself, "Those three men have been very respectful to me. Let me send them something in return." So, the next day he ordered a servant to send for a tailor and he himself went into town to buy three pieces of red embroidered silk, which he asked the tailor to use to make three robes. Then he selected three fat sheep to be cooked and placed in large boxes. He instructed two servants to deliver the presents. Shi Jin's head servant, named Wang Si, was quite capable in dealing with officials and had a way with words. For these reasons, the villagers all called him "Peerless Diplomat." On this occasion, Shi Jin picked him and another trusted servant for the mission. They took the boxed presents to the foot of the mountain, and, after being interrogated by Zhu Wu's men, were shown to the leaders. Zhu and the other leaders were very pleased; they accepted the silk robes, the fat sheep, and the wine. They also tipped the two messengers with ten taels of silver. After having a dozen drinks, the two returned to the village and conveyed to Shi Jin the bandit leaders' best wishes. From then on. Shi Jin and the three chiefs maintained constant contact. Wang Si was repeatedly sent to the mountain with presents, and the chiefs reciprocated with messengers bearing gold and silver for Shi Jin.
Time went by and soon it was the eighth month. Shi Jin wished to talk with the chiefs and so sent Wang Si to Little Flower Mountain with an invitation for Zhu, Chen, and Yang. He would hold a banquet on the evening of the Mid-Autumn Festival and wanted them to join him for wine and viewing the full moon.
Wang Si ran up the mountain and delivered the invitation. After reading it, Zhu Wu was delighted and the three cheifs immediately wrote a reply, promising their attendance. They rewarded Wang Si with some four or five taels of silver and let him drink a dozen cups of wine before he departed. At the foot of the mountain, however, he chanced to see one of the bandits who often brought presents to the village. The latter would not let him leave, but dragged him to a roadside wine house, where Wang Si drank another dozen cups of wine. After the two parted, Wang Si headed for his village. The wind blew down from the mountain, and, as he was walking, the wine began working on him. He staggered along, swaying with every step. Hardly had he walked ten li when he saw a grove of trees in front of him. Once in it, he passed out on the lush green ground.
It so happened that the "Rabbit-lancer" Li Ji was looking for rabbits at the foot of this slope. He recognized Wang Si of Shi Family Village and hurried to the grove to help him get up. That proved impossible but he caught sight of some silver showing from Wang Si's shoulder bag. Li Ji thought to himself, "He is drunk. But where did he get all this silver? Well, why shouldn't I take some?" Just as it was destined that the stars of the Dipper were to end up in one place, so Heaven provided this opportunity. Li Ji untied the shoulder bag and, with a toss of the hand, threw its contents on the ground—the letter and all! He picked up the letter and, since he could read a little, opened it. He saw the words "Zhu Wu, Chen Da, Yang Chun of Little Flower Mountain." The letter itself contained words that he did not know, but he sure knew those three names. He thought, "When will a hunter like me ever get rich? Yet the fortuneteller said that this year I would come into a large fortune. This must be it! Didn't the Huayin county government offer three thousand strings of cash to get those bandits? I can't believe this Shi Jin! The other day when I went to his village to see 'Shorty' Qiu, he said I was there on the prowl for things to steal. Who'd think he's the one who runs around with bandits!" The hunter took the silver and the letter, then went straight to Huayin county to report to the officials.
Let's now talk about Wang Si. He woke up in the middle of the night, bathed in moonlight. When he jumped up in alarm, he found himself surrounded by pine trees. He fumbled around, but the bag and the letter were both gone! A search turned up nothing but the empty bag in the grass, which made him very worried. "The silver doesn't matter," he thought, "but the letter—what am I going to do? I don't know who took it." Then a plan occurred to him and he said to himself, "If I return to the village and say I've lost the letter, Master Shi will surely become enraged and kick me out of the village. It would be better to tell him there wasn't a written reply. How is he ever to find out the truth?"
His plan formed, Wang Si sped back to the village as if he had sprouted wings on his back. By the time he arrived, it was close to daybreak. When Shi Jin saw him, he asked, "Why so late?"
The servant replied, "Thanks to you, my lord, the three chieftains would not let me go, entertaining me with drinks half the night. That's why I'm so late."
"Have you brought back a letter or reply?"
"The three chieftains wanted to write a reply, but I told them, 'My lords, since you have decided to accept the invitation, there is really no need to put it in writing. I have had quite a few cups of wine; if I should lose the letter, it would be no laughing matter.'"
Shi Jin was very pleased with this answer. "You are really capable," he said. "No wonder people call you 'Peerless Diplomat.'"
Wang Si continued, "And I did not dare to delay even a moment. I ran straight back here, without taking one minute's rest on the road."
Then Shi Jin said, "Since they are coming, let's send some people to town to get fruit and wine for the feast."
Time passed quickly, and soon it was the Mid-Autumn Festival. The weather was beautiful and Shi Jin ordered his servants to kill a fat sheep and some hundred chickens and geese for the banquet. As evening drew near, the three chiefs on Little Flower Mountain ordered most of their men to stay behind to keep watch at the hideout, picking only a few to accompany them. Each of the three carried a big sword in his hands and another hanging from his waist. They did not mount their horses but instead walked down the mountain. On arrival at Shi Family Village, Shi Jin received them, and after the usual ceremonies, brought them to the back courtyard, where a feast had been prepared. The three chiefs were shown to the seats of honor, whereas Shi Jin himself sat across from them. As soon as the front and the back gates were barred, the drinking commenced. Servants took turns pouring the wine, while others carved and served the mutton. After they had had a couple of drinks, a bright full moon pushed itself above the eastern horizon.
Shi Jin and the three chiefs were chatting when suddenly they heard loud shouts from outside the wall and saw the glare of torches. Greatly startled, Shi Jin jumped up from his seat and said, "My three good friends, please remain seated. I'll go find out what is happening." Then he ordered the servants not to open the gates.
Pulling a ladder against the wall, he climbed up and looked out. He saw the sheriff of Huayin on horseback; behind him were two leading officers and three or four hundred soldiers. The entire village was surrounded. Shi Jin and the three chiefs thought to themselves, "We're done for!" In the light of the torches, they could see gleaming steel-pronged spears, swords, five-pointed spears, and hooks, all as thick as hemp stalks in a field. The two leading officers yelled out, "Don't let the bandits escape!"...
"Now, what are we to do?" asked Shi Jin.
The three chiefs knelt down to the ground and said, "Older brother, you are innocent. We don't want to involve you. You must tie us up and give us up for the reward. It wouldn't look good to get you implicated in this."
"I will do nothing of the kind," said Shi Jin. "Otherwise people will think that I have tricked you into coming here in order to turn you in for the reward, and I'll become a universal laughingstock. No, I'll live or die with you. Please get up and stop worrying; we'll think of something. But first let me get to the bottom of things." At that he climbed the ladder again and called out, "Why do you two officers come here in the middle of the night to bother me?"
They replied, "Sir, you still won't confess? Here, this is your accuser, Li Ji."
"Li Ji," shouted Shi Jin, "why do you falsely accuse me?"
"At first I did not know what it was. I picked up a letter from Wang Si, and read it in front of the county magistrate; then the whole matter came out."
Shi turned to Wang Si, "Didn't you say that there was no written reply? What was this letter, then?"
"I was drunk and forgot about the letter."
At this Shi Jin gave out a loud cry, "You moron! Now what are we to do?"
The officers and their men, all afraid of Shi Jin, did not dare to come in to get him. The three chiefs pointed toward the outside and said, "Just give them a reply." Shi got the message and called out, "Officers, you don't have to bother. Please step back, and I'll have them tied up and send them out to you for the reward."
The two officers, afraid as they were of Shi Jin, consented, "We don't want to make any trouble. We'll just wait for you to bring them out and then go together with you to the magistrate for the reward."
Getting off the ladder, Shi Jin came to the main hall. He first had Wang Si brought to the backyard, and, with one thrust of the sword, killed him. Then he ordered some servants to pack up all the valuables and others to light some thirty or forty torches. Meanwhile, Shi and the three chiefs put on their armor and picked their weapons from the rack. Each had a short sword hanging from his waist and a big sword in his hand. By the time they set fire to the thatched huts in the rear of the village, the servants had also packed their own belongings.
When the crowd outside saw the fire, they all ran toward the back of the village, and Shi Jin took this opportunity to set fire to the main section. Then he flung open the gates and, with a loud cry, rushed out, killing whoever was in his way. Right behind Shi were Zhu and Yang; then came Chen with the bandits and Shi's servants. They fought their way out and deceived their enemies by pretending to go one direction while actually heading in another.
Shi Jin was a true tiger no one could stop. Against the background of the fire and confusion, he hewed open a passage through his enemies and came face to face with the two leading officers and Li Ji. When Shi saw them his anger rose, just as the saying goes, "When enemies meet they recognize each other clearly." The two officers, seeing that the outlook was bad for them, turned and ran. Li Ji wanted to do likewise, but before he could, Shi Jin caught up with him. He raised his sword and, with a downward blow, cut him in two. The two officers were trapped in their flight by Chen Da and Yang Chun. Each gave a blow with his big sword, and the two lives were ended. The sheriff was so scared that he retreated at full gallop. Terrified, each of the soldiers ran for his life. Soon all had disappeared.
Shi Jin led the men, running and fighting, straight to Little Flower Mountain. Entering the hideout, they sat down, and after they had rested a moment or two, Chu Wu and the other chiefs ordered their men to kill cows and horses for a feast to celebrate the victory. We need not go into the details. A few days later, Shi thought to himself, "I was in such a hurry to save these three people, I set fire to my village. Although I salvaged the valuables, all the furniture and heavy things are lost." As he worried about his future, he decided that it was not a good idea to stay. So he spoke his mind to the three chiefs, "My teacher, Instructor Wang, is now working for the commander-in-chief of Guanxi. I had wanted to go and look for him when my father passed away. Now that I have lost everything, including my house and my fortune, I will go look for him."
Zhu Wu and the others said, "Older brother, don't leave. Stay a little longer. We can talk it over later. If you don't want to become a bandit, you can wait till the whole thing has cooled down, then we will rebuild your village for you, and you can still be a good citizen."
"I appreciate your kindness," Shi Jin said. "But my mind is made up. If I can find my teacher, I will be able to become an officer and will have a good life ahead of me."
Zhu Wu said, "Older brother, if you don't mind the small size of this hideout, you can stay and be a chief. You'll be happy here."
"I am a man with no criminal record," said Shi Jin, "and must not bring shame to my deceased parents. Don't ever again mention the subject of my joining you as a bandit."
After a few more days' stay, Shi insisted that he had to go, despite the best efforts of Zhu and the others to make him stay. Shi Jin left all his men with the bandits. Taking only a little silver and a bundle of clothes, he entrusted the rest of his belongings to the chiefs. He put on a white brimmed fur hat with a red tassel, and under it a soft black scarf, tied under his chin with a yellow ribbon. On his body he wore a uniform of white silk belted with a sash of plum-red color. On his legs he wore black-and-white garters tied in a zig-zag pattern and on his feet hemp sandals suited for travel in the hills. At his side hung a "wild goose feather" sword.
Swinging his bundle over his shoulders, Shi Jin picked up his big sword and bade farewell to Zhu and the other chiefs. All Zhu Wu's men accompanied him down the mountain, where they parted in tears. Then Zhu Wu and the men returned to their hideout.
_Translated by Clara Yu_
## 54 **
FAMILY INSTRUCTIONS**
_As seen in earlier selections, filial piety and differentiation between men's and women's roles were central values of the Chinese family system. Other values associated with Chinese "familism" included diligence, frugality, and willingness to identify with the larger family and its long-term survival and prosperity. The "Family Instructions" below elaborate on the importance of these virtues and traits. They were included in the late Ming genealogy of the Miu lineage in Guangdong province. In Ming times, it was quite common for groups of patrilineal relatives to organize themselves as lineages, holding some land in common, conducting joint ancestral rites, perhaps building an ancestral hall or publishing a genealogy. Family disputes concerning matters such as inheritance would often be referred to the leaders of the lineage. Lineage councils would also help parents discipline unruly or disobedient children, especially grown ones. To facilitate making judgments in such cases, lineages like this one compiled rules for family behavior and advice on achieving family harmony. Traditional precepts and neo-Confucian moral values were usually emphasized, with some adjustments to fit the daily life of ordinary peasants and working people._
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WORK HARD AT ONE OF THE PRINCIPAL OCCUPATIONS**
1. To be filial to one's parents, to be loving to one's brothers, to be diligent and frugal—these are the first tenets of a person of good character. They must be thoroughly understood and faithfully carried out.
One's conscience should be followed like a strict teacher and insight should be sought through introspection. One should study the words and deeds of the ancients to find out their ultimate meanings. One should always remember the principles followed by the ancients, and should not become overwhelmed by current customs. For if one gives in to cruelty, pride, or extravagance, all virtues will be undermined, and nothing will be achieved.
Parents have special responsibilities. The _Book of Changes_ says: "The members of a family have strict sovereigns." These "sovereigns" are the parents. Their position in a family is one of unique authority, and they should utilize their authority to dictate matters to maintain order, and to inspire respect, so that the members of the family will all be obedient. If the parents are lenient and indulgent, there will be many troubles which in turn will give rise to even more troubles. Who is to blame for all this? The elders in a family must demand discipline of themselves, following all rules and regulations to the letter, so that the younger members emulate their good behavior and exhort each other to abide by the teachings of the ancient sages. Only in this way can the family hope to last for generations. If, however, the elders of a family should find it difficult to abide by these regulations, the virtuous youngsters of the family should help them along. Because the purpose of my work is to make such work easier, I am not afraid of giving many small details....
2. Those youngsters who have taken Confucian scholarship as their hereditary occupation should be sincere and hard-working, and try to achieve learning naturally while studying under a teacher. Confucianism is the only thing to follow if they wish to bring glory to their family. Those who know how to keep what they have but do not study are as useless as puppets made of clay or wood. Those who study, even if they do not succeed in the examinations, can hope to become teachers or to gain personal benefit. However, there are people who study not for learning's sake, but as a vulgar means of gaining profit. These people are better off doing nothing.
Youngsters who are incapable of concentrating on studying should devote themselves to farming; they should personally grasp the ploughs and eat the fruit of their own labor. In this way they will be able to support their families. If they fold their hands and do nothing, they will soon have to worry about hunger and cold. If, however, they realize that their forefathers also worked hard and that farming is a difficult way of life, they will not be inferior to anyone. In earlier dynasties, officials were all selected because they were filial sons, loving brothers, and diligent farmers. This was to set an example for all people to devote themselves to their professions, and to ensure that the officials were familiar with the hardships of the common people, thereby preventing them from exploiting the commoners for their own profit.
3. Farmers should personally attend to the inspection, measurement, and management of the fields, noting the soil as well as the terrain. The early harvest as well as the grain taxes and the labor service obligations should be carefully calculated. Anyone who indulges in indolence and entrusts these matters to others will not be able to distinguish one kind of crop from another and will certainly be cheated by others. I do not believe such a person could escape bankruptcy.
4. The usual occupations of the people are farming and commerce. If one tries by every possible means to make a great profit from these occupations, it usually leads to loss of capital. Therefore it is more profitable to put one's energy into farming the land; only when the fields are too far away to be tilled by oneself should they be leased to others. One should solicit advice from old farmers as to one's own capacity in farming.
Those who do not follow the usual occupations of farming or business should be taught a skill. Being an artisan is a good way of life and will also shelter a person from hunger and cold. All in all, it is important to remember that one should work hard when young, for when youth expires one can no longer achieve anything. Many people learn this lesson only after it is too late. We should guard against this mistake.
5. Fish can be raised in ponds by supplying them with grass and manure. Vegetables need water. In empty plots one can plant fruit trees such as the pear, persimmon, peach, prune, and plum, and also beans, wheat, hemp, peas, potatoes, and melons. When harvested, these vegetables and fruits can sustain life. During their growth, one should give them constant care, nourishing them and weeding them. In this way, no labor is wasted and no fertile land is left uncultivated. On the contrary, to purchase everything needed for the morning and evening meals means the members of the family will merely sit and eat. Is this the way things should be?
6. Housewives should take full charge of the kitchen. They should make sure that the store of firewood is sufficient, so that even if it rains several days in succession, they will not be forced to use silver or rice to pay for firewood, thereby impoverishing the family. Housewives should also closely calculate the daily grocery expenses, and make sure there is no undue extravagance. Those who simply sit and wait to be fed not only are treating themselves like pigs and dogs, but also are leading their whole households to ruin....
#### **
OBSERVE THE RITUALS AND PROPRIETIES**
1. Capping and wedding ceremonies should be carried out according to one's means. Funerals and burials, being important matters, should be more elaborate, but one should still be mindful of financial considerations. Any other petty formalities not found in the _Book of Rites_ should be abolished.
2. Marriage arrangements should not be made final by the presenting of betrothal gifts until the boy and girl have both reached thirteen; otherwise, time might bring about changes which cause regrets.
3. For the seasonal sacrifices, the ancestral temple should be prepared in advance and the ceremonies performed at dawn in accordance with [Zhu Xi's] _Family Rituals_ and our own ancestral temple regulations.
4. For burials one should make an effort to acquire solid and long-lasting objects to be placed in the coffin; but one need not worry as much about the tomb itself, which can be constructed according to one's means. The ancients entrusted their bodies to the hills and mountains, indifferent to whether their names would be remembered by posterity; their thinking was indeed profound.
5. Sacrifices at the graves should be made on Tomb Sweeping Day and at the Autumn Festival. Because the distances to different mountains vary, it is difficult to reach every grave on those days. Therefore, all branch families should be notified in advance of the order of priority: first, the founding father of our lineage; then ancestors earlier than great-great-grandfather; next, ancestors down to each person's grandfather. Established customs should be followed in deciding how much wine and meat should be used, how many different kinds of sacrificial offerings should be presented, and how much of the yearly budget should be spent on the sacrifices. All of these should be recorded in a special "sacrifice book" in order to set standards.
6. Not celebrating one's birthday has since ancient times been regarded as an exemplary virtue. An exception is the birthdays of those who are beyond their sixty-first year, which should be celebrated by their sons and grandsons drinking to their health. But under no circumstances should birthdays become pretexts for heavy drinking. If either of one's parents has died, it is an especially unfilial act to forget him or her and indulge in drinking and feasting. Furthermore, to drink until dead-drunk not only affects one's mind but also harms one's health. The numbers of people who have been ruined by drinking should serve as a warning.
7. On reaching five, a boy should be taught to recite the primers and not be allowed to show arrogance or laziness. On reaching six, a girl should be taught [Ban Zhao's] _Admonitions for Women_ and not be allowed to venture out of her chamber. If children are frequently given snacks and playfully entertained, their nature will be spoiled and they will grow up to be unruly and bad. This can be prevented if caught at an early age.
8. When inviting guests to dinner, one should serve not more than five dishes or more than two soups. Wine and rice should also be served in the right proportion.
9. When attending a funeral service, one should bring only incense and paper money, never hand towels, fruit, or wine, and should stay for only one cup of tea.
10. Gifts presented to us on the occasion of ancestor worship are to be properly compensated for by cash. If the gift box contains a pig's head, the corresponding return would be one-tenth of a tael of silver; for two geese and wine it would be three-tenths of a tael; for a lamb and wine, half a tael; a pig and wine, one tael. In addition, two-hundredths of a tael should be placed in an envelope and presented as a token compensation for fruit and wine. Whether or not these are accepted, and whether or not another present is given in return, depends on the other party. For ceremonies held in our own village, each person should contribute two-hundredths of a tael of silver, and four people should share one table. Those who have contributed yet fail to attend the banquet will get their money back in the original envelope. This is to be stated in the village agreements and to be practiced by all.
#### **PROHIBIT EXTRAVAGANCE**
1. All our young people should wear cotton clothes and eat vegetables. Only on special occasions such as ancestor worship or dinner parties are they to be allowed to drink wine, eat meat, and temporarily put on new clothes. They are fortunate enough to be sheltered from hunger and cold; how dare they feel ashamed of their coarse clothing and coarse food! Also, they should do physical labor. As long as they are capable of carrying loads with their hands and on their backs, they have no need to hire servants. They are fortunate enough not to be ordered around by others; how dare they order other people around! They should learn to cherish every inch of cloth and every half-penny, thereby escaping poverty.
2. Among relatives, presents should not be exchanged more than twice a year, and the gifts should not cost more than one-tenth of a tael of silver. Relatives should agree to abide by the principle of frugality and refuse any gift exceeding this limit. This rule, however, does not include celebrations and funerals, for which custom should be followed.
3. Ordinarily, custom dictates the foods to be offered guests. However, relatives and friends who visit each other often can be served just a dish of fish and another of vegetables. Sima Guang once wrote:
My father was a prefect. Whenever a guest came to visit, he would always serve wine. Sometimes there were three rounds of drinking, and sometimes five, but never were there more than seven rounds. The wine was bought from the common market. The only sweets were pears, nuts, dates, and persimmons; the only dishes were dried or hashed meats, vegetables and thick soup; the plates were either porcelain or lacquer. That was the way officials of that time entertained their guests. They met often and were courteous to each other. Though the food was cheap, their friendships were deep.
From now on, whenever a guest comes to visit, we should not have many dishes and should not force the guest to drink too much. Our aim should be to have the congenial mood last a long time, and the host and the guest enjoy it together.
4. Since our branch of the family has many members, when a visitor comes, it is difficult to have everyone present for dinner. Instead, only some members of the family will be asked to share the company of the guest. This is designed to save expense. The members will all have their turns at being invited and should not compete among themselves, lest jealousy or suspicion arise.
#### **
EXERCISE RESTRAINT**
1. Our young people should know their place and observe correct manners. They are not permitted to gamble, to fight, to engage in lawsuits, or to deal in salt privately. Such unlawful acts will only lead to their own downfall.
2. If land or property is not obtained by righteous means, descendants will not be able to enjoy it. When the ancients invented characters, they put gold next to two spears to mean "money," indicating that the danger of plunder or robbery is associated with it. If money is not accumulated by good means, it will disperse like overflowing water; how could it be put to any good? The result is misfortune for oneself as well as for one's posterity. This is the meaning of the saying: "The way of Heaven detests fullness, and only the humble gain." Therefore, accumulation of great wealth inevitably leads to great loss. How true are the words of Laozi!
A person's fortune and rank are predestined. One can only do one's best according to propriety and one's own ability; the rest is up to Heaven. If one is easily contented, then a diet of vegetables and soups provides a lifetime of joy. If one does not know one's limitations and tries to accumulate wealth by immoral and dishonest means, how can one avoid disaster? To be able to support oneself through life and not leave one's sons and grandsons in hunger and cold is enough; why should one toil so much?
3. Pride is a dangerous trait. Those who pride themselves on wealth, rank, or learning are inviting evil consequences. Even if one's accomplishments are indeed unique, there is no need to press them on anyone else. "The way of Heaven detests fullness, and only the humble gain." I have seen the truth of this saying many times.
4. Taking concubines in order to beget heirs should be a last resort, for the sons of the legal wife and the sons of the concubine are never of one mind, causing innumerable conflicts between half brothers. If the parents are in the least partial, problems will multiply, creating misfortune in later generations. Since families have been ruined because of this, it should not be taken lightly.
5. Just as diseases are caused by what goes into one's mouth, misfortunes are caused by what comes out of one's mouth. Those who are immoderate in eating and unrestrained in speaking have no one else to blame for their own ruin.
6. Most men lack resolve and listen to what their women say. As a result, blood relatives become estranged and competitiveness, suspicion, and distance arise between them. Therefore, when a wife first comes into a family, it should be made clear to her that such things are prohibited. "Start teaching one's son when he is a baby; start teaching one's daughter-in-law when she first arrives." That is to say, preventive measures should be taken early.
7. "A family's fortune can be foretold from whether its members are early risers" is a maxim of our ancient sages. Everyone, male and female, should rise before dawn and should not go to bed until after the first drum. Never should they indulge themselves in a false sense of security and leisure, for such behavior will eventually lead them to poverty.
8. Young family members who deliberately violate family regulations should be taken to the family temple, have their offenses reported to the ancestors, and be severely punished. They should then be taught to improve themselves. Those who do not accept punishment or persist in their wrongdoings will bring harm to themselves.
9. As a preventive measure against the unpredictable, the gates should be closed at dusk, and no one should be allowed to go out. Even when there are visitors, dinner parties should end early, so that there will be no need for lighting lamps and candles. On very hot or very cold days, one should be especially considerate of the kitchen servants.
10. For generations this family has dwelt in the country, and everyone has had a set profession; therefore, our descendants should not be allowed to change their place of residence. After living in the city for three years, a person forgets everything about farming; after ten years, he does not even know his lineage. Extravagance and leisure transform people, and it is hard for anyone to remain unaffected. I once remarked that the only legitimate excuse to live in a city temporarily is to flee from bandits.
11. The inner and outer rooms, halls, doorways, and furniture should be swept and dusted every morning at dawn. Dirty doorways and courtyards and haphazardly placed furniture are sure signs of a declining family. Therefore, a schedule should be followed for cleaning them, with no excuses allowed.
12. Those in charge of cooking and kitchen work should make sure that breakfast is served before nine o'clock in the morning and dinner before five o'clock in the afternoon. Every evening the iron wok and other utensils should be washed and put away, so that the next morning, after rising at dawn, one can expect tea and breakfast to be prepared immediately and served on time. In the kitchen no lamps are allowed in the morning or at night. This is not only to save the expense, but also to avoid harmful contamination of food. Although this is a small matter, it has a great effect on health. Furthermore, since all members of the family have their regular work to do, letting them toil all day without giving them meals at regular hours is no way to provide comfort and relief for them. If these rules are deliberately violated, the person in charge will be punished as an example to the rest.
13. On the tenth and twenty-fifth days of every month, all the members of this branch, from the honored aged members to the youngsters, should gather at dusk for a meeting. Each will give an account of what he has learned, by either calling attention to examples of good and evil, or encouraging diligence, or expounding his obligations, or pointing out tasks to be completed. Each member will take turns presenting his own opinions and listening attentively to others. He should examine himself in the matters being discussed and make efforts to improve himself. The purpose of these meetings is to encourage one another in virtue and to correct each other's mistakes.
The members of the family will take turns being the chairman of these meetings, according to schedule. If someone is unable to chair a meeting on a certain day, he should ask the next person in line to take his place. The chairman should provide tea, but never wine. The meetings may be canceled on days of ancestor worship, parties, or other such occasions, or if the weather is severe. Those who are absent from these meetings for no reason are only doing themselves harm.
There are no set rules for where the meeting should be held, but the place should be convenient for group discussions. The time of the meeting should always be early evening, for this is when people have free time. As a general precaution the meeting should never last until late at night.
14. Women from lower-class families who stop at our houses tend to gossip, create conflicts, peek into the kitchens, or induce our women to believe in prayer and fortune-telling, thereby cheating them out of their money and possessions. Consequently, one should question these women often and punish those who come for no reason, so as to put a stop to the traffic.
15. Blood relatives are as close as the branches of a tree, yet their relationships can still be differentiated according to importance and priority: Parents should be considered before brothers, and brothers should be considered before wives and children. Each person should fulfill his own duties and share with others profit and loss, joy and sorrow, life and death. In this way, the family will get along well and be blessed by Heaven. Should family members fight over property or end up treating each other like enemies, then when death or misfortune strikes they will be of even less use than strangers. If our ancestors have consciousness, they will not tolerate these unprincipled descendants who are but animals in man's clothing. Heaven responds to human vices with punishments as surely as an echo follows a sound. I hope my sons and grandsons take my words seriously.
16. To get along with patrilineal relatives, fellow villagers, and relatives through marriage, one should be gentle in speech and mild in manners. When one is opposed by others, one may remonstrate with them; but when others fall short because of their limitations, one should be tolerant. If one's youngsters or servants get into fights with others, one should look into oneself to find the blame. It is better to be wronged than to wrong others. Those who take affront and become enraged, who conceal their own shortcomings and seek to defeat others, are courting immediate misfortune. Even if the other party is unbearably unreasonable, one should contemplate the fact that the ancient sages had to endure much more. If one remains tolerant and forgiving, one will be able to curb the other party's violence.
#### **
PRESERVE THE FAMILY PROPERTY**
1. The houses, fields, and ponds that have been accumulated by the family should not be divided or sold. Violators of this rule will be severely admonished and barred from the ancestral temple.
2. Maps of the family graves should be printed. The graves are to be well taken care of and frequently repaired. The custodians of the graves should be treated well.
3. Books constitute the lifeline of a family. A record should be kept of their titles. They should be aired out at regular intervals, stored in a high chamber, and kept from being dispersed. In this way we can keep intact our ancestors' writings.
4. Paintings, maps, books, scrolls, and utensils should be stored in separate wooden cabinets. There should be a notebook in which all these are registered. Whenever an item is loaned to someone, a slip of paper with the description of the item should be temporarily pasted on the shelf. When the item is returned, it should be replaced in its original position.
5. There are many thieves in the country; therefore, one should be careful not to leave clothing and other objects about. Doors should be locked and carefully guarded. Be prepared! On noticing anything suspicious, look into it immediately and take preventive action, in order to achieve maximum security.
6. In order to cultivate the moral character of the young, one must severely punish those who are so unruly that they have no sense of righteousness or who so indulge their desires that they destroy their own health. One should also correct those who have improper hobbies, such as making too many friends and avoiding work, indulging in playing musical instruments and the game of Go, collecting art and valuables, composing music, singing, or dancing. All these hobbies destroy a person's ambition. Those who indulge in them may consider themselves free spirits; yet little do they know that these hobbies are their most harmful enemies.
7. If among patrilineal and affinal relatives and fellow villagers there are people who give importance to propriety and are respected for their learning and ability, one should frequently visit them to request advice and offer one's respects. Then, in case of emergencies in the family, one will be able to obtain help from them. Besides, receiving frequent advice is good in itself. By contrast, to make friends with the wrong sort of people and join them in evil deeds is to set a trap for oneself. If one is jealous of upright gentlemen and avoids upright discourse, misfortune will strike, the family will be ruined, lives may even be lost. Then it will be too late for regrets.
8. Scholars, farmers, artisans, and merchants all hold respectable occupations. Scholarship ranks the highest; farming is next; and then craft and business. However, it should be up to the individual to measure his ability against his aspirations as well as to find the most suitable occupation for himself. In these family instructions, I have given first place to the profession of scholarship, but have also devoted a great deal of attention to the work of farmers, artisans, and merchants. These family instructions attempt to show the correct procedures to be followed in everyday life. If one truly understands them and fulfills the duties appropriate to his way of life; if one upholds public and private obligations; if one can in good conscience invite Heaven's favor, then misfortune will stay away and bliss will enter without conscious effort on one's part. In this way, a person can face his ancestors without shame and instruct his posterity; there are no other secrets to having good and capable descendants.
_Translated by Clara Yu_
## 55 **
CONCUBINES**
_Concubinage is probably the feature of the Chinese family system most foreign to Western experience. Although it is undoubtedly true that the vast majority of Chinese men could never afford a concubine in addition to a wife, still the practice of concubinage colored Chinese life at many levels. Poor families were affected as the suppliers of daughters. They were always aware that if they could not afford to marry their daughters off, they could sell them to rich men. This step meant turning an economic liability into an asset, but most people tried to avoid it, not only because they worried about the happiness of their daughters but also because their own prestige was involved. For families of modest means, concubinage meant that if the first wife failed to produce a surviving son after perhaps ten years of marriage, a concubine might be purchased in the hope she would bear a son. In families of prosperous merchants, landlords, scholars, and officials, concubinage was an even more common part of family life. Most members of such families would have spent at least a part of their lives in large households in which one or more men had a concubine in addition to his wife._
_Below are three sources that reveal various aspects of concubinage. The first concerns the way concubines were offered for sale. Probably most of the girls had entered this market after their parents turned them over to a broker for a sum of money, signing a contract giving up their rights to her. The second is a memoir written by Mao Xiang (1611-1693) recording how he ended up taking a singing girl as his concubine. As he presents it, it was the girl who pursued him, eager for a patron who would pay her debts and buy out the contract which bound her to the owner of her establishment. The writer presents his wife as rather neutral in the whole process, but certainly in many cases wives or earlier concubines were displeased when a man took a new concubine. Some of the interpersonal dynamics in a household with wives and concubines is depicted in the last piece, an episode from the novel Jin Ping Mei, published in 1610. This novel recounts the varied adventures of Ximen Qing, a congenial but unambitious and undisciplined heir of a prosperous commercial family whose household had grown to include a wife and five concubines. In the episode included here, Lotus, the newest concubine, demonstrates the malice she could vent on her competitors._
#### **
THE THIN HORSE MARKET**
Upwards of a hundred people in Yangzhou earn a living in the "thin horse" business. If someone shows an interest in taking a concubine, a team of a broker, a drudge, and a scout stick to him like flies. Early in the morning, the teams gather to wait outside the doors of potential customers, who usually give their business to the first team to arrive. Any teams coming late have to wait for the next opportunity. The winning team then leads their customer to the broker's house. The customer is then served tea and seated to wait for the women. The broker leads out each of them, who do what the matchmaker tells them to do. After each of her short commands, the woman bows to the customer, walks forward, turns toward the light so the customer can see her face clearly, draws back her sleeves to show him her hands, glances shyly at him to show her eyes, says her age so he can hear her voice, and finally lifts her skirt to reveal whether her feet are bound. An experienced customer could figure out the size of her feet by listening to the noise she made as she entered the room. If her skirt made noise when she walked in, she had to have a pair of big feet under her skirt. As one woman finishes, another comes out, each house having at least five or six. If the customer finds a woman to his liking, he puts a gold hairpin in her hair at the temple, a procedure called "inserting the ornament." If no one satisfies him, he gives a few hundred cash to the broker or the servants.
If the first broker gets tired, others will willingly take his place. Even if a customer has the stamina to keep looking for four or five days, he cannot finish visiting all the houses. Nevertheless, after seeing fifty to sixty white-faced, red-dressed women, they all begin to look alike and he cannot decide which are pretty or ugly. It is like the difficulty of recognizing a character after writing it hundreds or thousands of times. Therefore, the customer usually chooses someone once his mind and eyes can no longer discriminate. The owner of the woman brings out a piece of red paper on which are listed the "betrothal presents," including gold jewelry and cloth. Once he agrees to the deal, he is sent home. Before he even arrives back at his lodgings, a band and a load of food and wine are already waiting there. Before long, presents he was to send are prepared and sent back with the band. Then a sedan chair and all the trimmings—colorful lanterns, happy candles, attendants, sacrificial foods—wait outside for the customer's arrangement. The cooks and the entertainer for the wedding celebration also arrive together with foods, wine, candy, tables, chairs, and tableware. Without the customer's order, the colorful sedan chair for the girl and the small sedan chair for her companion are dispatched to get the girl. The new concubine performs the bowing ceremony with music and singing and considerable clamor. The next morning before noon the laborers ask for rewards from the man, then leave to prepare another wedding for another customer in the same manner.
#### **
HOW DONG XIAOWAN BECAME MY CONCUBINE**
I was rather depressed that evening, so I got a boat and went with a friend on an excursion to Tiger Hill. My plan was to send a messenger to Xiangyang the next morning and then set out for home. As our boat passed under a bridge, I saw a small building by the bank. When I asked who lived there, my friend told me that this was [the singing girl] Dong's home. I was wildly happy with memories of three years before. I insisted on the boat's stopping, wanting to see Xiaowan at once. My friend, however, restrained me, saying, "Xiaowan has been terrified by the threat of being kidnapped by a powerful man and has been seriously ill for eighteen days. Since her mother's death,* she is said to have locked her door and refrained from receiving any guests." I nevertheless insisted on going ashore.
Not until I had knocked two or three times did the door open. I found no light in the house and had to grope my way upstairs. There I discovered medicine all over the table and bed.
Xiaowan, moaning, asked where I had come from and I told her I was the man she once saw beside a winding balustrade, intoxicated.
"Well, Sir," she said, recalling the incident, "I remember years ago you called at my house several times. Even though she only saw you once, my mother often spoke highly of you and considered it a great pity that I never had the chance to wait on you. Three years have passed. Mother died recently, but on seeing you now, I can hear her words in my ears. Where are you coming from this time?"
With an effort, she rose to draw aside the curtains and inspected me closely. She moved the lamp and asked me to sit on her bed. After talking awhile, I said I would go, not wanting to tire her. She, however, begged me to remain, saying, "During the past eighteen days I have had no appetite for food, nor have I been able to sleep well. My soul has been restless, dreaming almost all the time. But on seeing you, I feel as if my spirit has revived and my vigor returned." She then had her servant serve wine and food at her bedside, and kept refilling my cup herself.
Several times I expressed my desire to leave, but each time she urged me to stay.... The following morning, I was eager to set off on the trip home, but my friend and my servant both asked me not to be ungrateful for Xiaowan's kindness as she had had only a brief chance to talk with me the previous night. Accordingly I went to say goodbye to her. I found her, fresh from her toilet, leaning against a window upstairs quite composed. On seeing my boat approaching the bank, she hurried aboard to greet me. I told her that I had to leave immediately, but she said that she had packed up her belongings and would accompany me. I felt unable to refuse her.
We went from Hushuguan to Wuxi, and from there to Changzhou, Yixing, and Jiangyin, finally arriving at Jinjiang. All this took twenty-seven days, and twenty-seven times I asked her to go back, but she was firm in her desire to follow me. On climbing Golden Hill, she pointed to the river and swore, "My body is as constant as the direction of the Yangzi River. I am determined never to go back to Suzhou!"
On hearing her words, I turned red and reiterated my refusal, "The provincial examination is coming up soon. Because my father's recent posts have been dangerous ones, I have failed to attend to family affairs and have not been able to look after my mother on a daily basis. This is my first chance to go back and take care of things. Moreover, you have so many creditors in Suzhou and it will take a lot to redeem your singing-girl's contract in Nanjing. So please go back to Suzhou for the time being. After I have taken the examination at the end of summer, I will send word and meet you in Nanjing. At any rate, I must await the result of the examination before I even think about these matters. Insisting on it now will do neither of us any good."
She, however, still hesitated. There were dice on the table, and one of my friends said to her jokingly, "If you are ever going to get your wish [to become his concubine], they will land with the same side up." She then bowed toward the window, said a prayer, and tossed the dice. They all landed on six. All on board expressed their amazement, and I said to her, "Should Heaven really be on our side, I'm afraid we might bungle the whole thing if we proceed too hurriedly. You had better leave me temporarily, and we'll see what we can do by and by." Thus against her wishes she said goodbye, concealing her tearstained face with her hands.
I had pity for her plight but at the same time once I was on my own felt relieved of a heavy burden. Upon arrival at Taizhou, I sat for the examination. When I got home in the sixth month, my wife said to me, "Xiaowan sent her father to bring word that since her return to Suzhou, she has kept to a vegetarian diet and confined herself to her home, waiting on tiptoe for you to bring her to Nanjing as you promised. I felt awkward and gave her father ten taels of silver, asking him to tell her that I am in sympathy with her and consent to her request, but she must wait till you finish the examination."
I appreciated the way my wife had handled Xiaowan's request. I then directly proceeded to Nanjing without keeping my promise to send someone to fetch her, planning to write to her after I had finished the examination. However, scarcely had I come out of the examination hall on the morning of the 15th of the eighth month when she suddenly called at my lodgings at Peach Leaf Ferry. It turned out that after waiting in vain for news from me, she had hired a boat, setting out from Suzhou and proceeding along the river with an old woman as her companion. She met with robbers on the way, and her boat had to hide among reeds and rushes. With the rudder broken, the boat could not proceed, and she had had practically nothing to eat for three days. She arrived at Sanshan Gate of Nanjing on the 8th, but not wanting to disturb my thoughts during the examination, she delayed entering the city for two days.
Though delighted to see me, she looked and sounded rather sad as she vividly described what had happened during the hundred days of our separation, including her confinement at home on vegetarian fare, her encounter with robbers on the river, and her other experiences of a voyage fraught with danger. Now she was more insistent than ever on getting her wish. The men in my literary society from Kashan, Sungjiang, Fujian, and Henan all admired her farsightedness and sincerity and encouraged her with their verses and paintings.
When the examination was over, I thought I might pass it, so hoped I would soon be able to settle my affairs and gratify her desire to become my concubine. Unexpectedly, on the 17th I was informed that my father had arrived by boat.... I had not seen him for two years and was overjoyed that he had returned alive from the battlefront. Without delaying to tell Xiaowan, I immediately went to meet him.... Before long she set out by boat in pursuit of me from the lodging house at Peach Leaf Ferry. A storm at Swallow's Ledge nearly cost her her life. At Shierhui she came on board and stayed with me again for seven days.
When the results of the examination were announced, I found my name on the list of the not quite successful candidates. I then traveled day and night to get home, while she followed weeping, unwilling to part. I was, however, well aware that I could not by myself settle her affairs in Suzhou and that her creditors would, on discovering her departure, increase their demands. Moreover, my father's recent return and my disappointment in the exams had made it all the more difficult to gratify her desire at once. On arrival at Puchao on the outskirts of my native city, I had to put on a cold face and turn ironhearted to part from her, telling her to go back to Suzhou to set her creditors at ease and thus pave the way for our future plans.
In the tenth month, while passing Jinjiang, I went to visit Mr. Zheng, the man who had been my examiner. At that time, Liu Daxing of Fujian had arrived from the capital. During a drinking party in his boat with General Chen, my friend Prefect Liu, and myself, my servant returned from seeing Xiaowan home. He reported that on arrival at Suzhou she did not change out of her autumn clothing, saying that she intended to die of cold if I did not see my way to settle her affairs promptly. On hearing this, Liu Daxing pointed to me and said, "Pijiang, you are well known as a man of honor. Could you really betray a girl like this?"
"Surely scholars are not capable of the gallant deeds of Huang Shanke and Gu Yaya," I replied.
The prefect raised his cup, and with a gesture of excitement exclaimed, "Well, if I were given a thousand taels of silver to pay my expenses, I'd start right away today!"
General Chen at once lent me several hundred taels, and Liu Daxing helped with a present of several catties of ginseng. But how could it have been anticipated that the prefect, on arrival at Suzhou, failed to carry out his mission, and that when the creditors had kicked up a row and the matter had been brought to a deadlock, he fled to Wujiang? I had no chance to make further inquiries, as I returned home shortly afterwards.
Xiaowan was left in an awkward position, with little she could do. On hearing of her trouble, Qian Qianyi of Changshu went to Bantang himself and brought her to his boat. He approached her creditors, from the gentry to the townsmen, and within three days managed to clear every single debt of hers, the bills redeemed piling up a foot in height. This done, he arranged a farewell banquet on a pleasure boat and entertained her at the foot of Tiger Hill. He then hired a boat and sent someone to see her to Rugao.
On the evening of the 15th of the eleventh month when I was drinking wine with my father in our Zhuocun Hall, I was suddenly informed that Xiao wan had arrived at the jetty. After reading Qian's long interesting letter, I learned how she had gotten here. I also learned that Qian had written to a pupil of his, Zhang of the ministry of rites, asking him to redeem her singing's girl's contract at once. Her minor problems at Suzhou were later settled by Mr. Zhou of the bureau of ceremonies while Mr. Li, formerly attached to that bureau, had also rendered her great assistance in Nanjing.
Ten months thereafter, her desire was gratified [and she became my concubine]. After the endless tangle of troubles and emotional pain, we had what we wanted.
#### **
THE SPITE OF LOTUS**
Now that she was the favorite, Lotus became more and more intent on having her own way. She was never at peace. Suspicious of the others, she was constantly peeping from behind doors and spying through cracks. One day, in a bad mood over nothing, she upbraided her maid Plum. Plum was not the docile type who could accept criticism quietly, so to vent her anger she ran off to the kitchen, where she pounded her fists on the tables and pans. Snow, the fourth wife, watched all this and teased her, "You silly little thing. If you want a man so much, can't you look elsewhere? Why must you have your fits here?"
Angry already, Plum now lost her temper. "How dare anyone insult me!" she declared. When Snow saw fit to ignore her, Plum ran back to her mistress. She embellished the incident and told Lotus, "That one says you personally handed me over to the master so that we could keep him all to ourselves."
Plum's story did nothing to improve Lotus's bad mood. That morning she had risen earlier than usual to help Moon, the principal wife, get ready for a funeral. She had been so tired she took a nap, and was just going back to her own suite. On her way there she ran into Jade, the third wife.
"Why are you looking so worn out?" Jade asked.
"Don't ask me! I had to get up early," Lotus replied, then added, "Sister, where are you coming from?"
"I stopped at the kitchen."
"Did the one there tell you anything?"
"No, not that I can think of."
Lotus did not let on what was bothering her, but she was forming a hatred for Snow. She and Jade sat down and passed some time doing needlework. After finishing the tea and cakes Plum and Chrysanthemum set out, they decided to play a game of chess. But no sooner had their game become exciting than Ximen was announced and entered the room.
Ximen gazed in satisfaction at the two well decked-out ladies. Silk hair nets revealing curls at their temples, earrings of blue sapphire, white silken dresses with red bodices and embroidered skirts, tiny arched and pointed slippers—how exquisite their taste was! "Just like a couple of courtesans, worth at least a hundred taels of silver!" he teased.
"Courtesans, my word! You have one in your household, but she's in back, not here," Lotus bantered back.
Jade rose to withdraw, but Ximen caught her and drew her back into the room. "Where would you be going? As soon as I arrive you try to escape! Tell the truth—what have you two been doing in my absence?"
"Nothing wrong," Lotus answered. "We were both feeling low, so we started a game of chess." Lotus helped him put the chessmen back and commented that he had returned from the funeral rather early.
"Yes, there were a lot of officials there and it was terribly hot, so I made a quick exit."
When Jade asked about Moon, Ximen said she would be coming later in the sedan chair and that he had sent two servant boys to meet her. He sat down next to them and asked, "What were your stakes in this game?"
"Oh, we were just playing for the fun of it," Lotus answered.
"Then let me challenge you each to a game. Whoever loses forfeits a tael of silver to pay for a party."
"But we don't have any money with us." Lotus objected.
"Never mind. You can give me a hairpin as security."
First he played with Lotus and she lost. He began to reset the pieces for a game with Jade, but Lotus suddenly tipped over the board, causing the chessmen to fall in a jumble. Then she ran out of the room and into the garden.
Ximen chased her and found her picking flowers. "What a spoilsport! You run away because you lost, my lovable little oily-mouth," he called to her, panting.
Coyly, Lotus looked up at him. "What a villain, to pursue me just because I lost! You wouldn't dare do that to Jade!" She playfully pelted him with blossoms. Ximen went up to her and took her in his arms, then stuck out his tongue to give her a piece of candy from his mouth.
Their diversions were soon interrupted by Jade who called, "Moon has just returned. We'd better go."
Lotus broke loose from Ximen and said she would talk to him more later. Then she hurried after Jade to pay her respects to Moon.
Moon asked them, "What makes you two so merry?"
"Lotus lost a tael of silver playing chess with the master, so she will have to host a party tomorrow," Jade answered. "You must come."
Moon smiled and Lotus soon took her leave. She rejoined Ximen in the front suite and had Plum light some incense and draw a hot bath so that later they could amuse themselves like a couple of fish.
Although Moon was Ximen's principal wife, her ill health usually kept her from fulfilling all the duties of the mistress of the house. Grace, the second wife, performed most of the social duties such as paying visits and receiving guests, and handled the household budget. Snow, the fourth wife, took charge of the servants and was the chief cook. Wherever Ximen was in the house, if he wanted something to eat or drink, he would send his request to Snow via one of the maids of the lady he was visiting.
That night Ximen stayed with Lotus. They drank some wine, took a bath, and went to bed. The next morning things started to happen. It began when
Ximen cajoled Lotus by promising that right after breakfast he would go to the temple market to buy her some pearls. But when he told Plum to fetch him breakfast (ordering lotus-seed cakes and carp soup), the girl would not budge.
Lotus intervened, "There's a person in the kitchen who says I induced Plum to yield to you so that she and I could keep you for ourselves. She called us all sorts of names. So don't make Plum go there."
"Who are you referring to?"
"I don't want to name names. Even the pots and pans have ears around here. Just send Chrysanthemum instead."
Ximen did as he was told. More than enough time passed to have cooked two breakfasts and Lotus had the table all set, but Chrysanthemum still did not return. Ximen was near to losing his patience, so Lotus sent Plum after all, telling her, "Go see where that slave is dallying. She must've taken root someplace!"
Reluctantly Plum complied and found Chrysanthemum standing in the kitchen. "You depraved slave," she scolded. "Mistress will cut you to pieces! What's keeping you? Master is out of patience! He wants to go to the market and I must bring you back with me at once."
She would have continued, but Snow interrupted "Silly wench, you behave like some Mohammedan on a feast day! Isn't the pot made of iron? Will the soup get hot just by sitting in it? I have some gruel ready, but instead he wants cakes and soup. What kind of a worm is at work in his stomach?"
This was more than Plum could take. "Impudence! Do you think I came here for the fun of it? Are you going to get the stuff ready or not? Just wait! Master will be furious when I tell him about this!" Dragging Chrysanthemum by the ear, she turned to go.
As they left, Snow shouted, "That slave and her mistress are both too cocksure! But my time will come!"
"Maybe it will! What do I care?" Plum retorted.
Still in a huff, Plum produced Chrysanthemum before her mistress, who noticed how pale her face was. "What's the matter?" Lotus asked.
"Ask her! I found her standing in the kitchen. That person was taking forever to prepare a little breakfast! All I said was that the master was in a rush and you wanted to know what was keeping her. That kitchen woman called me a slave wench and other ugly things. She even reviled the master calling him some extravagant Mohammedan! Does she think he needs her permission before asking for something? She complained that he wouldn't eat her gruel! She seems to think the purpose of a kitchen is not cooking but cursing!"
"What did I tell you!" Lotus exclaimed. "We shouldn't have sent Plum. I knew that that one would pick a quarrel and insinuate that Plum and I had made you into our exclusive property! Oh, why do I have to endure such insults!"
Her outburst produced immediate effect: Ximen dashed into the kitchen and began kicking Snow. "You evil bag of bones! What gives you the right to curse the girl I sent to fetch some breakfast? You call her a slave? If you want to see a slave, look at the reflection in your own puddle!"
Snow knew better than to talk back to Ximen, but as soon as he left she turned to Lai Bao's wife. "What evil luck I'm having! You are my witness. You saw her prance in here like some demon! Did I say the least thing to her? But off she goes with that little maid and tells lies to the master so that he abuses me for no fault of mine! Just wait! I'll be on the lookout! Sooner or later that impudent slave wench and her mistress will make a false move!"
Unknown to Snow, Ximen had paused to listen outside the door. Convulsed with rage, he barged back in and pummeled her. "You depraved slave, you slut! Tell me now you didn't insult her! I heard you with my own two ears!" He kept hitting her until she could not take the pain any longer, then stormed off, leaving her shrieking.
Hearing the commotion, Moon, who had just risen and was having her hair dressed, sent her maid Jewel to investigate. Jewel came back and related the whole story. "He's never wanted cakes before," Moon remarked. "But Snow should have done his bidding as quickly as possible, and certainly she shouldn't have scolded the maid over nothing."
She sent Jewel back to the kitchen to tell Snow to finish the breakfast. So, in the end, Ximen got his meal and was off to the market with one of the servant boys.
Snow could not get over how she had been mistreated. As soon as Ximen was out of the house she went to Moon's room to give her version of the incident. Little did she know Lotus had followed her and was eavesdropping outside the window to everything she told Moon and Grace. "You have no idea what this woman is capable of!" Snow ranted. "She is absolutely man-crazy and can't stand to spend even a single night alone! Even a dozen husbands wouldn't be enough for her! She got rid of her first husband by poisoning him! Just imagine what she's planning for us! She's turned our husband into some kind of beady-eyed chicken who never notices the rest of us!"
"Now, now," Moon tried to calm her, "weren't you at fault? He did send the maid for the cakes, and if you had sent her right back with them, none of this would have happened. There wasn't any call for you to provoke her."
"I was the one who got provoked! That maid was impertinent even when she used to work for you, but you never objected when I corrected her, even the time I hit her with the back of a knife. What makes her so privileged now that she works for Lotus?"
"The fifth mistress is outside," Jewel warned as she came in.
The next moment Lotus entered. Looking straight into Snow's face, she stated, "If you know for a fact that I had poisoned my first husband, then why didn't you stop the master from bringing me here? That way you wouldn't have had to worry about me getting him all for myself. As for Plum, she doesn't belong to me. If you object to the current arrangements, let her wait on Moon again. Then I wouldn't care if you picked quarrels with her. But don't worry—there's a simple solution to everything. When the master comes back I'll ask him to write out a letter of divorce!"
"I really don't understand why you two have to squabble," Moon interjected. "If only you both talked a little less..."
"But Lady," Snow objected, "her mouth pours forth words like a river! No one is a match for her! If she lost her tongue she could still make the master believe anything by merely rolling her eyes! If she had her way, all of us, except perhaps you, would be driven out of here!"
For a while Moon let them hurl insults back and forth at each other. Then when Snow said, "You call me a slave, but you're the real slave," and seemed on the point of striking Lotus, Moon ordered Jewel to remove Snow from the room.
Back in her own suite, Lotus took off her clothes, removed her makeup, and mussed up her dark hair. In this disheveled condition, she threw herself on her bed and sobbed.
When Ximen returned that evening with four ounces of pearls, he found Lotus in this state, demanding a divorce. "I never cared anything about your money," she protested through her tears. "It was just that I loved you. But what do I get in return but insults? Now I'm called a husband murderer! It would be better if I didn't have a maid, since anyone who works for me has to put up with such treatment!"
Lotus's tale turned Ximen into a demon. He whirled through the house until he set down on Snow. Grabbing her hair in one hand, he thrashed her with his short stick, not stopping until Moon came to restrain him.
"Let's everyone behave," Moon said, then addressing Snow, added, "Don't upset the master."
"You culprit! You evil bag of bones!" Ximen railed at Snow. "I heard what you called them in the kitchen! Just let me catch you one more time!"
All this Snow suffered because of Lotus's spiteful scheming. There's a verse to prove it:
Lotus depended on her husband's favor
To make Snow suffer deep humiliation.
Using gratitude to accumulate hatred—
The consequences will take centuries to unfold.
Ximen returned to Lotus's room and took from his sleeve the pearls he had bought her. Lotus was no longer petulant; Ximen had taken her side and fought her battles for her. She repaid his affection tenfold and his delight in her only increased.
_Translated by Patricia Ebrey_
* The "mother" here may well be the woman who managed her, rather than her natural mother.
## 56 **WIDOWS LOYAL UNTO DEATH**
_From early times, it was considered preferable for a widow not to remarry after her husband died. Widows who refused to remarry, even when pressured by their parents or parents-in-law, were singled out for praise and emulation in all of the collections of accounts of exemplary women, published either as independent volumes or as chapters in dynastic histories or the histories of particular localities. In the Song dynasty, the great neo-Confucian thinker Cheng Yi (1033-1107) had declared that it was better for a widow to starve to death than remarry, since personal integrity was a more important matter than life. In the Ming dynasty, this saying was often quoted and the cult of widow chastity reached extreme levels, with many young widows not merely refusing to remarry, but committing suicide. Their actions were widely celebrated, and their families were often given the right to display banners or arches proclaiming their virtue._
_The following accounts of such widows are from the local history of Fuzhou in Fujian province._
_Xu Sungjie,_ daughter of Xu Yuanyan, married Chen Boshan at the age of seventeen. When her husband was gravely ill, he told her to remarry because she had no son. At his death, she embraced him and cried bitterly. After the coffin was closed, she hanged herself to die with her husband. The official Bai Bi was impressed with her fidelity and so arranged for her burial and had a banner with the inscription "filial piety and propriety" displayed at her door.
_Lin Shunde,_ the daughter of the prefect Lin Jin, was engaged to Sun Mengbi. When Mengbi died, she was with her father at his post. Once the announcement of her finance's death reached her, she put on mourning dress and wept to tell her parents that she wished to go to his home. Her parents packed for her and told her to behave properly. On arriving there, she performed the rituals for her first meeting with her parents-in-law, then she made an offering at her finance's coffin. After he was buried, she served her mother-in-law for the rest of her life. The local official inscribed a placard with "She hurried to the funeral of a husband she had never seen. Suffering cold and frost, she swore not to remarry."...
_Fu Xiajie_ was the wife of Chen Banghuai. Her husband was taken hostage by some bandits. She supported herself by making hemp cloth. After a long time someone told her that her husband had died. She was spinning at the time. She then immediately entered her bedroom and hanged herself.
_Wu Jinshun_ was the wife of Sun Zhen. On the first anniversary of her husband's death, she was so forlorn that she died of grief.
_Zhang Zhongyu_ was engaged to Chen Shunwei, who died prematurely when Zhongyu was eighteen. When she learned of his death, she decided to hurry to the Chen family. Her parents tried to stop her, but she cried and said, "Once you betrothed me to the Chen family, I became a daughter-in-law of the Chen family." So, she hurried to attend her fiance's funeral and bow to her mother-in-law. Then, she cut her hair and removed her ornaments. She lived a secluded life. In the first month of the xinsi year [1461], there was a fire in her neighborhood. She leaned herself against her husband's coffin, wanting to be burned up with her husband. Suddenly a wind came and extinguished the fire. Only her house survived. On the sixth day of the sixth month of the wuzi year [1468], a large army approached. People in the county fled helter-skelter. Zhongyu remained to guard the coffin, keeping a knife with her. When the army arrived the next day, she showed the banner and the tablet from the previous official. The soldiers recognized her righteousness, and general Bai attached his order on the door so that no other soldiers would enter her house. One day she became severely ill and told her mother-in-law, "Don't let any men put their hands on me when I am shrouded after I die. Use the money in the small box that I earned by splicing and spinning to bury me with my husband." Then she died.
_Sun Yinxiao_ was the daughter of Sun Keren and married Lin Zengqing at the age of seventeen. Lin, who made his living fishing, drowned after they had been married for only two months. Sun was determined to kill herself. After the mourning period was over, she made a sacrifice with utmost grief. That night, she dressed carefully and bound a wide girdle round the beam to hang herself. When the magistrate Xu Jiadi heard of this, he paid a visit to offer a sacrifice to her soul.
_Wang Yingjie_ was the wife of Qiu Bianyu. She was widowed at nineteen before bearing any children. As a consequence she decided to die. Her family had long been rich and her dowry was particularly ample. She gave it all to her husband's younger brother so that in the future he could arrange for an heir to succeed to her husband. Then she ceased eating. Her mother forced her to stop, so she had no alternative but to pretend to eat and drink as usual. When her mother relaxed her vigilance, she hanged herself.
_Wang jingjie,_ whose family had moved to Nantai, married Fu Yan, a candidate for the examinations. Yan studied so hard that he got ill and died. When Wang learned of this, she emptied out her savings and gave it to her father-in-law to pay for her husband's funeral, asking him to do it properly. The evening after he was buried, her brother came to console her and she asked how her parents were doing. Her brother slept in another room. At dawn, when the members of the family got up, they kept shouting to her, but she did not answer. When they pried open her door, she was already dead, having hanged herself. She was solemnly facing the inside, standing up straight. She was twenty-one.
_Zhang Xiujie_ married He Liangpeng when she was eighteen. Before a year had passed, he became critically ill. He asked her what she would do, and she pointed to Heaven and swore to follow her husband in death. Since she wished to commit suicide, the other family members had to prevent her. After several months, their only son died of measles. Zhang wept and said, "It is my fate. I had been living for him." That night she hanged herself.
_Huang Yijie_ was engaged to Chen Rujing from Changle who lived in Lianjiang. Before they were married, he died. When she was fifteen, she heard of it and was saddened by it. As she slowly understood what it meant, streams of tears rolled down her cheeks. Without her knowledge a matchmaker arranged a new engagement. In the fifth month of the bingyin year [1506], her first fiance's mother came to call. Huang followed the courtesies appropriate to a daughter-in-law when she went out to meet her, and they both expressed their grief, not holding back. After a while she asked her mother-in-law why she had come, and she told her that she had heard of the new engagement and so had come to get the brideprice back. The girl was startled and thought, "Could this be true? Only in extremely unfortunate circumstances is a dead man's wife sold." She told her mother-in-law, "Fortunately not much has been done with it. Let me make a plan." Disoriented, for a long time she sat, not saying a word. Then she asked her mother-in-law to stay for the night and told her everything she wanted to say. She gave her the hairpins and earrings she had received as betrothal gifts, saying, "Keep these to remember your son by." At dusk, her mother-in-law took her leave, and the girl, weeping, saw her to the gate. She then took a bath, combed her hair, and changed into new clothes. Those things done, she took a knife and cut her throat. The first cut did not sever it, so she had to cut it again before she died. In the morning when her family found her body, there were traces of three cuts.
_Translated by Patricia Ebrey_
## 57 **
TWO PHILOSOPHERS**
_In the early Ming, Zhu Xi's synthesis of Confucian learning was honored by both the state and the community of Confucian scholars as the best guide to true knowledge. Zhu Xi's commentaries to the classics were the ones to study when preparing for the civil service examinations. Leading thinkers worked within the intellectual framework Zhu Xi had established and focused on tasks he had identified as important, such as self-cultivation through the "investigation of things." In mid and late Ming, however, more and more thinkers rejected key elements in Zhu Xi's philosophy, moving Confucian thought in more inner directed and individualistic directions._
_Below are selections from two of the most influential Confucian thinkers of the Ming, Wang Yangming (Wang Shouren, 1472-1529) and Li Zhi (1527-1602). Wang Yangming was an official of considerable stature. In 1506, soon after passing second in the 1499 examinations, he attracted notice for protesting the imprisonment of censors who had accused a notorious eunuch of corruption. For his pains, he was beaten and exiled to the far southwest. A few years later he was recalled and later given command of a campaign to suppress banditry and rebellion in several areas in the south. As a thinker, Wang is identified with the learning of the mind, a strand of Confucianism with old roots. In Wang's formulation, the idea of innate moral knowledge is central. To discover truth, in particular to distinguish right from wrong, people should look inward; and once they know something is right, they should act on it. Thus the achievement of sagehood does not require prolonged study of the classics, and ordinary people can aspire to it._
_In part because of the catalytic effect of Wang Yangming's ideas, the age in which Li Zhi lived was intellectually tumultuous, with many strands of individualistic and iconoclastic thought emerging. Li, from a commercial family in coastal Fujian, passed the provincial examinations but never went on to the next level, the jinshi. As a consequence, he held only minor official posts over the course of his career. In 1585, at the age of fifty-nine, he retired to a Buddhist temple and devoted himself to study and writing. Like Wang Yangming, he emphasized the original goodness of the human mind, but he was more eclectic than Wang and more explicitly drew elements of Buddhism and Daoism into his discussions. Objecting to arbitrary and artificial rules, he validated expression of emotions and bodily appetites, thus opening himself to the charge of undermining the foundations of morality. He made many enemies and was eventually arrested for heterodoxy. He committed suicide in jail._
_Below are records of conversations between Wang Yangming and his disciples and letters between Li Zhi and his followers. As they reveal, in the Ming, as in the Song, new ideas were formulated, elaborated, and refined in the teacher-disciple and scholar-friend networks that gave shape to literati life._
#### **
WANG YANGMING'S CONVERSATIONS**
In 15201 want to Qianzhou and saw Wang Yangming again. I told him that recently although I was making a little headway in my studies, I was finding it hard to feel secure or happy. He responded, "The problem is that you go to your mind to seek Heavenly principles, a practice called obscuration by principle. There is a trick for what you want to do."
"Please tell me what it is."
"It is simply the extension of knowledge."
"How does one do it?" I asked.
"Take your intuitive moral knowledge as your personal standard. If you think about something, you will know it is right if it is right, wrong if it is wrong. You cannot conceal anything from your intuitive moral knowledge. Just don't try to deceive it. Honestly follow it in whatever you do. That way you will keep what is good and get rid of what is bad. What security and happiness there is in this! This is the secret of investigating things and the real way to effect the extension of knowledge. If you do not use this sure mechanism, how can you investigate things? It is only recently through personal experience that I have figured this out myself; at first I was worried that relying on intuitive moral knowledge alone would not be enough. But after having looked closely into the matter, I have found that this method is entirely flawless."
* * *
Once when Wang Yuzhong, Zou Shouyi, and I were attending him, Wang Yangming said, "Each person has a sage inside of him or her, which he or she suppresses because of lack of confidence." He then looked at Wang Yuzhong and said, "You have been a sage from the start." Yuzhong rose and politely demurred. The teacher added, "This is something everyone has. Why should you demur?"
"I do not deserve your praise."
"Everyone has this, so naturally you do. Why be so polite? Politeness is not appropriate here." Yuzhong then accepted with a smile.
Wang Yangming carried the discussion further, "Intuitive moral knowledge exists in people. No matter what they do, they cannot destroy it. Even robbers know that they should not rob. If you call them robbers they are embarrassed."
Wang Yuzhong said, "Material desires can obscure the intuitive moral knowledge in a person, but not make it disappear. It is like the clouds obscuring the sun. The sun is not lost."
Wang Yangming said, "You are so smart. No one else sees it."
* * *
A lower-ranking official, who had for a long time been listening to discussions of our teacher's doctrines, once said, "His doctrines are excellent, but because I am so busy keeping records and taking care of legal cases, I cannot study them further."
When Wang Yangming heard of his remark, he said to him, "When did I say you should abandon your records and legal cases to take up study? Since you have official duties, you should use them as a basis for your study. That is the true investigation of things. For instance, if you are questioning a plaintiff, you should not get angry because his answers are impolite or become pleased because he uses ingratiating language. You should not hate him for his efforts to go around you and purposely punish him. Nor should you bend your principles and forgive someone because he implores you. You should not dispose of a case quickly because your own affairs are too pressing, nor let other people's criticisms or praise or plots influence your decision. These ways of responding are all selfish. All you need to know is in yourself. Carefully check for any sign that you are biased, for that would confuse your recognition of right and wrong. This is how to investigate things and extend knowledge. Real learning is to be found in every aspect of record keeping and legal cases. What is empty is study that is detached from things."
* * *
Our teacher's method of shaping people is such that a single word may have the deepest impact. One day Wang Gen came back from a stroll. Wang Yangming asked him, "What did you see on your walk?"
"I saw that the people filling the streets are all sages."
"You saw that all the people filling the streets are sages, but those people all saw you as the only sage."
On another occasion, Dong Yun returned from a stroll and said to Wang, "Today I saw something strange." When Wang Yangming asked him what it was, he answered, "I saw that all the people filling the streets are sages."
"This is always the case. Why do you call it strange?" Wang asked.
Probably Wang responded differently in these two cases because Wang Gen was not yet adjusted to the idea and Dong Yun's grasp was not secure. In each case he argued the contrary point of view to help them progress.
* * *
In 1526 when Huang Honggang, Zhang Yuan-chong, Wang Ji, and I were on our way back from taking the civil service examinations, we gave lectures along the way on our teacher's doctrines. Some people believed what we said, others did not. Wang Yangming said, "When you lectured about learning, you acted like you were a sage. When the people saw a sage coming, they were scared away. How could your lectures succeed? To lecture about learning to the people you must act like a simple, uneducated person."
_Translated by Patricia Ebrey_
#### **
LI ZHI'S LETTERS**
#### **
Letter to Zhuang Chunfu**
Rizai has arrived and I have learned that [my wife's] funeral is over—this is something to be glad of. I lived with her for more than forty years and we knew each other well. As I have been living at Bianzhou a long time and the place has become like a home town to me, I naturally feel sad when I have to leave. I feel the same about leaving her, except that the affection between husband and wife is stronger. Besides the intimacy between pillows and sheets, I also had her diligence, her wise financial management, and her assistance at home. She and I respected each other and treated each other with sincerity. We also lived up to filial duty, friendship, loyalty, and obligation, and we helped others, sometimes at great cost to ourselves. We were much more truthful than the scholarly sort of today who seek only a virtuous name but not virtuous deeds. It is all the more difficult for me to be separated from her now because, besides her love and affection, I will also greatly miss her deeds, merits, good advice, and virtues.
My wife, Huang Yiren, was your mother-in-law. Her only fault was that she never listened to anyone as far as learning was concerned, which was regrettable. Were my bosom made of iron and stone, I could not but feel sorrowful. What is more, when two married people approach old age and are called back to Heaven separately, without even being able to bid farewell to each other—isn't it a most grievous thing? Ah, let it be, let it be!
After I received the sad news of her departure, I dreamed of her every night, but she was always alive and well in my dreams. Did she really come here to be with me? Or did her spirit come to me because I thought of her? I recall that she was always very prudent; seldom would she cross the threshold to enter my meditation abode. Yet, what is wrong with coming to the meditation abode once in a while? She never reached the graceful carefreeness which goes beyond the boundaries of worldly virtues.
The point is, once we recognize the fact that the soul is the only true existence, then where is the demarcation between man and woman? If, after her departure from this world, Yiren is still bound by those old behavior codes, she will never be able to reach a carefree state. The existence of the soul proves that the being itself is deathless and by nature boundless. Therefore, how can one better oneself with boundaries and limits? The very carefreeness of the soul is itself the Pure Land and the Paradise: there is no other Heavenly world.
Chunfu, you should burn this letter for the soul of your mother-in-law so that she may know my wishes. Tell her not to covet the joy of reincarnation, for, once she is placed in a woman's womb to be reborn, she will be deprived of her awareness of the other world. Tell her not to yearn to be worshiped as a Heavenly being, for once reborn in Heaven, she will instantly forget her wish of her previous life to be carefree. Once the retributions end, the karma is in turn manifested, and one is reborn into the six paths of existence with no end to it.
Judging from your mother-in-law's behavior on earth, doubtless she is now in Heaven. Let her mark my words well: although she is already in Heaven, she should remember to wait for me and meet me when my days come to an end. In this way we will be able to rely on each other through many lives, without being separated by mistake. If she temporarily entrusts her thoughts to Buddhism, it will be excellent; but even if she cannot, should she meet some old friend of mine whom I have always respected, she could also follow him while she waits for me. But do tell her that she should by no means covet rebirth.
Chunfu, be sure to burn incense and paper money for your mother-in-law. Read my letter to her three or five times. Enjoin her repeatedly in front of her image. Recite my letter to her clearly and loudly. My Yiren will receive the message.
#### **
To Zeng Jiquan**
I hear that you intend to shave your hair and become a monk. You really should not do so.
You have a wife and concubines, as well as a house and land. What is more, you do not yet have a son. Now, without a son, to whom are you going to entrust your family and possessions? To desert them without a reason is not only unkind but irresponsible. If you have really transcended life and death and seen through human existence, then it is preferable to cultivate yourself at home.
I should like to ask you some hypothetical questions: Can you really hold a monk's bowl to beg for food from door to door? Or can you really fast for several days without begging for a meal from people? If you can do neither, but still have to rely on farming for a livelihood, then isn't it more practical to cultivate yourself at home?
In the beginning, when I had just started studying the Way, not only did I have a wife and family, I also was an official who had to travel tens of thousands of _li._ But I felt that my learning increased day by day. Later on, I stayed in Chu to be close to my good friends and teachers, but my wife would not stay with me; I had to let my son-in-law and my daughter accompany her home. There she had her daughter, nephew, and others waiting on her constantly. I handed over to her whatever savings I had from my offices. As I alone was away from home, I did not need to worry about her and was able to stay down here and enjoy the company of my friends. The reason why I shaved my hair was that various people at home always expected me to return and often actually traveled a thousand _li_ to pressure me to return and to bother me with trivial, worldly affairs. So I shaved my hair to show them that I had no intention of returning. Also, the ignorant people down here eyed me as a heretic, so I let myself behave as such to satisfy them. And yet was my sudden decision to shave my hair based primarily on these reasons? In addition, I knew I was getting old and would not stay in this world of men for long; that was the true reason. Now you, sir, are in your prime years, the fittest time to beget children, to live, to aspire for greatness. Furthermore, you do not own too much land and your estate is not very large. This is the ideal condition in which to live—unlike those rich men who are tied down with so many financial worries that they do not have even one minute of leisure.
Now, tell me, why do you have to discard your hair in order to learn the Way? I, for one, did not get rid of mine and leave home when I started studying it. Do mark my words and bear them in mind.
#### **
On Reading the Letter to Ruowu from His Mother**
Ruowu's mother wrote to him, "I am getting older year after year. I have been a widow since you were eight and have brought you up. You left me to become a monk and that was all right. But now you want to leave in another sense to go to Jin-gang. Even your teacher waited until his parents passed away before becoming a monk. If you want to go away, you can wait until I have died. It will not be too late then.
"You say that even when you live close to me, you have never been able to help me in any way. Yet, when I am ill or indisposed, it is convenient to have you around. That way I do not worry about you. You also are carefree, not having to worry about me. Thus we both live with peace of mind, and where there is peace of mind there is tranquillity. Why are you set on leaving home to seek for quiet? Besides, Qin Suge, who has always been generous to you, has bought you the temple. You always think in terms of the Way; I, however, think in terms of the ways of the world. I believe that what harmonizes with the ways of the world also conforms to the Way.
"Now, even if you forget about my old age, you have an obligation to care for your two small children. Even after your teacher became a monk, he took care of his sons during the famine years. This was because he could not put them out of his mind. For should he have failed to take care of them, they would have become roving good-for-nothings and the butt of insults and ridicule.
"Now you want to cultivate sereneness of the mind, but are you going to be concerned about your children? I do not believe you can be unconcerned about them. The fact is that you are concerned, but out of fear of being ridiculed by others, you hide your feelings. Let me ask you this: which is more honest, which is better, 'concerned but refusing to be involved,' or 'concerned and involved'? The way I see it, if you take care of your children, although it may seem that you are concerned, yet because you can thus achieve peace of mind, you are actually not concerned. On the other hand, if you do not take care of them, you are seemingly unconcerned, yet because your mind feels secret pangs, you are in fact concerned. You ought to examine your own mind. If you can achieve a peaceful mind, then that is the eternal dwelling place, that is the Jingang you are looking for.
"Why do you only listen to others? To listen to others and not to examine your own mind is to be manipulated by circumstances. Once you submit to that, there will be no peace of mind for you.... I fear for you: You now find Longtan not quiet enough and wish to go to live in Jingang. Should you someday find Jingang not quiet enough, where else are you going to go? You always talk only of the 'Way'; I wish now to talk to you about 'mind.' If you do not believe me, ask your teacher. If what matters is the surroundings, then you should indeed go and dwell in Jingang. If what matters is the mind, however, then you have no need to go away. If your mind is not serene, then even if you should travel to the other side of the sea, you would still not find quiet, let alone in Jingang."
On reading the letter, I sighed. I congratulate you on having a mother who is a real Buddha. From morning till night you have with you a teacher of the mind. She speaks with the voice of the ocean tide and teaches the ultimate truth which can never be contradicted. In comparison, the rhetoric of our peers is neither to the point nor effective. We are like those who talk about food, acting as though we could feed people with our mere words. All we achieve is making people laugh at each other, yet we do not even feel ashamed of ourselves. In retrospect, I realize that the several pages I wrote to you were mere exaggerations which would impress the foolish but had no bearing whatsoever on the truth. I now beg you to destroy my letters so that your godly mother may not read them, lest she say that I have spent all my life expounding harmful ideas. I also wish you would circulate your mother's letter and make students of Buddhism read it from time to time, so that they will learn to study true Buddhism. As long as one studies true Buddhism, one is a real Buddha. Even if a person has never recited "Amitabha" once, Amitabha will lead him to the correct path. Why is this? Because, to study Buddhism one has to cultivate virtuous behavior and filial piety. If we can get to see Amitabha by studying false Buddhism, then what kind of Buddhism did Amitabha himself study to become what he is? I am sure he was but an ordinary man who exhibited filial virtues and benevolence.
When one gives voice to one's deepest emotions, one can penetrate a reader's heart like a spear and move him to tears. I am sure you feel the same as I. No one who ever reads your mother's letter will be able to hold back his tears.
#### **
To Liu Xiaochuan**
I look forward earnestly to seeing your father and also seeing you. Do I have to invoke Heaven to testify to my sincerity?
And yet the season is still the "great cold" period of the year. How does an old man like me dare to travel? Also, since the tenth month I have been studying the _Book of Changes_ with Ruhou at night. We study one hexagram per night because during the night it is quiet with no visitors or affairs interfering, only the five or six of us who take this seriously and argue and analyze until the second nightwatchman's drum. It will take us four and a half months to finish the book. A couple of the most serious-minded are guests from a thousand _li_ away who came here with their families and rented nearby houses to be close to my Eternal Rewards Meditation Abode. It would not be right to desert them abruptly.
In my opinion you should come here. Take a light boat and let the river carry you conveniently down here. You will soon be listening to explications of the _Book of Changes_ and be purged of your despondency. Ruhou is an unworldly man whose only concern is study. Although he seldom travels, he is no less a scholar for it. You should come here to meet him. Why are you guarding your home so stupidly, like a child or a woman? By all means, do come down here. I will be standing on tiptoe watching for you. You cannot, should not, and will not disappoint me! What's so precious about your office that you have to shut yourself up in there, watching over everything? Believe me, you will fall ill because of it. You are a man, yet you do not have the all-transcending spirit to seek for teachers and friends in the wide world. Instead you ask an old man to travel to you. How absurd! Do come down here quickly, immediately!
If you come, come by yourself. Do not bring anybody with you, for I do not like other people. Such people as Zhending and Kanggun who accompanied your uncle two years ago on the lake made me so sick that I still flinch at the thought of them. Such people are the most pitiful creatures on earth. Those who study the _Book of Changes,_ on the contrary, are very refined, very diligent, and very interesting; they are where the real joy of the Way lies.
If you come, bring a lot of rice and firewood in your boat, since these things are expensive here. In the Jiao household there are more than sixty people to be fed, and yet there is not even one _mu_ of land to bring in income. Hardly able to support me, how can they feed my guests? Now, remember to bring rice. The firewood you can forget.
Writing in a hurry, I have not been careful about details. Please excuse me.
#### **
Final Testament**
Since spring I have been ill most of the time and I am eager to depart this world. I am glad that this will is to fall into the hands of my good friends. This is quite rare and I am very fortunate; do believe how important it is to me.
When I die, you should hurry to select a high mound outside the city. Dig a rectangular grave facing south, ten feet long, five feet wide, and only six feet deep. When the rectangle is completed according to scale, then dig another two feet five inches into the earth to make a smaller rectangle six and a half feet long and two feet five inches wide within the first rectangle. In this smaller rectangle rest my body. Spread five reed mats at the bottom of the grave and lay me on top. Who can say that this is not clean? As long as my mind is restful in there, it is paradise. Do not fall for the customary sounds and sights and thereby act against my wish. Although Ma Chenglao can afford a pompous burial for me, it is better to let me rest peacefully. This is my most important wish! Now my spirit is dispersing and in no time I will be enjoying my body's resting place.
Before setting me down in the rectangle, put my body on a board. Let me be dressed in the clothes I die in. Do not provide new clothes for me, lest my body feel ill at ease. Yet do cover my face with a piece of cloth. Put my head on a pillow as usual. Cover my whole body with a white sheet and use a footbinding strip to tie the sheet around my body, lacing it from my feet up. At the fifth drum when the temple gate is opened, have four strong men carry me out evenly to the grave.
At the grave you can then lay me down on the reed mats and take the board back to its owner. After my body is down, put twenty to thirty wooden boards across the rectangle, then another five sheets of reed mat over them. Then you can put the soil back in the grave, pounding it solid and even. Pile more soil on top of the grave so that my body's dwelling place is recognizable. Plant trees around the grave and place a tombstone in front of it with the words, "Tomb of Mr. Li Zhuowu." Each word should be four feet square. You can ask Jiao Yiyuan to write it; I believe he will not decline the request.
Those of you who wish to remain at my tomb site must do so out of sincerity. If you are indeed sincere, Master Ma will certainly see to it that you are taken care of; you will not have to worry. Those who are not concerned with me may go wherever they wish. While I was alive I never wanted any relatives to follow me; naturally after I die I will not need to be attended by them. This should be clear.
Please do not change a word of what I have written.
_The 5th day of the second month, The Will of Li Zhuowu._
Please listen to me and do what I ask of you.
_Translated by Clara Yu_
## 58 **
A CENSOR ACCUSES A EUNUCH**
_Over the centuries many officials, imbued with Confucian notions of loyalty to the throne and the responsibility of officials to speak out, courageously protested against bad officials and harmful policies. Particularly obligated in this way were the censors, for they were charged with serving as the emperor's "eyes and ears" and impeaching officials anywhere in the government who violated laws, administrative regulations, or traditional moral standards. Because censors could submit their memorials directly to the emperor, bypassing the routine channels of communication, they could accuse senior figures whose subordinates had no way to submit memorials except through them._
_Below is the memorial submitted in 1624 by the censor Yang Lien (d. 1625), impeaching the eunuch Wei Zhongxian (1568-1627). Yang was a member of the Donglin Academy, a group of high-minded Confucian scholars formed in the late Ming who were committed to opposing the moral decay and political corruption of their age. Eunuch power was one of their chief targets. Like the Han and Tang dynasties before it, the Ming had not been able to curb the power of the tens of thousands of eunuchs who staffed the imperial palaces. Emperors who grew up in the palace among the eunuchs often turned to eunuchs as confidantes, giving the favored ones extraordinary access to power._
_This memorial did get through to the emperor, but he did not act on it. Wei Zhongxian, moreover, had his revenge. In 1625 he obtained a forged confession implicating Yang Lien and five others. Arrested, Yang died in prison after enduring torture._
A treacherous eunuch has taken advantage of his position to act as emperor. He has seized control and disrupted the government, deceived the ruler and flouted the law. He recognizes no higher authority, turns his back on the favors the emperor has conferred on him, and interferes with the inherited institutions. I beg Your Majesty to order an investigation so that the dynasty can be saved.
When Emperor Taizu [i.e., Hongwu] first established the laws and institutions, eunuchs were not allowed to interfere in any affairs outside the palace; even within it they did nothing more than clean up. Anyone who violated these rules was punished without chance of amnesty, so the eunuchs prudently were cautious and obedient. The succeeding emperors never changed these laws. Even such arrogant and lawless eunuchs as Wang Zhen and Liu Jin were promptly executed. Thus the dynasty lasted until today.
How would anyone have expected that, with a wise ruler like Your Majesty on the throne, there would be a chief eunuch like Wei Zhongxian, a man totally uninhibited, who destroys court precedents, ignores the ruler to pursue his selfish ends, corrupts good people, ruins the emperor's reputation as a Yao or Shun, and brews unimaginable disasters? The entire court has been intimidated. No one dares denounce him by name. My responsibility really is painful. But when I was supervising secretary of the office of scrutiny for war, the previous emperor personally ordered me to help Your Majesty become a ruler like Yao and Shun. I can still hear his words. If today out of fear I also do not speak out, I will be abandoning my determination to be loyal and my responsibility to serve the state. I would also be turning my back on your kindness in bringing me back to office after retirement and would not be able to face the former emperor in Heaven.
I shall list for Your Majesty Zhongxian's twenty-four most heinous crimes. Zhongxian was originally an ordinary, unreliable sort. He had himself castrated in middle age in order to enter the palace. He is illiterate, unlike those eunuchs from the directorate of ceremonial. Your Majesty was impressed by his minor acts of service and plucked him out of obscurity to confer honors on him....
Our dynastic institutions require that rescripts be delegated to the grand secretaries. This not only allows for calm deliberation and protects from interference, but it assures that someone takes the responsibility seriously. Since Zhongxian usurped power, he issues the imperial edicts. If he accurately conveys your orders, it is bad enough. If he falsifies them, who can argue with him? Recently, men have been forming groups of three or five to push their ideas in the halls of government, making it as clamorous as a noisy market. Some even go directly into the inner quarters without formal permission. It is possible for a scrap of paper in the middle of the night to kill a person without Your Majesty or the grand secretaries knowing anything of it. The harm this causes is huge. The grand secretaries are so depressed that they ask to quit. Thus Wei Zhongxian destroys the political institutions that had lasted over two hundred years. This is his first great crime....
One of your concubines, of virtuous and pure character, had gained your favor. Zhongxian was afraid she would expose his illegal behavior, so conspired with his cronies. They said she had a sudden illness to cover up his murdering her. Thus Your Majesty is not able to protect the concubines you favor. This is his eighth great crime....
During the forty years that your father the former emperor was heir apparent, Wang An was unique in worrying about all the dangers he faced, protecting him from harm, never giving in to intimidation or temptation. Didn't he deserve some of the credit for your father's getting to the throne? When he died and Your Majesty succeeded, Wang An protected you, so he cannot be called disloyal. Even if he had committed some offense, Your Majesty should have explained what he had done wrong publicly for all to see. Instead Zhongxian, because of his personal hatreds, forged an imperial order and had him killed in Nanhai park. His head and body were separated, his flesh given to the dogs and pigs. This not only revealed his enmity toward Wang An, but his enmity toward all the former emperor's old servants, even his old dogs and horses. It showed him to be without the slightest fear. From that time on, which of the eunuchs was willing to be loyal or principled? I do not know how many thousands or hundreds of the rest of the eunuchs, important and unimportant alike, were slaughtered or driven away for no crime. This is his eleventh great crime....
Doesn't Your Majesty remember the time when Zhongxian, against all rules, rode his horse in the palace grounds? Those who are favored too much become arrogant; those who receive too many favors grow resentful. I heard that this spring when he rode a horse in front of Your Majesty, you shot and killed the horse, but forgave Zhongxian. Despite your generosity, Zhongxian did not beg to die for his offense, but rather acted more arrogantly in Your Majesty's presence and spoke resentfully of Your Majesty when away. He is on guard morning and night, missing nothing. His trusted followers keep guard all the time. In the past traitors and bandits have struggled to wreak havoc and take over. This is in fact what Your Majesty now faces. How can you release a tiger right by your elbow? Even if Zhongxian were cut into mincemeat, it would not atone for his sins. This is his twenty-fourth great crime.
There is adequate evidence of his crimes. They are widely known and have been widely witnessed; they are not a matter of gossip. Zhongxian, guilty of these twenty-four great crimes, kills or replaces any eunuch he fears will expose his treachery. Thus those close at hand are terrified and keep silent. He expels or imprisons any of the officials he fears will expose his villainy, so the officials also all look the other way and keep silent. There are even ignorant spineless fellows eager to get rich and powerful who attach themselves to him or hang around his gate. They praise whatever he likes and criticize whatever he hates, doing whatever is needed. Thus whatever he inside wants they do outside, whatever they outside say he responds to inside. Disaster or good luck can depend on slight movements. And if per chance the evil deeds of the inner court are revealed, there is still Lady Ke to make excuses or cover up.
As a consequence, everyone in the palace recognizes the existence of Zhongxian but not of Your Majesty; everyone in the capital recognizes the existence of Zhongxian but not of Your Majesty. Even the major and minor officials and workers, by turning toward the sources of power, unconsciously show that they do not recognize the existence of Your Majesty, only of Zhongxian. Whenever they see that some matter needs urgent attention or an appointment needs to be made, they always say, "It must be discussed with the eunuch." When a matter cannot be handled or a person appointed, they just explain that the eunuch is not willing. All matters, large and small, in both the palace and the government offices, are decided by Zhongxian alone. A document may have Your Majesty's name on it, but in fact Zhongxian handled it. For instance, the other day when Zhongxian went to Zhongzhou, all matters were still directed to him using night couriers, and no rescripts were issued until he arrived....
In the tenth year of the first emperor of the dynasty [13771, there was a eunuch who had been in service a long time but carelessly mentioned a governmental matter. The emperor dismissed him that very day and told his officials, "Even though we attribute the fall of the Han and Tang dynasties to the eunuchs, it was the rulers who made it possible by trusting and loving them. If in the past eunuchs had not commanded troops or participated in politics, they would not have been able to cause disorder no matter what they wanted. This eunuch has admittedly served me a long time, but I cannot overlook his mistake. Getting rid of him decisively will serve as a warning to those to come." How brilliant! A eunuch who mentioned a governmental matter became a warning for the future. What about Zhongxian who deceives his ruler, recognizes no one above him, and piles up crimes? How can he be left unpunished?
I beg Your Majesty to take courage and thunder forth. Take Zhongxian to the ancestral temple in fetters. Assemble the military and civil officials of all ranks and have the judicial officials interrogate him. Check all the precedents from previous reigns on eunuchs having contacts with the outside, usurping imperial authority, breaking dynastic laws, disrupting court business, alienating the people, and violating the trust of the ruler. Sentence him in a way that will please the gods and satisfy public indignation....
If all this is done and yet Heaven does not show its pleasure, the people do not rejoice, and there is not a new era of peace within the country and at its borders, then I ask that you behead me as an offering to Zhongxian. I am well aware that once my words become known, Zhongxian's clique will detest me, but I am not afraid. If I could get rid of the one person Zhongxian and save Your Majesty's reputation as a Yao and Shun, I would fulfill the command of the former emperor and could face the spirits of all ten of the former emperors. My lifetime goal has been to serve loyally. I would not regret having to die as a way of paying back the extraordinary favors I have received during two reigns. I hope Your Majesty recognizes my passion and takes prompt action.
_Translated by Patricia Ebrey_
## PART VI
**THE QING DYNASTY**
Although the Ming was overthrown by peasant rebellions of the usual sort, the next dynasty was founded not by a warlord or rebel leader but by the chieftains of the Manchus, a non-Chinese people living in the hilly forests and plains to the northeast of China proper, the large area generally called Manchuria. The Manchus had long been in contact with the Mongols and Chinese and for decades had been building up the political and military institutions needed to govern sedentary farming populations.
Like the Mongols, the Manchus were alien conquerors; yet their dynasty, the Qing (1644-1911), did not represent nearly as fundamental a break with Chinese traditions. The Manchus tried to maintain their own identity and traditions, but largely left Chinese customs and institutions alone. In fact, in many respects the eighteenth century was the apogee of Chinese civilization. Some two to three hundred million people lived peaceably in an empire even bigger than China today, stretching from Manchuria, through Mongolia, and into Central Asia and Tibet. Traditional scholarship and arts flourished under the patronage of the Qing emperors, and even in rural areas schools were common and basic literacy relatively high.
Yet during the Qing dynasty the stability of traditional Chinese civilization was being gradually undermined by the steady increase in the size of the population. By 1850 the population reached about four hundred million. This demographic growth affected many other aspects of life. By the beginning of the nineteenth century, the pressure of population on available land resources was becoming acute. All of the land which could profitably be exploited using traditional methods was already under cultivation, so any increase in food supply had to come from less and less rewarding additions of labor or marginal land. As a consequence, the prospect of widespread suffering became very real, especially in times of drought or flood. The government structure did not keep pace with the population's growth; in fact, it remained static in size during the Qing period, so that by the end of the dynasty government services and control were stretched thinner to cover two or three times as large a population as at the beginning. At the local level more authority was taken over by the gentry, especially by men who had passed the lower-level civil service examinations.
The growing importance of the "examination gentry" was a major social development of late imperial China. Since at least the Ming period, competition in the examinations had been fierce; by the nineteenth century it was brutal. Of the two million students who sat for the first, or prefectural, examination in any given year, only thirty thousand passed to become _sbengyuan_ (government students). Even these men had only about a one to two percent chance of rising high enough to become officials, for only fifteen hundred passed the provincial examination as _juren_ (recommended men) and only five hundred the metropolitan examination as _jinshi_ (presented scholars). Only the jinshi could count on becoming officials. The _shengyuan_ and many of the _juren_ remained local gentry with only unofficial responsibilities and sources of income. Those with extensive landholdings could maintain the way of life of cultivated literati, but others were often forced into marginal positions.
At the same time that these demographic and social changes were beginning to weaken the Qing government, China was confronted with a new foreign threat. China's defeat by the British in the Opium War of 1840-1842 set in action a humiliating chain of events. Westerners came to occupy privileged positions in a number of "treaty ports" along China's coast and acquired territorial rights to small parts of China such as Hong Kong. They sold manufactured goods that competed with Chinese industries. Their missionaries gained the right to try to convert Chinese to Christianity. Most troubling of all, their armies and navies repeatedly proved themselves superior to China's, raising fundamental questions about how China could strengthen herself and what, if anything, she should copy from these foreigners.
From the time of the great and devastating Taiping Rebellion (1850-1864) until the overthrow of the Qing dynasty in 1911, instability and restiveness seem to have pervaded almost all segments of Chinese society. Although the vast majority of the Chinese never saw a Westerner during this period and changed few of their habits or attitudes, by the end of the dynasty the foreign threat had come to have far-reaching effects. Intellectual leaders and high officials were divided into reformers and conservatives. The gentry as a whole was demoralized, convinced that the dynasty was on an inevitable downward slide. Peasants and townsmen in port cities, or areas where missionaries were active or modern enterprises such as railroads were being introduced, protested these intrusions and the changes they were causing. At the same time, Chinese merchants and entrepreneurs in the port cities took advantage of the new opportunities to amass fortunes and lead the way toward new capitalist culture.
Sources for the Qing period are rich and plentiful. Genealogies, gazetteers, fiction, and personal memoirs all survive in greater quantity than for earlier periods. One new kind of source seldom available before the Qing is original documents, such as contracts, agreements, account books, and so on, which accidentally survived into the twentieth century and then were preserved by scholars who recognized their value to legal, institutional, and economic history. A few such documents are translated in Part VI.
## 59 **
THE YANGZHOU MASSACRE**
_Few areas of China escaped unscathed during the decades of rebellion and warfare surrounding the fall of the Ming. Sporadic uprisings began in 1628 and soon were occurring all over North China. The death toll mounted steadily, especially after a group of rebels cut the dikes of the Yellow River in 1642, thereby killing several hundred thousand people in the flood and subsequent famine. Rebels sometimes slaughtered people indiscriminately, most notably Zhang Xianzhong when he took Sichuan in 1644-46._
_The Manchus entered the fray after Beijing fell to the rebel Li Zicheng and the last Ming emperor committed suicide. Invited by Ming generals to help them retake Beijing, the Manchus soon showed they intended to take the throne themselves. Some Ming generals continued to work with them, others tried to establish a successor to the Ming throne in Nanjing. These loyalist troops decided to resist the Manchus at Yangzhou, a major city on the north bank of the Yangzi River. For a week they held out, then the city fell. As retaliation for Yangzhou's resistance and as a warning to other cities, the Manchus slaughtered thousands, some say hundreds of thousands, of its residents._
_The following memoir recounts what one man saw and heard during the siege and massacre. Since the Qing government naturally did not want its subjects to remember too vividly how it had conquered the land, essays like this one could not be openly published during the Qing dynasty. This one survived through manuscript copies that got to Japan. In reading this account of the devastation of Yangzhou, one might imagine that the city would never fully recover. However, its location near the juncture of the Yangzi River and the Grand Canal made it too important a city to abandon. By the end of the seventeenth century its prosperity was restored and the Kangxi emperor (r. 1662-1722) stopped there on his second and third southern tours, apparently confident that memories of the massacre had dimmed. In the eighteenth century Yangzhou even became an artistic center of considerable importance, known especially for its painters._
On the 14th of the fourth month of 1645, Commandant Shi Kefa gave up the defense of Boyanghe and retreated to Yangzhou. Ordering the city gates closed, he prepared for a siege. Up to the 24th, the city remained unconquered and our soldiers held all of the gates. My house was in the eastern part of the new city, where a general named Yang was in command. His officers and soldiers stood around like chessmen....
Early in the afternoon the next day, my wife's relatives came from Guazhou to take refuge from the Earl of Xingping's fleeing soldiers. My wife, not having seen the family for a long time, was greatly cheered. By then one or two people had already told me that a large force of enemy soldiers was about to enter the city. I rushed out to ask people about it. Someone said, "They're our reinforcements from Huang Degong, Marquis of Qingnan." I noticed that the guards on the wall were still quiet and orderly but that people in the streets were getting excited. Crowds of barefoot and disheveled refugees were flocking into the city. When questioned, they were too distraught to reply. At that point dozens of mounted soldiers in confused waves came surging south looking as though they had given up all hope. Along them appeared a man who turned out to be the commandant himself. It seems he had intended to leave by the east gate but could not because the enemy soldiers outside the wall were drawing too near; he was therefore forced to cut across this part of town to reach the south gate. This is how we first learned for sure that the enemy troops would enter the city.
Just then a mounted soldier with slackened reins rode slowly north, his face upturned, wailing. Two soldiers walked in front of his horse, not willing to let go of the reins. This image is still vivid in my memory, and I wish I had learned the man's name. When the rider was still some way off, the panicky guards on the city walls began to jump, discarding their helmets and spears, some breaking their legs or even their necks. By the time I looked back at the guard tower on the city wall, it was empty.
The commandant had seen that the city wall was too narrow for the cannon to be set up there and so had ordered a platform to be erected, one side resting on the footpath on the wall and the other against the houses opposite. This way more space was available for deploying the cannon. Yet before this work could be finished, the enemy soldiers had scaled the wall, swords in hand, and begun the carnage. This caused those defending the wall to flee in such disorder that they clogged the exits. Many of them ran to the cannon platforms which had been set up and climbed on their hands and knees in an attempt to cross over to the houses behind. The platforms were not stable and collapsed as soon as the weight of the people became too great; people fell like leaves, eight or nine out of ten dashed to death. Those who reached the houses shattered the roof tiles as they trampled on them, making a noise which reverberated in all directions and sounded like the clash of swords or severe hail. The people inside the houses, in their terror and confusion, poured out by the hundreds. At the same time every room and courtyard, even bedrooms, was invaded by those who had jumped from the roofs in their frantic search for hiding places. The owners were powerless to prevent it. In my neighborhood all the doors were tightly fastened, everyone holding his or her breath.
My house backed against the city wall, and peeping through the chinks in my window, I saw the soldiers on the wall marching south then west, solemn and in step. Although the rain was beating down, it did not seem to disturb them. This reassured me because I gathered that they were well-disciplined units.
Then I heard urgent knocking at my door, which turned out to be my neighbors. They had agreed to try to placate and welcome the "royal army." As a sign of submission, they wanted to set up tables and place burning incense on them. I knew that nothing much could help, but having no other way to calm them, I tentatively agreed. Thereupon I changed my clothes and stuck out my head to watch and wait. For a long time no one came. I retreated again to the back window and found that the regiment on the wall had broken ranks; some soldiers were walking about, others standing still.
All of a sudden I saw some soldiers escorting a group of women dressed in Yangzhou fashion. This was my first real shock. Back in the house, I said to my wife, "Should things go badly when the soldiers enter the city, you may need to end your life."
"Yes," she replied, "Whatever silver we have you should keep. I think we women can stop thinking about life in this world." She gave me all the silver, unable to control her crying.
At this point a townsman came rushing in and shouted, "They've come! They've come!" I dashed out and saw a few mounted soldiers coming from the north, riding slowly with reins in hand. As soon as they reached the group who were welcoming the royal army, they lowered their heads as if to consult with each other. Each of us was looking out for himself and not talking to the others, even though we were only an arm's length apart.
As the soldiers grew nearer I discovered that they were going from door to door demanding money. They were not extravagant in their demands, however, leaving as soon as they were given a little. In cases where they failed to get any, they waved their swords about but did not strike anyone. Finally they came to my door. One mounted soldier pointed to me and yelled to another behind him, "Search the man in blue for me." But before the man had dropped his reins, I had run away. He did not try to pursue me, but remounted and rode off.
I thought to myself, "I am wearing rough clothes and look like a commoner. Why did he pick on me?" Soon my younger brother arrived, then my two older brothers. We discussed the situation and I said, "The people who live in our neighborhood are all rich merchants. It will be disastrous if they think we are rich too." I then urged my brothers to brave the rain and quickly take the women by the back route to my older brother's house. His home was situated behind Mr. He's graveyard and was surrounded by the huts of poor families. I stayed behind alone to see what was going to happen. A long time passed as I nervously waited for my eldest brother to return. I could find "no way up to Heaven nor any door down to earth." Besides, it rained in torrents.
Finally, my eldest brother reappeared and said, "People are being killed in the streets! What are we waiting for here? It doesn't matter so much whether we live or die, as long as we brothers stay together." Immediately I gathered together our ancestral tablets and went with him to our second brother's house. There ten people in all (my one younger and two elder brothers, my elder brother's wife, a nephew, my own wife and son, my wife's younger brother and sister, and I) took refuge.
As it grew darker, we could hear soldiers butchering people outside our door. As a temporary refuge, we climbed to the roof. In the downpour we ten squatted together covered only by a rug, our tangled hair soaked through. The bitter cries, resounding through the air, pierced my ears and wrenched my soul. Not until very late that night did we have the courage to come down from the roof and start a fire to cook some rice. By then fires had broken out everywhere in the city. More than a dozen places close by were ablaze, as were innumerable ones further off. The red glow flashed like lightning or a sunset as the crackling ceaselessly thundered in our ears. We could hear the faint sounds of people being beaten. Even the wind wailed with an inexpressible bitterness.
When the rice was cooked, we stared at each other, so overcome with grief that we were unable to raise our chopsticks to eat. We were equally unable to think of a plan. My wife took the silver she had given me and divided it into four shares. Each of us brothers hid one share so that our clothes, hats, shoes, and belts were all stuffed. My wife also found a ragged coat and worn-out pair of shoes for me to change into. That done, we lay awake with our eyes wide open until dawn. During the night there seemed to be a bird in the air, twittering like a reed organ or sobbing like a child, hovering somewhere not too high above our heads. Everyone reported having heard it.
The 26th. After a while, the fires began to abate and the day gradually brightened. Once more we climbed up to the roof to hide but found that a lot of people had already sought refuge there by the rain gutters.
Without any warning a man from the building east of us began to scramble up our wall. A soldier with his sword drawn was running after him. But when he saw our group, he abandoned the chase and made directly for us. In alarm I sneaked down as fast as I could. My brothers followed immediately, none of us stopping until we had run over a hundred paces. In our escape I lost track of my wife and son and did not know whether they had been killed.
The cunning soldiers, suspecting that many people were still hidden, tried to entice them out by posting a placard promising clemency. About fifty to sixty people, half of them women, emerged. My elder brother said, "We four by ourselves will never survive if we run into these vicious soldiers, so we had better join the crowd. Since there are so many of them, escape will be easier. Even if things do not turn out well, as long as we are together, we will have no cause for regret." In our bewilderment we could think of no other way to save our lives. Thus agreed, we went to join the group.
The leaders were three Manchu soldiers. They searched my brothers and found all the silver they were carrying, but left me untouched. At that point some women appeared, two of whom called out to me. I recognized them as the concubines of my friend Mr. Zhu Shu and stopped them anxiously. They were disheveled and partly naked, their feet bare and covered with mud up to the ankles. One was holding a girl whom the soldiers hit with a whip and threw into the mud. Then we were immediately driven on. One soldier, sword in hand, took the lead; another drove us from behind with a long spear; and a third walked along on our right and left flanks alternately, making sure no one escaped. In groups of twenty or thirty we were herded along like sheep and cattle. If we faltered we were struck, and some people were even killed on the spot. The women were tied together with long chains around their necks, like a clumsy string of pearls. Stumbling at every step, they were soon covered with mud. Here and there on the ground lay babies, trampled by people or horses. Blood and gore soaked the fields, which were filled with the sound of sobbing. We passed gutters and ponds piled high with corpses; the blood had turned the water to a deep greenish-red color and filled the ponds to the brim.
We arrived at the house of the jailer, Yao Yongyan. Entering through the back door, we passed through many rooms and found bodies everywhere. I supposed that this was where we would die. We went through several rooms until we came to the street door. We then entered the house of the Shanxi merchant, Jiao Chengwang, which had been taken over by the three soldiers. Another soldier was already there. He had seized several attractive women and was rifling their trunks for fancy silks, which he piled in a heap. Seeing the three soldiers arrive, he laughed and pushed several dozen of us into the back hall. The women he led into a side chamber.
In that room there were two square tables at which three tailors and a middle-aged woman were making clothes. The woman was a local resident. Her face was heavily made up and she was wearing brightly colored clothes. She laughed and flirted, seeming to be in high spirits. Whenever she came across anything fine, she shamelessly tried to wheedle it away from the soldiers. The soldiers often said to people, "When we conquered Korea, we captured tens of thousands of women, and yet not one of them lost her chastity. How can there be so little shame in a great country like China?"
The three soldiers stripped the women of their wet clothing all the way to their underwear, then ordered the seamstress to measure them and give them new garments. The women, thus coerced, had to expose themselves and stand naked. What shame they endured! Once they had changed, the soldiers grabbed them and forced them to join them in eating and drinking, then did whatever they pleased with them, without any regard for decency.
One soldier suddenly jumped up, his sword drawn, and cried out, "Come on, you southern Barbarians!" Several of those standing in the front had already been tied up, my eldest brother among them. Saying to me, "What alternative do we have?" he took my hand and ran forward. My younger brother also followed. The fifty-odd men who were bound were so scared that they could not move, even when the soldiers raised their swords and shouted. Right behind my eldest brother, I rushed out of the hall, but soon discovered that the slaughter was going on outside as well as inside. Outside a group of people were standing in a row awaiting their fate. At first I thought of submitting, but suddenly my heart took a leap, and, as if helped by some spirit, I sprang away quickly and returned to the back hall without attracting the attention of any of the bound men.
The western section of the building, where many old women still remained, was not a safe place for me to hide, and so I slipped out back. It was impossible for me to walk through that area, though, because it was filled with horses and camels. Trembling, I dropped to the floor and crawled under the bellies of these beasts. If the slightest thing had startled them, I would have been trampled into the mud.
After passing through several courtyards, I could locate no way out except a side alley leading to the back door. But this door was fastened tightly with an iron lock. Once more I headed out to the front along the lane, but hearing people being killed in the front panicked me. I looked back, and on the left side I saw four people in the kitchen. It seemed they had been captured and forced to do the cooking. I begged them to let me attend the fire or draw water for them so that I could save myself. But they adamantly refused, "Whenever we four are ordered to work, they call the roll. If they find more people next time, they will surely suspect some trick, and our lives will be in jeopardy." I appealed to them plaintively, but this made them even more angry and they threatened to hand me over. With this I left, more anxious than ever.
Not very far from the house I saw some steps and a platform on which a jar had been placed. I climbed up the platform, but no sooner had I touched the jar than I fell off. The jar had been empty, and I had inadvertently used too much force. Seeing no alternatives, once more I ran to the door at the end of the lane. Using both hands I shook the lock a hundred times but failed to make it move. I struck it with stones, but the sound was loud enough to reach the outer courtyard and I was afraid of being heard. So I reverted to shaking the lock, my fingers aching and bleeding. Then unexpectedly the lock turned! I pulled at it with all my strength and soon had it off. Next I tried the bolt which was made of hibiscus wood. Water-logged from the rain, it was swollen and twice as solid as the lock. I pulled on the bolt with all my might. Instead of the bolt loosening, the hinges ripped off, the door fell flat, and the wall collapsed with a sound like a thunderclap.
I leapt over it as if flying. Where such strength came from I have no idea. With all possible speed, I ran out the back door and found myself at the base of the city wall. Foot soldiers and horsemen were everywhere, making it impossible to go forward. Therefore I turned at the back door of a house to the left of the Jiaos' residence and elbowed my way in. Any place that was safe was full of people who did not want to let any more in. This house was divided, back to front, into five rooms, all of which were crowded like this. I made my way straight to the front gate. Because it was close to the street where soldiers were endlessly streaming by, it was considered a dangerous spot and deserted. Entering quickly, I found a bed with a wooden canopy. I climbed on top of it by way of the pillars and crouched to conceal myself.
Scarcely had I regained my breath when I heard the sound of my younger brother wailing, coming from the other side of the wall. Then I heard the blows of the sword. After three blows there was silence. A few moments later I heard my elder brother implore, "I have silver in the cellar at home. Release me and I will go and fetch it for you." There was one blow, then silence again. For a time my spirit was wrenched out of my body; my heart was boiling, my eyes tearless, my innards torn. No longer in control of myself, all I wanted was to die.
Later on a soldier brought a women in and wanted her to sleep with him in the bed below me. Despite her refusal, he forced her to yield. "This is too near the street. It is not a good place to stay," the woman said. I was almost discovered, but after a time the soldier departed with the woman.
The room had a ceiling which seemed to be made of matting. It was not strong enough to sustain the weight of a man, but if I could creep across it, I could reach the beam. I climbed up by holding the rafters with both hands and resting my foot on the projecting roof pole. Inside it was pitch black, since the mat was underneath. Every time the soldiers came in they would thrust upward through the matting with their spears and, finding it empty, conclude that no one was up there. Thus I managed to end the day without encountering any more soldiers. But I have no idea how many were slaughtered underneath me. Every time a few mounted soldiers passed along the street, dozens of men and women, loudly lamenting, would be trailing behind them. As the day was cloudy, I could not judge the time. A long time passed, then mounted soldiers came less and less frequently until only the incessant weeping of the people could be heard from the outside.
I thought of my brothers, two of whom were already dead. I did not know the fate of my eldest brother or the whereabouts of my son and wife. I wanted to find them and see them again. Therefore I slowly climbed down from my hiding place by holding onto the beam and furtively made my way to the front street. The heads of the corpses in the street were piled up on each other like pillows, and as it grew dark, it was impossible to recognize them. I bent over several corpses and called out, but received no answer. To the south I saw the torches of a confused crowd approaching and quickly got out of their way. As I walked along the foot of the city wall, I constantly stumbled against dead bodies. Whenever I heard something I dropped to the ground and pretended to be a corpse myself. After a long while I reached a path. In the darkness people could not see each other and often collided. But the main street was lit by torches and was as bright as day. Walking from seven to nine in the evening, I finally reached my elder brother's house.
I found the door closed and was afraid to knock. Then I heard my sister-in-law's voice. I knocked gently a few times, and my wife came to answer. My eldest brother had come back earlier, and both my wife and son were there. I wept with my eldest brother but did not dare to tell him of the deaths of our other brothers. My sister-in-law questioned me, but I gave her only vague replies....
When dawn brought in the 29th, five days had passed since the 25th, and I was beginning to imagine that by some stroke of fortune we might be spared. But then I heard some garbled stories about a planned wholesale slaughter of the population. It seemed that over half of those who had survived so far had decided to risk their lives in an attempt to flee by climbing over the city walls with ropes, but so many were killed that the moat became as flat as a road from the corpses, and suffering reached a new height. Those who did escape had to face the bandits who at night waited stealthily in groups by the moat and robbed the refugees of their gold and silver.
With the danger so great and my eldest brother unwilling to be separated from us, we decided not to try escape. But I worried all night; our old hiding place was no longer safe, and my wife had already had to plead pregnancy to survive. Finally we decided I would hide in the dense weeds by the pond and my wife and [son] Penger would lie on top. Though the soldiers repeatedly forced them to come out of hiding, they were able to induce them to go away by offering money.
At length, however, there came a soldier of the "Wolf Men" tribe, a vicious-looking man with a head like a mouse and eyes like a hawk. He attempted to abduct my wife. She was obliged to creep forward on all fours, pleading as she had with the others, but to no avail. When he insisted that she stand up, she rolled on the ground and refused. He then beat her so savagely with the flat of his sword that the blood flowed out in streams, totally soaking her clothes. Because my wife had once admonished me, "If I am unlucky I will die no matter what; do not plead for me as a husband or you will get caught too," I acted as if I did not know she was being beaten and hid far away in the grass, convinced she was about to die. Yet the depraved soldier did not step there; he grabbed her by the hair, cursed her, struck her cruelly, and then dragged her away by the leg. There was a small path about an arrow's shot in length winding out from the field to the main street. The soldier dragged my wife along this and every few steps would hit her again. Just then they ran into a body of mounted soldiers. One of them said a few words to the soldier in Manchu. At this he dropped my wife and departed with them. Barely able to crawl back, she let out a loud sob, every part of her body injured.
Suddenly the whole city was ablaze. The thatched huts surrounding He's graveyard were quickly reduced to ashes. Only one or two houses, a little separated from the others, were fortunate enough to escape. Those hidden in the houses now were forced out by the fire, and ninety-nine in a hundred were killed as they showed themselves. Those who stayed inside, sometimes up to a hundred people in a single house, were cremated; their numbers now will never be known.
At this point it was no longer possible to hide. If caught, whether we offered money or not, we would be killed. The only recourse left was to go to the roadsides and lie among the corpses so that no one could distinguish us from the dead. My son, my wife, and I went and lay among the graves, so dirty and muddy from head to foot we did not look at all human.
As time passed the fire raged fiercer. The lofty trees around the graves caught fire; it glowed like lightning and roared like a landslide. The violence of the wind made the fire burn so brilliantly that the sun seemed to turn pale. To us it looked as though countless demons were driving hundreds and thousands of people into hell. Many times we fainted with fright, hardly sure whether we were still among the living. Then, startled by the sound of loud footsteps and terrible screams, I spotted my eldest brother some way off, standing beside a wall struggling with a soldier who had caught him. Since he was very strong, he succeeded in throwing off the soldier and began to run away, but was instantly pursued. The soldier I recognized as the man who the previous day had abducted and then released my wife. By midday my brother had not returned and my heart began to pound.
Finally he came running, with no clothes on and his hair undone, driven along by the soldier. Out of desperation he asked me for silver to save his life. I had only one ingot left, but I took it out and offered it to the soldier. Seeing it made him so angry that he struck my brother with his sword. The latter rolled to the ground, his body bathed in blood. Penger, only five years old, pulled at the soldier and cried for him to stop. The man then wiped the blood from his sword on my son's clothes. Had he delivered one more blow, my brother would surely have died. Next the soldier grabbed me by the hair and demanded more silver, hitting me over and over again with the back of his sword. I apologized for having no more silver and said, "If you insist on silver, then I am afraid I shall die, but there are other things I can give you." Without letting go of my hair, he went with me to Mrs. Hong's house. On the steps I poured out the contents of two earthenware jars full of my wife's possessions and let the soldier take what he wanted. He grabbed all my wife's gold and pearl jewelry and the best of her clothes. Seeing the silver locket around my son's neck, he took his sword and cut it off. When he left he turned and said, "Even though I did not kill you, someone else will." I then knew it was true that the city was to be razed; our death seemed inevitable.
After leaving our son at the house, my wife and I quickly went out to look for my brother. We found that his neck had a gash an inch deep on both the front and the back, and his chest had even worse wounds. We helped him to Mrs. Hong's house, where he lay confused and half insensible to the pain. After attending to him, we went back to hide in our old place.
Our neighbors were all hidden among the rushes. Someone yelled to me, "Tomorrow the city will be razed and no one will be spared. You had better abandon your wife and flee with me." My wife also advised me to go, but I kept thinking of the danger my brother was in. How could I bear to leave him? So far I had relied on my supply of silver; now that it was gone I realized we could not survive. Brooding on this, I lost consciousness.
It took a long time before I came to my senses. I saw that fires in the city were gradually dying down, and I heard a cannon fired three times in the distance. The soldiers on patrol were decreasing in number. My wife clutched our boy as we sat together in a manure pit....
Unexpectedly there appeared a handsome-looking man of less than thirty, a double-edged sword hung by his side, dressed in Manchu-style hat, red coat, and a pair of black boots. His follower, in a yellow jacket, was also very gallant in appearance. Immediately behind them were several residents of Yangzhou. The young man in red, inspecting me closely, said, "I would judge from your appearance that you are not one of these people. Tell me honestly, what class of person are you?"
I remembered that some people had obtained pardons and others had lost their lives the moment they said that they were poor scholars. So I did not dare come out at once with the truth and instead concocted a story. He pointed to my wife and son and asked who they were, and I told him the truth. "Tomorrow the prince will order that all swords be sheathed and all of you will be spared," he said and then commanded his followers to give us some clothes and an ingot of silver. He also asked me, "How many days have you been without food?"
"Five days," I replied.
"Then come with me," he commanded. Although we only half trusted him, we were afraid to disobey. He led us to a well-stocked house, full of rice, fish, and other provisions. "Treat these four people well," he said to a woman in the house and then left.
By this time night had already fallen. We learned that my wife's brother had been carried off by the soldiers. Now knowing whether he was dead or alive, my wife was in a state of grief. A few moments later the old woman brought some boiled rice and fish for us to eat. Since we were not very far from Mrs. Hong's house, I took some food to my eldest brother, but he could not eat more than a few mouthfuls because his throat was too sore to swallow. I wiped his hair and washed his wounds, my heart rent by his condition. However, knowing of the order to end the slaughter in the city made us all feel somewhat comforted.
The next day was the last of the fifth month. Killing and pillaging continued, although not on the previous scale. Still the mansions of the rich were thoroughly looted, and almost all the teenage girls were abducted. On this day the Earl of Xingping reentered Yangzhou, and every grain of rice, every inch of silk now entered these tigers' mouths. The resulting devastation is beyond description.
The 2nd. Civil administration was established in all the prefectures and counties; proclamations were issued aimed at calming the people, and monks from each temple were ordered to burn corpses. The temples themselves were clogged with women who had taken refuge, many of whom had died of fright or starvation. The "List of Corpses Burned" records more than eight hundred thousand, and this list does not include those who jumped into wells, threw themselves into the river, hanged themselves, were burned to death inside houses, or were carried away by the soldiers.
The 3rd. Distribution of food was announced. I went with old Mrs. Hong to the Juekou Gate to get some rice. This rice, heaped as high as a mound, was part of what the commandant had stored as rations for his troops. Several thousand bushels soon disappeared. The people lined up for food had scorched hair, smashed heads, broken legs and arms, and sword cuts all over their faces which resembled streams of wax pouring down from a candle. In the struggle for rice, even friends and relatives ignored each other. The strong got some and then returned for more, while the old, weak, or severely wounded were not able to get a single ration all day long.
The 4th. As the sky was clear, the sun shone hot, and the bodies began to smell. Everywhere around us the dead were being burned; the smoke gathered like a mist, and the stench permeated the area. On the day I burned some cotton along with some bones of the dead and used the ashes as a salve for my brother's wounds. Unable to speak, he could only nod to me through silent tears.
The 5th. By now those who had remained hidden were beginning to reappear. Upon meeting one another, people would cry but were at a loss for words.
We five, although less apprehensive than before, still did not dare to stay home. Early in the morning we got up and, after eating a little food, went out to a deserted field. We dressed in the same fashion as before because of the hundreds of foragers roving about. Although they carried no swords, they intimidated people with clubs and seized their possessions. Anyone who tried to resist them was clubbed to death, and any woman they encountered was molested. At first we did not know whether they were Manchu soldiers, our own guards, or commoners-turned-bandits.
That day my brother's wounds festered, broke open, and he died. Words cannot express my grief.
When this calamity began there had been eight of us: my two elder brothers, my younger brother, my elder brother's wife, their son, my wife, my son, and myself. Now only three of us survived for sure, though the fate of my wife's brother and sister-in-law was not yet known.
From the 25th of the fourth month to the 5th of the fifth month was a period of ten days. I have described here only what I actually experienced or saw with my own eyes; I have not recorded anything I picked up from rumors or hearsay. The younger generation is now fortunate enough to enjoy the blessing of peace and has grown lax. Reading this account should wake them up.
_Translated by Patricia Ebrey_
## 60 **
PROVERBS ABOUT HEAVEN**
_Proverbs are a valuable source for understanding common assumptions and ways of thinking that people take as so obvious and well-accepted that they do not have to be argued; merely by invoking the proverb or saying, one is certain that others will understand. It is true that the repertoire of proverbs contains many that are mutually contradictory (such as two given below: "Heaven helps the good man," and "Heaven is high and the emperor far away"). In such cases, most people probably would acknowledge believing both, not as statements of universal applicability, but still as "truth."_
_Below are some proverbs collected in China in the nineteenth and early twentieth centuries. They occurred in everyday speech but in a variety of contexts. All of these proverbs concern Heaven, which literally means "sky." Heaven is not paradise, a place where souls go after death (such as the Pure Land of the Buddhists); rather it is closer to the Western concept of Providence or the Supreme Being._
1. The net of Heaven is large and wide but it lets nothing through.
2. All things have their root in Heaven.
3. Heaven produces and Heaven destroys.
4. The heart of the people is the heart of Heaven.
5. It is easy to oppress the people beneath you but difficult to deceive Heaven above.
6. Men can be imposed upon but not Heaven; men can be deceived but not Heaven.
7. Men's whispers sound like thunder in Heaven's ears; their secret thoughts flash like lightning before Heaven'
s eyes.
8. The slightest virtue, although unseen by men, is surely seen by Heaven.
9. Men see only the present; Heaven sees the future.
10. When men's desires are good, Heaven will certainly furthe
r them.
11. Heaven helps the good
man.
12. To depend upon men is not as good as to depend upon Heaven.
13. A fire started by men is called a fire; a fire started by Heaven is called a calamity.
14. Men should beware of coveting riches; when riches come through covetousness, Heaven's calamities follow.
15. Those who accord with Heaven are preserved; those who rebel against Heaven perish.
16. Heaven sets the price
of fuel and rice.
17. Great blessings come from Heaven; small bl
essings come from man.
18. Because men do not like the cold, Heaven does not cause winter to cease.
19. Man would order things thus and so but Heaven's way is ne
ver such.
20. Heaven responds to man as promptly as shadow to form or echo to voice.
21. Heaven never produces a man without provid
ing him clothes and food.
22. For each man produced by Heaven, earth provides a grave.
23. Man depends on Heaven as a ship on her pilot.
24. It is Heaven's role to declare a man's destiny; it is man's role to shorten or lengthen
his days.
25. When you have done your duty, listen to the will of Heaven.
26. Heaven and earth are the greatest; father and mother are the most honored.
27. Death and life are predetermined; riches and honors depend upon Heaven.
28. Heaven complies with the wishes of good men; happiness springs naturally in harmonious homes.
29. Heaven is high and th
e emperor far away.
30. Heaven does not spare truth; earth does not spare its treasures.
31. Heaven is man on a large scale; man is Heaven on a small scale.
32. Heaven never stops a man from making a living.
33. In our actions we should accord with the will of Heaven; in our words we should accord with the hearts of
men.
34. If Heaven above lets fall a plum, open your mouth.
## 61 **
TAXES AND LABOR SERVICE**
_From early times the Chinese government imposed taxes and service obligations directly on ordinary households, not going through tax-farmers or other intermediaries. Equitable taxation was the goal, and periodic reforms were instituted to rationalize the collection of taxes and make their burdens more even. Reform of labor service obligations was also regularly undertaken from the Tang dynasty on, and generally involved efforts to commute service obligations to cash payments. However, since local officials did not always have the resources to hire workers whenever something needed to be done, time and again they would draft people to serve without pay._
_The following essay reveals some of the complaints of the sorts of families who had to bear much of the burden of providing taxes and labor service. Middle income families, including the families of lower degree holders, were often heavily burdened, since they did not have the power or privileges of the highest ranking families, nor were they so poor that there was nothing the government could take from them. This essay is specifically concerned with the tax and labor service systems in Song prefecture (in the modern Shanghai area) in the seventeenth century. The author, Ye Mengzhu, relied on the recollections of old people for some of his evidence but also had personal experience with aspects of the system, having lost his post because of tax arrears in 1661._
#### **
TAXES**
Our prefecture's taxes are the highest in the country. Suzhou yields more tax income than does the whole province of Jejiang. The land encompassed by Song prefecture, although only one-third the size of Suzhou, yields half as much tax income as Suzhou. From this one can see that Su and Song prefectures are the most heavily taxed in the whole southeast delta area, and that Song prefecture's taxes are by far the highest.
I have talked with old people about how things were during the Longqing [1567-1572] and Wanli periods [1573-1620], and they all say that at that time local produce was abundant and the people were happy. Officials were not punished for their performance in tax collection, and the common people were not disturbed by tax-prodders. Today our taxes are not much higher than before, but the officials make strenuous efforts to collect them, piling one penalty on top of another for failure to pay, and, since the people are drained of all their riches, their overdue taxes never get paid....
Throughout the Ming dynasty, officials considered their tax collection accomplished when they had collected eighty percent of the required amount, and the people who paid eighty percent of their taxes were considered law-abiding subjects, even those who only paid sixty to seventy percent were considered cooperative. Moreover, because peace had existed for a long time, the regulations had become routine. As there were extensive stores of grain, the tax grain to be shipped out could be reduced in quantity. There were priority expenses that had to be met, such as the salaries of government officials, the wages for workers, the expenses for schools, and the allowance for the salaried students; but other expenses could be delayed. The yearly repair of government buildings, city walls, and storage structures did not have to be done on time. The alms granaries had to be filled, but not necessarily with the first round of collected tax grain. The yearly rewards for scholars who passed the civil service examination and the traveling expenses for the new candidates could not be ignored but they did not have to be given regularly, and the traveling expenses for those on the waiting list could be deferred. The soldiers who defended our cities had to be paid; yet the seasonal display of their training and equipment could be omitted. Other such cases where the expenses might be delayed were innumerable. So, when sixty or seventy percent of the tax was collected, it was ready to be shipped. When eighty percent was collected, some revenue could even be set aside as savings. In this way, taxes were collected in installments and the revenue was spent as actual needs arose. Officials were not punished for neglecting their tax collection duties, and the people were not squeezed dry.
Beginning with this dynasty, things changed. In the fifth month of 1645, an imperial decree was issued to reduce the taxes of the southeast delta area by fifty percent. As a result, local governments had to reduce all taxes that could be delayed and to cut out all but urgent expenses. It was true that, owing to the good intention of the emperor, the yearly taxes, though not quite as low in the reigns of Longqing and Wanli, were much lighter than before. And yet, when non-urgent expenses were cut, everything else was absolutely necessary, and officials could no longer balance out by appropriating funds set aside for non-urgent matters to supply immediate needs. Furthermore, much of the tax revenue was used to pay the soldiers. Since they had to be paid in full, taxes also had to be paid in full. Consequently, a local official now had to collect one hundred percent of the taxes before his duties were fulfilled, and he had to punish those who did not pay the full amount. For this reason, all local officials concentrated on their tax-collection duties and paid little attention to the welfare of the people.
As to the taxpayers, some were law-abiding, others were defiant. Their fields also varied in quality, as did their yearly harvests.... All these factors made it impossible to obtain a one hundred percent tax collection. Moreover, although the tax was lowered, people were accustomed to the old ways and failed to anticipate the consequent strict execution of the law, so many continued to owe taxes. As a result, many magistrates lost their posts because of their failure to collect all the taxes due. The county revenue officer usually counted the newly collected tax against the old deficit. The transfer of county officials also caused problems because the new and old magistrates evaded their responsibilities to each other. Often magistrates had to rent houses and stay near their former post because of unfinished tax business. This situation continued until the last years of Shunzhi [1644-1661], when the prefect of Jiangning was unable to solve the problem and blamed the gentry, the literati, and the government functionaries. He proposed to the throne that they be punished. The order was first applied to Wuxi county in Zhang and the Jiating county in Su, and then, in the fifth month of 1661 the new tax law was adopted in the four prefectures Su, Song, Zhang, Zhen, and the county of Liyang. It required an explanation for delayed tax payments and stipulated that the owed amount be paid up by the end of the year.
Now, while it was true that the gentry, literati, and government functionaries did owe taxes, the sum was barely ten percent of the amount owed by the common people. Besides, there were mistakes in the records when the law was first implemented. The bookkeepers, who did not comprehend the seriousness of the matter, only recorded rough figures for the taxes paid by individuals from one day to another. Sometimes a completed payment was erroneously recorded as still outstanding; other times, a small unpaid amount was mistakenly recorded as a large one. Sometimes, the name of the person who had paid up his taxes failed to show up on the record; other times, such a person's name failed to be deleted from the list of delinquents.
In its severity, the new law made no distinction based on how high one's office was or how much or how little tax one owed. All the government officials on the list of delinquents were to be dismissed from their offices and all the gentry in retirement were to be demoted in rank. Consequently, 2,171 local gentry and literati and 11,346 lower degree holders were listed as offenders and were scheduled to be dismissed or demoted. At first, it was reported that these offenders were to be extradited to the capital to be severely punished, and all hearts pounded. Then it was decided that those who could pay up before the imperial decree arrived could avoid extradition, bringing some relief. But still, hundreds were unable to pay up by that date and were released only if they managed to clear their debts before the scheduled extradition. Those people certainly would not have remained prisoners if they had had some way out.
Then officials began to collect unpaid taxes for the previous ten years, and the citizens, frightened of the devastating consequences, rushed in to pay, selling their estates at any price. Sometimes, a person would face several deadlines on one day, or would be called upon to appear before several officials. When he tried to comply with one, he would have to ignore the others. The officers were as fierce as wolves and tigers, and the literati were treated as if they were common criminals. At such moments, the only course for many was to borrow. And yet, the monthly interest was twenty to thirty percent and one day's delay in payment would result in compounded interest.... Consequently, when a person borrowed ten taels of silver, he would only get nine to begin with, and this would be equivalent to little more than eight taels of pure silver. When he brought in the latter amount to the revenue office, it would be regarded as little more than seven taels. If he should fail to meet the deadline for the tax payment, then he might spend more than half of his loan just to appease the tax collectors. One month later, the officers would be out for his blood again, in packs. A person who owned one hundred _mu_ could have his land, his house, his pots and pans, even his children confiscated and still be in debt for the taxes. Fettered by the law and driven by the whip, he would be too desperate to make a wise decision. That is why so many people abandoned their property and fled to other areas and still congratulated themselves on having preserved their lives. That was the saddest episode in the history of the tax system.
On the 15th day of the eleventh month of 1662 there was a rumor that all unpaid taxes had to be paid up by the end of that day and those who failed to do so would be exiled to the most desolate areas of the country. People turned panicky and fought to pay their taxes, so much so that the tax collectors were not able to handle the rush. Later it was discovered to be only a rumor, yet everyone's heart had sunk in fear.... At this time the emperor was young and the state was ruled by four regents who were strict and allowed no exceptions.... The officials Zhang Renan and Ye Fangai were demoted because they both owed one-thousandth of a tael of silver. The county student Cheng Pijie was dismissed from office because he owed 0.7 of one-thousandth of a tael. From these cases one can see the severity of the law....
#### **
LABOR SERVICE**
Our prefecture ranks first not only in land taxes but also in labor service. This phenomenon is not found in any other province or prefecture.
The heaviest duties used to be the "transportation of cloth" and the "northern transportation of rice." At first our county had to supply one person per year to attend to the transportation of cloth; later, the number increased to three. Their task was to buy cloth of various colors and quality with state revenue, then ship it to the capital by boat. Each year our county supplied twenty-three persons to undertake the northern transportation of rice. Their task was to select more than 13,000 piculs of fine white rice and glutinous rice and ship it to the capital for the court of imperial entertainments to use in supplying the granaries for the officials' salaries. Only the richest people were assigned such duties. In addition to the northern transportation of rice, there was also a shipment of rice to the south, to Nanjing. For this shipment two persons were assigned each year from our county. Besides these duties there was tax collection. Each year forty-eight persons were drafted for collection of the county revenue—a total of more than 200,000 taels of silver. Another thirty-eight persons were assigned to exchange the 110,000 piculs of tax rice for silver and hand it over to the transporters.
All the above duties were categorized as heavy ones and were reassigned and reviewed every five years. Light duties included expediting tax prodder and hastening tax prodder. These were reassigned and reviewed every ten years. Only landowners were assigned to them. There was also a public works superintendent responsible for the repair and maintenance of city walls, public halls, ponds, and waterways, as well as other miscellaneous duties.
When the labor service rules were first implemented, there were subsidies for transportation expenses, for loss of rice in refining, and for the cost of labor. Because these were important duties, the system was worked out in detail. But it gradually deteriorated so that, for instance, the people responsible for transportation and delivery were told to collect the taxes themselves. But this was not the worst. These people, because of their service obligations, became subject to continual extortion: at home they faced unreasonable demands from the local government headquarters; en route they were at the mercy of various local runners and lower government officials; arriving in the capital, they became victims of insatiable officials from all government departments and often were detained for a whole year without being able to obtain a discharge. Thus, those assigned to transportation and delivery suffered extremely.
As to those who served as tax collectors, many had to hire bookkeepers and accountants of their own. Others had to deal with powerful gentry and officials who protected their relatives. These relatives would underpay or pay in low-quality silver, and the tax collectors did not dare to protest. They also had to entertain and present gifts to the continually arriving local functionaries. All these expenses, plus having to make up taxes not paid, brought great suffering to the tax collectors.
Those who were assigned the task of grain exchange, on the other hand, were sometimes even able to make a profit, provided they were shrewd and encountered good times. The reason was that, for each picul of rice, the taxpayer actually had to pay another three pecks of rice to cover wastage.... After 1646 or 1647, however, the government tightened the rules and stipulated that tribute rice would have to be sifted and tossed against the wind before it could be submitted. Consequently, people began to select good quality rice for taxes. Before it was deposited in the granaries, there were inspectors who carefully examined its quality. If they found unhusked grains, they would punish the exchange workers. As a result, some corrupt practices were eliminated, but exchange workers could be blackmailed by the transporters.... This financial burden, to which were added presents for the officials and other miscellaneous expenses, amounted to a total expenditure which was often twice as much as the value of the rice. Thus, in the end no one performing grain exchange duties could escape bankruptcy and people began to fear this duty as a trap.
It was not until 1646 that Imperial Inspector Tu Guobao, sensitive to the people's distress, ordered prefectures and county governments to make detailed studies of the possible simplification of the three major labor service duties, namely, the transportation of cloth, the northern transportation of rice, and the collection of taxes. He also ordered that the prefecture and county governments take over collection and transportation. As a result, an unnecessary source of waste was eliminated as the heavy labor service duties were terminated....
Originally the duty of the public works superintendent was confined to public construction.... Later on, however, local officials and influential gentry began to treat the public works superintendent as a private servant. If a river were located close to a gentry family's graveyard, then the family would order the public works superintendent to dredge it; if a public pond were near their residence, they would demand that the public works superintendent repair it. They would make up various excuses to persuade the local government to grant their requests, and the officials would knowingly comply, thereby establishing a system of corruption. Thus, an official might dispatch one hundred workers for a job which required only ten so that the gentry would receive payoffs from people who wished to be exempted from their assigned duty. Should there be no construction work, the official would extort twenty to thirty taels of silver from each, on the pretext that they had neglected their duties.
The miscellaneous duties also increased day by day. During the Ming dynasty there were many types of labor service but never any miscellaneous duties, which came into being only after the heavy duties were abolished. Thus, in the early years of the Shunzhi reign [1644-1661], when the government was trying to eliminate the Mao pirates, people were drafted as sailors; when troops were mobilized from other areas, people had to take care of the provisions for the horses; when warships were being built, people had to work as drillers and wood purchasers. Later, when the pirates penetrated inland, people were assigned to build bridges and to place cast iron chains and stockades along the beaches. They also had to repair forts, bonfire platforms, and patrol stations along the coast.
All the common people who were assigned duties were filled with fear and resorted to bribing their way out of the assignments. For each district, it would take from a few dozen to one or two hundred taels to get out of an assignment; yet once a person escaped one, he would immediately be assigned to some other. As a result, those who succeeded in getting out of all assignments bankrupted themselves. And those individuals who did report for their duties were subject to so many ploys that they eventually would end up paying more than those who bribed the officials. Only then would those who had bribed their way out feel that they had gotten their money's worth, and only then would the people who actually served regret that they had not offered bribes in the first place....
I had a rather wealthy neighbor, Mr. Gu, who used to send his children to study under my instruction. Later he was ruined by labor service duties. He told me that in order to accommodate the runners, he once had to make twenty-four meals in one day. Between 1664 and 1665, he abandoned his estate and fled. It is not hard to discern why the people all lived in fear!
_Translated by Clara Yu_
## 62 **
PERMANENT PROPERTY**
_A steady source of income was generally a prerequisite for upper-class life, making possible lengthy education and preparation for official careers. The traditional way to assure such income was landholding, though from the Song dynasty on, many fortunes were undoubtedly amassed through commerce or industry, and in all periods family fortunes could be greatly augmented by successful government careers._
_The essay below presents one man's perception of the importance of landholding to members of the upper class and discusses some of the practical difficulties involved in their lives, which combined scholarship, office holding, and estate management. The author, Zhang Ying (1638-1708), was a prominent official who lived in an agriculturally productive area of Anhui province. He addressed this essay to his sons._
All worldly things that once were new will eventually age. A house that has stood for a long time will decay; clothes worn for a long time will become shabby. Cattle, slaves, and horses are costly when purchased, yet ten years later they are no longer the same, and after another ten years they do not even exist. Only land remains new through hundreds and thousands of years. Even if, due to negligence, the soil becomes barren, once fertilizer is applied, it becomes rich again. With cultivation desolate land becomes productive; with irrigation dry land becomes arable; with weeding neglected soil becomes fertile. Since time immemorial man has not had to worry about the land becoming worn out or ruined, nor about its running away or becoming scarce. Indeed, land is truly precious.
Nowadays the young heirs of large estates wear fancy clothes, ride strong horses, and seek pleasure to their hearts' content in song and dance. A fur garment easily costs scores of gold taels; a feast, several taels. The price of grain in our area has been low for the past decade so that now ten piculs of grain will barely pay for a feast and a hundred piculs will scarcely buy a fur garment; but the young heirs act ignorant of this. They do not wish to know that the peasants, bodies soaked and feet muddy, toil all year round to produce a hundred piculs of grain. Furthermore, with the unpredictability of floods and droughts, one year's harvest does not guarantee the next. I have heard that in Shaanxi province there is an annual famine and with each famine the price of a picul of grain goes up six or seven taels. Yet young heirs of today will sell precious grain cheaply merely to satisfy a desire for another fur garment or another feast. How can one not be deeply disturbed by these matters?
The ancients have a saying: "Use the products of the earth sparingly and you will be content." The youthful heirs should be made to observe the toil of the peasants and should be made to keep accounts when the granaries are opened for grain sale. They should observe how it takes a strong man to carry one picul of grain, and how what four or five men can carry sells for only one gold tael, a tael which can be carelessly spent, disappearing who knows where. Such experiences should make the youthful heirs less wasteful. But what hope is there? The young heirs of today live sheltered lives; well fed and warmly clothed, they do not realize that precious resources should be conserved and casually cast them away like dirt.
Those who accumulate wealth will always worry about fire, flood, or robbery, since valuables can suffer instant misfortune. Indeed, the commoner who accumulates ten taels of gold stops sleeping soundly at night. Land alone is not subject to fire, flood, or robbery, for even the most violent cannot snatch away one single inch of it. Thousands of _mu_ of land may be worth ten thousand taels of gold, yet not one man is needed to stand guard. Should war or riot drive a person from his home, he may return to find his house gone, his livestock lost, his belongings vanished—but his land will always be there. The land that belonged to the Zhangs will still belong to the Zhangs; that which belonged to the Lis will still belong to the Lis. As soon as one has rooted out the weeds and tilled the soil, one will have a prosperous farm again. Indeed, nothing else under the sun is as secure as land. How can one fail to try to preserve it?
It is better to seek wealth from Heaven and earth than from other men. I have seen people lend out money for interest secured by mortagages on tillable land. In three to five years they have a return as great as the original sum lent, but the borrower, despite appearing grateful, may become contentious and resentful and may refuse to pay back the principal. I have heard of poor scholars who, having saved several dozen gold taels, lend it out in this manner, but when they become more prosperous it becomes less advantageous for them to do so (because of the enmity incurred).
The profit from land is different. Those who sow halfheartedly reap lightly; those who sow diligently reap abundantly. Some can harvest three times in four seasons, others twice in a year. The main fields can be used for rice and wheat; the side plots and border mounds for hemp, beans, peas, cotton, and so on. Every little piece of land will produce a few pennies of income. Therefore, it is worth pondering the proverb, "The land does not begrudge its treasures." In the beginning the land nourishes our grandfathers, then our fathers; soon it will nourish our sons and grandsons. It is a humble benefactor and a tireless servant. It never complains of its labor as it produces in great variety. Those who enjoy its benefits need not have scruples. Although they gain a great deal, they do not feel the discomfort brought by unjustified profit; thus they can face Heaven, earth, and the spirits of their ancestors. They have no need to scheme and they are spared the jealousy of others. Is there anything that can compare with land?
I have said that one should not sell one's land, yet everywhere in the world we see people doing just that. Even the wise frequently do so. Why? The reason is debt, and debt comes from mismanagement. Those who do not know how to budget expenses according to income will eventually become so deeply in debt that they have to resort to selling land that has been in their families for generations. Therefore we may say that unwise management leads to debt and debt leads to selling of land—which leads to poverty. To stop the process before it starts, one should begin by budgeting expenses.
A simple, long-lasting way to do this is the "regulating expenses according to income" method devised by Lu Jiushao [of the Song dynasty]. His procedure is to figure out the total income for the year, deduct taxes from it, then divide the rest into three parts. Set one part aside to provide for a year of poor harvests. Divide the remaining two parts into twelve portions and spend one portion each month. In this manner, if the crops are good every year, one is in conformity with the ancients' principle of "saving one-third of what one reaps." Should there be a poor harvest one year, then one may make up shortfalls with the previous year's savings; should there be bad harvests several years in a row, one can use the savings accumulated over many years. Only in this way can the need for contracting debts be avoided. In contrast, if each year's income is spent each year, then whenever there is a flood or drought, one will have to resort to selling land. To think that people should fail to recognize such obvious logic!...
Mismanagement of household economy is not the only cause of debt and land sale; other causes include indulgence in gambling, women, and extravagances—the dangers of which go without saying. The most ridiculous people of all are those who sell their land to pay for marriage expenses. For as long as there are sons and daughters there will be marriages, but they can be arranged according to one's means, with the savings from past harvests. How can one sell a generations-old resource to provide luxury and splendor for a moment? Do these people think that after the marriage they could be full without food or warm without clothing? Alas, what stupidity!
Anyone who does not want to sell his estate should carefully consider how to preserve it by making the best possible use of it. This can be done two ways, through wise selection of farm tenants and through the establishment of adequate irrigation.
An apt proverb says, "A good tenant is better than a fertile field." If tenants are idle and incompetent, the fields will deteriorate despite the owner's labor and planning. The owners of fields are like loving parents who entrust their baby to cruel servant girls, ignorant of the baby's suffering. There are three advantages to good tenants: first, they sow on time; second, they nourish the land with diligence; third, they control irrigation wisely.
The ancients said, "Timing is of utmost importance in farming." He who tills the fields a month early gets an extra month's benefit; therefore, winter is the best season for ploughing and spring only second best. He who sows a day early gets a day's benefit; therefore, the late crops should be sown before the first day of autumn. As for nourishing the land, the ancients referred to manure as "that which turns a hundred _mu_ into a field." They also observed, "It is not enough to fertilize only in bad years." The _Book of Songs_ says, "Where weeds decay grains grow abundantly." If one is diligent, one _mu_ can produce as much as two. The field does not expand, yet the tenant can have more than enough and the owner can also reap profits. To apply water wisely depends a great deal on timing. It should be collected, held, and released only at the right times. Only good, experienced farmers have such knowledge.
Inferior tenants have three shortcomings: they miss the opportune time for tilling; they are not diligent in nourishing the land; and they do not know the best methods of irrigation. If there happens to be a good year and rain falls at the right time, then even bad tenants will have a good harvest and their defects will be hidden. Yet, when there is a drought, the difference between good and bad tenants will be instantly clear. In a bad year, the landowner can get double the usual price for his grain, unless he is prevented by incompetent tenants....
The estate managers often prefer bad tenants to good ones. Good tenants have prosperous households, have the self-respect not to flatter, have a simple and straightforward manner, are thrifty and will not take unreasonable orders from the managers. Bad tenants, on the other hand, are idle and insolent, will cajole the managers, and will do anything to satiate the managers' greed. Because of these differences, managers prefer bad tenants to good ones, not in the least concerned about the condition of the owner's fields. Moreover, managers welcome floods and droughts, for in such times land rent cannot be paid in full and they can tamper with the revenue. Beware of such age-old corruption and evil practices.
Wherever good tenants live, the farm houses are tidy and neat, the gardens and yards are lush, the trees are abundant. All these are beyond the control of the land owner and his managers. Yet a good tenant can keep up everything himself. A bad one is just the opposite, making the selection of tenants a highly important task....
The young heir of an estate should carefully inspect his farm twice a year, each spring and autumn. In addition, he should occasionally drop by unexpectedly. He should not merely visit. First, he should learn any boundaries of his fields which are not easy to remember. He should ask experienced tenants to point them out to him, if necessary, repeating his request a second or even a third time; usually after five or six times he will know them. Whenever he has a doubt, he should feel free to ask questions; he should not be afraid of looking silly, otherwise he will remain ignorant all his life. Second, he should observe the tenants to determine whether they save, whether they are strong, whether they are frugal, and whether they are improving the land. With these facts, he should be able to judge which are the good tenants and which the inferior. Third, he should closely inspect the irrigation system to determine the depth of the reservoirs and the strength of the embankments, so as to decide what kinds of repairs are needed. Fourth, he should investigate the state of the woods and hill land. Fifth, he should apprise himself of the fluctuations in the price of grain. These steps will give him firsthand knowledge of his estate.
If, however, a young man merely listens to his managers while sitting under the eaves of the farm house, he will gain nothing but a little rest, a meal, and a night's lodging. His eyes will not encounter the fields, nor his feet the farm paths. Meanwhile, the manager will gather the tenants around him to make a great uproar with their complaints. Some will want to borrow seed grain, others to borrow food against their rent; some will say their ponds are leaking, others that their houses are collapsing. In this way they will intimidate their master, who will be so embarrassed that he will escape at the first opportunity. He will learn nothing in response to his questions about the borders of his fields, the diligence of his tenants, the produce of the forests, or the value of the crop. When he returns to the city and meets his friends, this one will greet him and say, "I have just come back from my farm," and that one will say, "I have just inspected my fields." And the master himself will respond, "I have just arrived from my farm. How tiresome it was!" Alas! What is the use! This is what I did myself when I was young, and I still regret it. The heir of an estate should never take its management as something vulgar or petty to be avoided, nor should he inherit title to it without taking up the responsibility. Think carefully about the business of farming and compare it with receiving handouts from others: which is nobler and which baser?
A family's wealth and esteem provide but temporary glory. What one depends on ultimately for supporting one's descendants is farming and studying. An estate should be worth two or three thousand taels of gold before its heir goes to live in the city. Why is this so? Such an estate yields a yearly income of some one hundred taels, which must cover firewood, vegetables, poultry, pork, fish, shrimp, pickled and minced food, as well as expenses incurred by invitations among relatives, social occasions, and entertainment. When the harvest is good, grain brings only a low price, and even when the harvest is poor the price is not much better. Therefore the income from his estate will barely allow the young heir to keep up with his expenses. In short, those with estates worth less than one thousand taels should definitely not live in the city. By living in the country, the heir can cultivate a few acres of land himself, doubling his yield, and making it possible to support a household of eight people. He can raise chickens and hogs in his own pens, grow vegetables in his own garden, keep fish and shrimps in his own pond, and from the adjacent mountains take firewood. In this manner he can live weeks and months without having to spend more than a few cash. Besides, living in the country, there will be fewer social occasions. Even when visitors come, it will only be necessary to treat them to chicken and rice. The women, if diligent, can weave cloth. The heir can wear cotton clothes and ride a feeble donkey, there being no need for glamour. All these things a city dweller cannot do. Living in the country, the heir can till the land and enjoy his studies. He can also employ a teacher for his sons. Such a life is serene and simple. Not a coin in his pocket, he will not be bothered by robbers and thieves.
My father knew the art of country living very well. What he left for us did not amount to much, yet he lived better than city dwellers who had several thousand taels' worth of property. Furthermore, life among mountains and waters is leisurely and free from money worries. What a shame it is that people should fail to see this point! If, after success in studies, one becomes a renowned official and is able to afford living in the city, then moving there is fine. If, after one or two generations, country living is again advisable, then move back. In this manner, one alternates city living and country living, farming and studying, and the family lineage will be long and prosperous, a highly desirable state of affairs.
_Translated by Clara Yu_
## 63 **
LAN DINGYUAN'S CASEBOOK**
_Magistrates, the officials in charge of counties (xian), were the only representatives of the central government most people ever encountered. Their manner of enforcing laws, conducting trials, and collecting taxes affected the lives of all residents of the county. Local political life therefore cannot be understood without considering the behavior of magistrates._
_Below are two cases that Lan Dingyuan (1680-1733) included in a record of his official experiences. Lan was from a scholarly family of Fujian province and was the author of several books. He never passed even the juren examinations, yet because of his participation in a military campaign and his reputation for knowledge of the coastal area, he was introduced to the emperor. Thereafter he was appointed magistrate of Tuning and Chaoyang counties in Guangdong. His description of his activities is best read as a personal account; although he did not hesitate to brag, he also could not help but reveal the values, assumptions, and prejudices that he brought with him to his post as magistrate. In the two cases here, his views on popular religious beliefs and activities are particularly relevant._
#### **
THE SPIRIT OF THE KING OF THE THREE MOUNTAINS TELLS EVERYTHING**
One day Chen Agong rushed in to see me and begged me to try to discover the fate of his daughter.
He said, "My daughter, Qinniang, is married to Lin Azhong. They live in the neighboring village. She has been married for three years but has had no children. Azhong's mother is very cruel and despises my daughter for coming from a poor family. On the 13th day of the ninth month when I went to see her, I could find no trace of her. I don't know whether she has been beaten to death, sold off as a servant, or remarried into another household."
"Does your daughter often come back to visit you?" I asked.
He replied, "She came to see me in the eighth month and went back to her husband on the 6th day of the ninth month. You can ask Wang Asheng about this."
When I made inquiries into the case, Azhong's mother-in-law, Mrs. Xu, complained that the charges were unfair. She said, "I have been a widow for seventeen years and have one daughter-in-law. But from the time of her marriage she has visited her parents every month. In the seventh month she went home twice. On the 6th day of the eighth month she went home again. On the 17th and the 24th day of the eighth month and on the 3rd day of the ninth month we unsuccessfully asked her to come back. I have no idea why she did not come back. Then on the 13th day of the ninth month Chen Agong came bursting into my home demanding to know the fate of his daughter. I am sure Agong has evil designs and has merely hidden his daughter away, hoping to marry her to someone else."
I questioned Chen Agong. "When exactly did your daughter leave your house? Did she walk or go by sedan chair? Who accompanied her?"
He replied, "My daughter told me she wanted to return to her husband on the 6th of the ninth month. I am a poor man and could not afford to hire a sedan chair to take her home, so I sent her brother, Aju, to accompany her half way. They set out walking from my house."
I asked, "What is the distance between your two residences?"
"It is over ten _li_ ," he answered.
Azhong and his mother cried out, "She did not come back. You can ask the neighbors."
I asked Wang Asheng, "When and where did you see Chen Agong's daughter return to her husband's place?"
Asheng said, "I only heard about it from Aju. I did not actually see them go. A short distance from my home lies King of the Three Mountains Temple. On the 6th day of the ninth month, while I was hoeing my garden on the left side of the road, I saw Aju coming back from the temple. He told me he had been asked by his father to accompany his sister who was returning to her husband. I asked him, 'Where is your sister now?' 'Already gone,' he replied. That is what I heard, and I know nothing else of the matter."
"Is the Chen family rich or poor?" I asked.
Asheng said, "They are very poor."
"How far is it from Agong's house to the temple?"
"About three _li_."
I pressed him further, "How many _li_ are there between the Lin family residence and the temple?"
"That distance is around six or seven _li_."
With anger in my voice I demanded an explanation from Agong. "Your daughter is married and your family is not rich, yet you let her come home all the time in spite of the extra expense it brings you. How is this? When her husband's family tried to get her back, you would not let her go. On the 3rd day of the ninth month her husband requested that she return home, but you refused to let her. Why then would you all of a sudden send her home of your own free will on the 6th? Now let us consider the rest of your story. You did not instruct your boy to accompany her all the way to her husband's place but had him turn back in mid-journey. What were your intentions in bringing in Asheng, who had no connection with the case? Your son said that he had just casually mentioned a word of the affair to Asheng, and yet you have cited this as your main piece of evidence. I suspect you have plotted to remarry your daughter and have caused all this commotion."
Agong cried bitterly and loudly, "Father and child are most dear to each other. Although my family is poor, we have enough vegetables and water to make a tasty meal. When my daughter's husband urged her to come home, I didn't want her to leave, but later I realized that I was doing wrong to keep her and that I should let her go back. Isn't it reasonable that I should try to do the right thing in order to make up for my previous selfishness? As for my son's returning after going only halfway, the boy is still only a youngster, and so I didn't dare let him wander too far from home. I asked him to accompany her only halfway because I figured my son-in-law's home would then be close enough for her to get there without danger. My son returned home quite soon after they departed so I scolded him because I thought perhaps he had not accompanied her even halfway. He defended himself, saying, 'I passed the temple and Uncle Asheng saw me!' Now my daughter is missing and I am under suspicion. I am certainly one who appreciates the principle that a woman must be faithful to her husband all through her life. How then could I possibly let my daughter remarry when her husband is still alive?"
I questioned Aju, a boy often years. He said, "I escorted my sister to the front of the temple and then returned."
I asked, "Why didn't you take her all the way to her husband's place?"
"My father ordered me to take the livestock out to pasture, so I let my sister continue on alone after going halfway."
I threatened him, saying, "Your sister was kept home to be remarried. How dare you lie to me? If you do not tell me the truth, I will cut off your fingers."
Aju was terrified. He cried but said nothing more. I tried several ways to trick him, but he always replied, "No, not so."
I then asked him, "Is there a monk at the temple?"
"No," he replied.
"Are there any beggars?"
"No."
"Is there any family around the temple?"
"No."
"Is there a tree, creek, river, or pond there?"
"No."
"Are there any neighbors around your home?"
"No, there aren't any neighbors."
I really suspected that Chen Agong had sold his daughter, but he was cunning and stubborn, and Aju was still quite young. Therefore I could not use threats of torture to break the case. Then it came to me that southerners are afraid of ghosts and spirits. I would try to bring this to bear on the case.
Calling in the plaintiff and the defendant, I said, "Since neither of you has any substantial evidence to back up your allegations, it is rather difficult for me to make a judgment in this case. But since the boy and girl passed by the temple, the spirit of the King of the Three Mountains must know the true story. You all go home for the time being, and I will send an official dispatch to ask the spirit about the matter. I will resume court tomorrow."
The next day I called Chen Agong straight into the courtroom and, pounding on the table, reviled him: "What kind of human being are you? You have hidden away your daughter and remarried her. Then you adopted the tactics of a shyster lawyer and came running with the first accusation so as to throw your opponent off balance. Who do you think you're fooling? Even though you lie to men, you cannot deceive Heaven. You know that Heaven is but three feet above our heads and that there are gods watching us all the time! The King of the Three Mountains has told me all. Are you still obstinate enough to stick to your story? I know who it was your daughter remarried, where she got married, and how much you received for her. If you do not buy her back, I will order that you be punished under the press."
Agong was so frightened that he could not answer back. He groveled on the floor, kowtowed, and begged for forgiveness.
I said, "If you get your daughter back, I will pardon you."
He blurted out, "Yes, certainly I will. It was the extreme poverty of my family that forced me to let my daughter remarry. She is now married into the Li family of Huilai, who paid three taels for her. I will sell my cow to buy her back."
I ordered Agong to be whipped thirty strokes and then to be clapped into the wooden collar for public humiliation in town. I gave him a stern warning: "If you redeem your daughter and bring her back, I will release you. If you don't, I will leave you in the collar until you die."
Agong thereupon sent his wife, Wang, to Huilai to buy back the daughter. The Li family demanded that she pay double the original price they had given for the girl, so Wang was forced to sell her youngest daughter as well as the cow to raise the money. Hearing of these events, the greedy first husband saw an opportunity to make six taels. He told Wang that he could not accept Qinliang back because she had lost her chastity and secretly came to terms with her, releasing Qinliang from all obligations to him for six taels. After he got the money from Wang, he married another girl. Qinliang remained with the Li family and did not have to be redeemed.
While all this was going on, Agong was forced to remain in the collar for nearly two months and almost died. He moaned to his wife, "I regret that I did not sell the cow and our youngest daughter in the first place so that I could have avoided such a punishment. If I had only known that the King of the Three Mountains would tell everything! Now that the affair is finished, you must petition the magistrate to let me go."
When Wang told me what her husband said, I laughed and released him.
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DEPRAVED RELIGIOUS SECTS DECEIVE PEOPLE**
The people of Chaoyang believed in spirits and often talked about gods and Buddhas. The gentry regarded Da Dian [of the Tang Dynasty] as their great Buddhist master, and ladies of the gentry families joined together to go to the temples to worship the Buddha. In this way, heretical and depraved teachings developed and the so-called Latter Heaven sect became popular.
The origin of the Latter Heaven sect is unknown. Zhan Yucan and Zhou Awu first preached it in our area, claiming to have received the teaching from a white-bearded Immortal. When the former magistrate apprehended them, they ran away with their families but later returned to Chaoyang. The sect also called itself the "White Lotus" or the "White Willow." (It probably belonged to the "White Lotus Society" but found it expedient to use other names.)
Zhan Yucan's wife, Lin, was thought to be the "Miraculous Divine Lady." She claimed to possess the ability to summon wind and rain and to give orders to gods and spirits. She was the leader of the Latter Heaven sect and was assisted by her paramour, Hu Aqiu, who called himself the "Ben Peak Divine Gentleman." These two cast spells and used magic charms and waters to cure illness and to help pray for heirs. They even claimed to be able to help widows meet their deceased husbands at night.
The people of Chaoyang adored them madly; hundreds of men and women worshipped them as their masters. People from Chenghai, Jieyang, Haiyang, Huilai, and Haifeng made pilgrimages here carrying gifts of money, animals, wine, and flowers to offer in worship. On the 10th day of the second month of winter on my return from the prefectural city I was informed of these events. By this time members of the sect had already constructed a large building in the northern part of the county where they established a preaching hall and gathered several hundred followers. They hired actors for a period of two days to celebrate the opening of their church. I dispatched runners to apprehend the sect leaders, but the runners were afraid to offend the gods lest the soldiers of hell punish them. Besides, the local officials and many of the influential families favored the sect. So they all escaped.
I, therefore, went to the place myself, pushed my way into the front room, and arrested the Divine Lady. Then I went further into the house to search for her accomplices. The place was like a maze, filled with concealed rooms. Even by day one had to light a torch to get around, or one would bump into people in the dark and easily get lost. It was indeed an ideal place to hide criminals. As I proceeded on my search, above the Divine Lady's bedroom, in a dark, concealed chamber, I seized Yao Asan, Yang Guangqin, Peng Shizhang, and about a dozen other men. Similarly, above the Divine Gentleman's bedroom I found a wooden seal of the Empress Lady of the Moon, a heretical sutra, incense, a wig, and clothes, but at this time I had no idea of how they were used. I looked all around for the Divine Gentleman. Finally, the local rowdies as well as certain influential families, knowing they could no longer hide him, handed over Hu Aqiu. Through questioning him, I learned of all his occult tricks.
In fact, these charlatans had no special powers whatsoever but used incense and costumes to bewilder people. The foolish people who trembled on just hearing the names of gods and spirits were impressed when they saw that the Divine Lady had no fear of gods and goddesses. Hu Aqiu, who accompanied her, wore rouge, female clothing, and a wig. People believed Hu was the genuine Empress Lady of the Moon and never suspected he was a man.
When these pious women entered his bedroom and ascended to the upper chamber, they would be led to worship the Maitreya Buddha and to recite the charms of the _Precious Flower sutra._ Then stupefying incense was burned and the women would faint and fall asleep so the leaders of the sect could do whatever they pleased. (This incense was also called soul-bewildering incense; people who inhaled it would feel tired and want to sleep.) Later members would cast spells and give the women cold water to drink to revive them. The so-called "praying for heirs" and the "meeting with a deceased husband" occurred while the women were dreaming and asleep.
The members of the Latter Heaven sect were extremely evil; even hanging their heads out on the streets would have been insufficient punishment for their crimes. However, this had been a year of bad harvest, so the villagers already had lots of worries. Moreover, the case involved many people, including members of local gentry families. Therefore, sympathetic to the people's troubles and wanting to end the matter, I destroyed the list of those involved which the culprits had divulged during the trial.
I had Lin, the "Divine Lady," and Hu Aqiu beaten and put in the collar, placing them outside the court so that the people could scorn them, beat them, and finally kill them. As to Zhan Yucan, the man who had allowed his wife to commit such a heinous crime, and his accomplices, Yao Ashan and some ten other people, they were all beaten and put in the collar as punishment. I inquired no further into the matter so that the other accomplices could repent and start a new life. I confiscated the sect's building, destroyed the concealed rooms, and converted it into a literary academy dedicated to the worship of the five great [neo-Confucian] teachers. Thus the filthy was swept away and the clean restored.
In my leisure time, on the days of the new and the full moon, I went to the academy to lecture or discuss literature with the people of the county. Zhang Pi gave one hundred bushels of grain for the salary of a teacher, allowances for the students, and the expenses of the spring and autumn school sacrifices. As formal study developed, heretical beliefs ceased to exist. The morality and customs of the people also changed for the better. Commander Shang and Governor Yang heard about the elimination of the depraved sect and sighed in admiration: "Without the elimination of this sect; great damage would have occurred. It is a marvelous accomplishment to have gotten rid of it. The magistrate expelled the evil but refrained from seeking fame for himself. Had he not done so, many people in the area would have been put into jail and many women would have committed suicide by night. It is indeed an act of great mercy to preserve others' reputations."
_Translated by Jeh-hang Lai and Lily Hwa_
## 64 **
EXHORTATIONS ON CEREMONY AND DEFERENCE**
_In the Qing dynasty, the government mandated twice monthly public lectures in every county. On those occasions, local officials or scholars were to explain the Sacred Edict of the Kangxi emperor (Shengzu, r. 1662-1722) and the amplifications of the Yongzheng emperor (Shizong, r. 1723-1735). So that these emperors' moral exhortations would reach the uneducated, the lecturers were instructed to use the local vernacular and draw examples from everyday life. A number of officials published their lectures as guides for others. The lecture translated here, on the ninth maxim, was by an eighteenth-century salt commissioner named Wang Youpu. His task was to convince ordinary people, including merchants and soldiers, that their lives would be better if they all would be more polite. Through the arguments he marshals, he shows his faith in people's ability to cultivate the traditional virtues of ceremony and deference but also his sense that in actual life friction and conflict were pervasive._
#### **
DEMONSTRATE CEREMONY AND DEFERENCE IN ORDER TO IMPROVE POPULAR CUSTOMS**
His Majesty's meaning is as follows:
In the empire there are what are called popular customs ( _fengsu_ ). What are _feng_ and _su_? A Han dynasty scholar said that the hearts of all the common people in the world contain feelings of benevolence, justice, propriety, wisdom, and sincerity. But people in the North are generally hardy, those in the South generally delicate. Where people's temperaments are fast-paced, business is executed promptly; where they are slow, work is performed more leisurely. People of one place do not understand the dialect of those in the other. All this proceeds from the fact that the climate ( _fengqi_ ) is different in every place and men feel a certain influence from it. This is the reason for the word feng.
Further, what people here like, people there hate. On occasions when one is active the other is at rest. There is no fixed mode; everybody acts according to the common practices ( _su_ ) of his locality. This is the reason for the word _su_.
Popular customs vary greatly: in some places people are kindly, in others, reserved; in some places they are extravagant and pompous, in others frugal and simple. Because the customs of every place differed, the ancient sages created ceremonial practices in order to standardize conduct. The sage [Confucius] said that to secure the ease of superiors and bring order to the people, nothing is better than ceremony ( _li_ ). This sentence teaches us that ceremony is extremely important. Were Heaven and earth to depart from the forms of ceremony, they would no longer be Heaven and earth. Were the myriad creatures to depart from ceremonial forms, they would no longer exist. The forms of ceremony are vast and its uses are manifold. Were reason and virtue, benevolence and justice to depart from ceremony, they could no longer be true reason and virtue, benevolence and justice. Were the honorable and the mean, the noble and base, to depart from ceremony, one could no longer distinguish between them. Were the rituals for manhood, marriage, mourning, and ancestor worship to depart from ceremony, one could not conduct those rituals. In fact, if Emperor Shizong, in offering sacrifices to Heaven or to the temple of his ancestors, or in giving private feasts, were to depart from ceremony, those things could not be performed. In a word, ceremony is the root of all customs.
But when you practice ceremonial behavior, there should be no awkward stiffness; all should be natural and easy. The essence of ceremony is contained in the word "deference." The sage said that as long as ceremony and deference were used, there would be no difficulty in ruling the empire. If these two words, ceremony and deference, are sufficient to regulate the vast concerns of an empire, shouldn't it be even easier to regulate an individual or a family through them? The sage also said a ruler who wants the common people not to fight must first set an example for them of ceremonial behavior and deference. Thus it may be seen that this word, deference, is also the root of the practice of ceremony.
Were I now to speak of the details of rituals and ceremonies, you soldiers and common people probably would have difficulty learning them because they are so numerous. But you all possess the basic elements of ceremonial behavior. For example, you know that there should be filial piety towards parents, honor and respect for superiors, harmony between husband and wife, affection among brothers, honesty among friends, and mutual responsibility among those of the same lineage. This proves that internally you already possess the basic elements of ceremony and deference. Why then make a fuss about the externals? If you could really, in dealing with others, be extremely cooperative, in conducting yourselves be extremely obliging, in the family express the affection appropriate between parents and children, elder and younger brothers, in your villages maintain accord between the old and the young, the great and the small, then those habits of struggling over minor differences and getting into noisy disputes would be reformed and the tendency toward indulgent and degenerate conduct would be restrained.
If I had no desire which might induce you to compete or me to steal; if I never allowed momentary anger to get me into a fight; if I never held you in contempt because you are poor and I am rich; if you didn't try to hurt me because you are strong and I am weak; if everybody became kind, without any sign of pettiness; then this would be true ceremony and deference, and in the fullest sense there would be honor and justice.
Though everyone knows how to talk of ceremony and deference, they do not all practice it. Why don't they practice it? Because at present they only know how to use the rules of ceremony to reprove others, not how to use them to correct themselves. For example, if we are quarreling, you'll say I'm impolite and I'll say you are. One will say, "Why don't you yield to me?" And the other will reply, "You haven't yet yielded to me. Why should I yield to you?" At length the animosities become so complex that they cannot be disentangled. What gain is there in that? You should think a little and say, "Although he is without proper manners, where are my manners? Although he hasn't yielded to me, in the beginning why didn't I yield to him?" If both parties would admit part of the blame, wouldn't numerous disputes be avoided?
It is just that people love to quarrel and will not give in to others. For instance, a scholar who has a rough idea of how to compose a few verses of various kinds of poetry regards himself as the literary prodigy of the day and disdains to cast an eye on others. But if he realized that the subjects of study are inexhaustible and that the empire possesses an abundance of learned men, he would say, "The books I have read are only a fraction of what men have written and my compositions don't amount to even a spot of brightness among the whole lot." Automatically he would be modest and defer to others. He who really acts with modesty and deference is a virtuous and worthy scholar.
Farmers are also in the habit of quarreling about their fields. I say that you have encroached on the dike a little; you say that I have ploughed a furrow too many. Perhaps some animal, an ox or a sheep, has trodden down the grain, and this gives rise to a quarrel. Or perhaps one person dams up the water till it overflows his own fields, not letting it pass by and irrigate those of his neighbor, and this leads to a struggle. Craftsmen are also quick to get into violent quarrels. You want to keep me down and I want to keep you down; I try to turn your employer against you and you try to turn mine away from me. We each care for our own prosperity only, with no regard to whether the other lives or dies.
Merchants and shop owners are even worse. When you see me earning money, you become jealous; when I see you making a profit, my eyes turn red with envy. When a particular kind of trade is profitable, you want to engage in it, and so do I. When trading conditions are good in a certain place, you will conceal it from everyone else and secretly hurry there yourself. Knowing that a certain kind of goods is losing value, a merchant will trick people into taking them off his hands and afterwards go and insist on getting the payment. There are others who, beginning trade with empty hands, borrow money at high rates but are a long time in repaying their bills. This is what is called "You seek high [interest] while I seek delay [in repayment]." Others get into disputes about the scales used or the quality of coins. There are so many sources of disputes that it would be an endless task to mention all of them. To sum it up, people will not yield to each other on anything; if only they would yield, they would all become honest and generous men.
As to you soldiers living in camp, you can't avoid having rough and crude personalities. At work and at rest you use your swords and staffs and engage in combat. Everybody says that soldiers, because of their very nature, do not understand ceremony. Therefore, from now on you must try to understand the principle of yielding and ceremony. In your village try your best to show deference to others and to temper the roughness of your personalities.
Let all of you—scholars, farmers, artisans, merchants, and soldiers—take care in practicing ceremonial deference. If one place becomes good, then many places will become so, and finally the entire realm will be in excellent harmony. Won't we then have a world in perfect concord?
In an ancient book it says, "The humble gain; the self-satisfied lose." These two phrases are exceptionally apt. How do the humble gain? Humility consists of modesty and mildness. Men of the present day can't perceive their own faults at all. Therefore they perpetually quarrel, not realizing that strife is the road to the destruction of their families and their personal ruin. In every affair, great or small, retreat a step and you will certainly gain the advantage. For example, suppose a man curses me, and I let pass a couple of phrases. If he is a good man he will naturally feel sorry. If he is a bad man, on seeing that his curses have no effect, he will give up. Wouldn't this prevent a lot of trouble? Do you think that by his cursing me he will rise to greater glory, or that I by bearing with him will fall into disgrace? If I defer to him in this way, people will just praise how good I am and will all want to join me, perhaps confiding to me the secrets of their hearts or entrusting to me their money. If he is so overbearing, people will all hate and avoid him. If he runs into trouble, who will pay attention to him? Haven't I then gained the advantage?
Among the ancients there was a man named Lou Shide. He once asked his brother, "Suppose that someone spit in your face. How would you react to him?" When his brother said he would just wipe it off, Lou Shide said, "If you wipe it off, the man will hold you in even greater contempt. Just accept it with a smile and wait until it dries of its own accord." Just think, meek Lou Shide afterwards rose to become prime minister. Isn't this evidence that "the humble gain"?
How do the self-satisfied lose? Self-satisfaction occurs when a person is impressed with his own importance. It does not refer only to property owners and officials who rely on their money and influence to deceive and humiliate others and thus invite disaster. It also refers to young men who call their elders "old fogies" and even if they are poor or feeble do not address them in a respectful manner; it also refers to young men who tell local officials and gentry, "We will not cringe before you," and arrogantly try to gain the upper hand. This emotion of self-satisfaction will inevitably lead a man to exceed what is appropriate to his station. He will undertake daring acts, bringing on calamity. This shows how "the self-satisfied lose."
The principles taught by these two sentences may be compared to an earthen vessel. When the vessel is empty (= modest) it can still gain. If it is full (= self-satisfied), you cannot put more things into it, and if you force them you may overturn the vessel or break it into pieces. From this can be seen how the humble gain and the self-satisfied lose. These principles may also be compared to a man who has some chronic disorders. Knowing that his body is weak, he will be careful in all matters, not daring to eat much food or indulge in wine or women. Consequently he may enjoy a long life. The man who doesn't have the slightest health problem, by contrast, will depend on his strength and vigor. He will eat and then go right to sleep, take off his clothes in drafty places, and show not even the least moderation in regard to wine and women. Then one day he gets an incurable illness. Aren't these accurate examples of how the humble (= cautious) gain and the self-satisfied lose?
Formerly there was a Mr. Wang Yanfang who was exceptionally ready to defer to others. Once a cattle thief, when captured, said, "I will willingly receive my punishment, but please don't inform Wang Yanfang." When Wang heard of this, he sent someone to give the thief a piece of cloth and persuade him to become good. From this incident the thief became so reformed that when he saw someone drop his sword in the road he stood guarding it till the owner came back to get it. In antiquity there also was a Mr. Guan Youan who was equally deferential. When an ox belonging to another family came and ate the young shoots of his field, he was not at all angry, but took the ox, tied him to a tree, and brought him grass to eat. Because he was so accommodating and humble, all the people of his village reformed. In a time of rebellion, the bandits didn't bother him, and those who had fled from danger came to him for protection. Just think of it: when one man knows how to yield, a whole district can be reformed, and even bandits can be influenced. Aren't ceremonial behavior and deference then real treasures?
Furthermore, if you compete over things, you don't get any more for it; if you yield, neither do you have any less. The ancients said it very well: "A person who always makes way for others on the road won't waste one hundred steps in his whole life. He who always gives in on questions of boundaries won't lose even a single section over the course of his life." Hence it can be seen that yielding and ceremony bring gain and never humiliation. Then why not yield? Emperor Shizong hopes that you all will listen to the instructions of the former Emperor Shengzu and examine your selves by them.
If you are able to get along with others, those who are rude will imitate you and learn to get along. If you are able to manage business fairly, those who are dishonest will learn to be fair by following you. When one person takes the lead, all the rest will follow. When one family follows, then the whole village will do the same. From near to far, everywhere people will be good. At first it will take effort, but constant practice will make it easy. Men will become honest and popular customs pure and considerate. Only this would constitute full adoption of the meaning of Emperor Shizong's repeated instructions to you.
_Translated by Patricia Ebrey_
## 65 **
VILLAGE ORGANIZATION**
_Many matters of social and political importance were left to local residents to initiate themselves. Often local gentry or village elders would call residents together to make decisions or to undertake village projects. They might also approach neighboring villages to gain their cooperation for projects of mutual benefit. Should any controversy arise, however, they could always appeal to the magistrate._
_The two documents below show some of the forms and mechanisms of such village and intervillage organization. The first is a water-use agreement originally recorded in 1828 and still in use in the early twentieth century. When first drawn up, the rights to water were divided among different people on a twenty-one-day cycle. Over the years, however, many people had sold their rights, and these changes were recorded by pasting new sections into the original agreement. The second document, dating from 1875, is a stone inscription recording how residents of several villages in what is now Inner Mongolia had gone about establishing a temple and attached market._
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RECORD OF THE OLD SOUTH DITCH**
The Old South Ditch is the lower stream of Dog-Head Spring. During the early Ming period, the water in the spring was so abundant that it often overflowed on its course north of Wu Family Estate, through Small Great-Water Village and East Great-Water Village, to the Seven-Mile River. The elders of our village (East Great-Water Village) traced the source of the spring because they wanted to dredge the area and cut an irrigation ditch to channel water first eastward, then north ward, and finally back eastward so that the spring would irrigate all the fields of the villagers. However, the spring gushed forth so strongly that the irrigation ditch was unable to contain it. There fore, the village elders built a small canal south of Small Great-Water Village to channel some of the water to the Seven-Mile River and thus reduce the volume flowing into the irrigation ditch at East Great-Water Village. This small canal also made it easier to close the sluice gate while the ditch was being dredged in the spring and summer. It was at this time that the irrigation ditch was given the name Dog-Head River, and the name South Ditch fell out of use.
During the Longqing period [1567-1573], White-Berth, Big-Worthy, and other villages observed the unused water running down the canal to the Seven-Mile River and decided to tap it with irrigation ditches of their own. Our village, however, was reluctant to let them do this, so they appealed the matter to the magistrate, Di Ming shi. He went to inspect the river system himself, and, seeing all the unused water running down the canal to the Seven-Mile River, he issued an order to the elders of our village which read: "It is better to share water with neighboring villagers than to let it go to waste. And if two more ditches are built, East Great-Water Village will also enjoy the benefits of further irrigation."
The village elders did not dare to oppose the magistrate's order. So White-Berth, Big-Worthy, and the other villages constructed a stone sluice gate on the small drainage ditch south of Small Great-Water Village. They also built a circulation ditch and another ditch to the north.
Since the people of East Great-Water Village had dredged the Dog-Head River, it would have been unfair to put them on a par with the people of the other villages when it came to sharing labor and benefits. It would also have been unfair for the other villages to drain off too much water and leave East Great-Water Village without enough for irrigation. Therefore, Magistrate Di ordered the other villages to share the expenses of repairing the upper stream sluice gates and of dredging the upper reaches of Dog-Head River. He required us only to dredge the part of the river below the north ditch. Thus, we would start the work, and the other villages would finish the job.
Magistrate Di ordered that the eight villages along the circulation ditch use only forty percent of the irrigation water but permitted East Great Water Village to use sixty percent. This made a distinction between those with the main right to the water and those with the right to the surplus. So that the two other ditches would not widen after years of use and thus drain off more than forty percent of the water, Magistrate Di ordered a stone sluice gate two feet narrower than the width of the Dog-Head River to be built on the circulation ditch. The north ditch had a rather deep bottom, thus allowing more water to flow through it, so the magistrate ordered that stones be put on its bottom and sides, thus decreasing the flow of water to the allotted forty percent. With these precautions, he hoped that the forty-sixty ratio could be maintained and that water usage would cause no problems for later generations.
With the construction of the circulation ditch and the north ditch, the lower stream of the Dog-Head River became the southernmost irrigation ditch. For this reason it became known again as Old South Ditch. Thus the water came to be divided between East Great-Water Village and the other villages of the area.
Those villagers who were in charge of water distribution on the Old South Ditch were dubbed Old Man and Little Tithing. Those persons who had the most land had to furnish personnel for these positions—they could not decline the job. It cost five cash to use water for one day and one night. Furthermore, each person was limited to the water he could take in a given cycle of twenty days. This water usage procedure could not be altered, and it became the standard water distribution system for the Old South Ditch. Unfortunately, with the construction of the stone sluice and the placing of stones on the river bed, not as many people could take full advantage of the irrigation ditch.
Because water was distributed on a cash basis, the strong could not snatch it away from the weak. Relying on the wisdom and fairness of Magistrate Di, the villagers complied with all these regulations and the elders of the village handed down the benefits of these rules to us. Therefore, we have recorded these events on the first page of our village record so that later generations may be aware of them.
_Translated by Lily Hwa_
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INSCRIPTION FOR THE NEWLY ERECTED TEMPLE-MARKET "OUR LADY"**
We have heard that one who does a job well does it thoroughly, and one who starts something should also finish it. This is the wise teaching of the ancient sages and the rule for us to follow.
On the northeast side of the city of Tuogetuo, there are densely populated villages and extensive farmland. Whenever the field work gets heavy, hiring farmhands from distant regions becomes a problem. Those who discussed the problem in the past noted that the village of Shilideng is situated in the center of all these communities; if a temple-market could be built there, they reasoned, all people in the area would benefit. However, although this was proposed several times, nothing came of it.
In 1874, the village of Shilideng again brought up the proposal. All the people liked the idea, yet they also realized how difficult it would be to put into practice. The chairman of the meeting, Shi Ruqi, and others, volunteered to undertake the task. "Whether we succeed or not," they said, "we will do our best and not shirk our responsibilities."
The decision having been made, it was announced to all the villagers, who began collecting funds among themselves and soliciting donations from the neighboring communities, which willingly contributed to this cause. On an auspicious day in the fourth month, the land was measured and the ground broken. From then on, workers and materials gathered at the site, designers, builders, sculptors, and painters cooperated with each other, and the new temple-market was completed in a matter of months.
On the opening day of the market, hundreds of different kinds of goods were brought in from all over, and people came from all directions. The quiet village now acquired a new look. The donors were all pleased with the speedy construction, and the employers were also happy because now it was easy to hire farmhands.
Yet a construction project without a written record is like an enterprise half-finished, and an enterprise half-finished defeats all the effort already spent. We would like later generations to understand our reasons for building the temple-market, and we would like to solicit their continuous effort to maintain the place properly. They should repair the building and the walls of the temple; they should try hard to bring business to the market; they should also do their best to ensure orderly transaction of business here. It is important to appease the gods and to satisfy the people, for this will bring our village as well as the surrounding communities a good reputation.
_Composition by the Confucian scholar Cui Peiyu of Daizhou. Calligraphy by the Licentiate Cui Fushi of Daizhou. Tablet erected by Committee Chairman She Weihan and twelve others, on an auspicious day of the fourth month of 1875._
_Translated by Clara Yu_
## 66 **
THE VILLAGE HEADMAN AND THE NEW TEACHER**
_Although documents such as tenancy contracts, village agreements, and legal cases provide insight into various elements in rural social, economic, and political relations, no source conveys so well the atmosphere of village life as fiction. None of the major novels centers on villagers, but they have occasional vignettes in which rural life is portrayed._
_The following selection is from the long, episodic novel The Scholars, written by Wu Jingzi (1701-1754). This book was the first and perhaps the most successful novel of social satire, and contains delightful parodies of hypocrites and pompous fools of various stations in life. The section that follows presents a realistic though undoubtedly exaggerated description of how affairs were decided in one village._
In Xue Market, a village of Wenshang county, Shandong, there lived over a hundred families, all of whom worked on the land. At the entrance to the village was a Guanyin Temple with three halls and a dozen empty rooms. Its back door overlooked the river. Peasants from all around contributed to the upkeep of this temple, and only one monk lived there. Here the villagers would come to discuss public business.
It was the last year of the Zhenghua period of the Ming dynasty [1487], when the country was prosperous. One year, on the 8th of the first month, just after New Year, some of the villagers met in the temple to discuss the dragon lantern dance which is held on the 15th. At breakfast time the man who usually took the lead, Shen Xiangfu, walked in, followed by seven or eight others. In the main hall they bowed to Buddha, and the monk came to wish them a happy New Year. As soon as they had returned his greeting, Shen reproved him. "Monk! At New Year you should burn more incense before Buddha! Gracious Heaven! You've been pocketing money from all sides, and you ought to spend a little of it. Come here, all of you, and take a look at this lamp: it's only half filled with oil." Then he pointed to an old man who was better dressed than most. "Not to mention others, Mr. Xun alone sent you fifty catties of oil on New Year's Eve. But you are using it all for your cooking, instead of for the glory of Buddha."
The monk apologized profusely when Shen had finished. Then he fetched a pewter kettle, put in a handful of tea leaves, filled the kettle with water, boiled it over the fire, and poured out tea for them. Old Mr. Xun was the first to speak. "How much do we each have to pay for the lantern dance in the temple this year?" he asked.
"Wait till my relative comes," said Shen. "We'll discuss it together."
As they were speaking, a man walked in. He had red-rimmed eyes, a swarthy face, and sparse, dingy whiskers. His cap was cocked to one side, his blue cloth gown was as greasy as an oil vat, and he carried a donkey switch in one hand. Making a casual gesture of greeting to the company, he plumped himself down in the seat of honour. This was Xia, the new village head for Xue Market.
Sitting there in the seat of honour, he shouted: "Monk! Take my donkey to the manger in the back yard, unsaddle it, and give it plenty of hay. After my business here I have to go to a feast with Bailiff Huang of the county yamen." Having given these orders, he hoisted one foot on to the bench, and started massaging the small of his back with his fists, saying, "I envy you farmers these days. This New Year I've got invitations from everybody in the magistrate's yamen, literally everybody! And I have to go to wish them all the season's greetings. I trot about on this donkey to the county seat and back until my head reels. And this damned beast stumbled on the road and threw me, so that my backside is still sore."
"On the third I prepared a small dinner for you," said Shen. "I suppose it was because you were so busy that you didn't come."
"You don't have to remind me," said Village Head Xia. "Since New Year, for the last seven or eight days, what free time have I had? Even if I had two mouths, I couldn't get through all the eating. Take Bailiff Huang, who's invited me today. He's a man who can talk face to face with the magistrate. And since he honors me like this, wouldn't he be offended if I didn't go?"
"I heard that Bailiff Huang had been sent out on some business for the magistrate since the beginning of the year," said Shen. "He has no brothers or sons, so who will act as host?"
"You don't understand," said Xia. "Today's feast is given by Constable Li. His own rooms are small, so he is using Bailiff Huang's house."
Eventually they started discussing the dragon lanterns. "I'm tired of managing it for you," said Village Head Xia. "I took the lead every year in the past, and everyone wrote down what contribution he would make, and then failed to pay up. Heaven knows how much I had to pay to make good the deficit. Besides, all the officials in the yamen are preparing lanterns this year, and I shall have too much to watch. What time do I have to look at the lanterns in the village? Still, since you've mentioned it, I shall make a contribution. Choose someone to be responsible. A man like Mr. Xun, who has broad lands and plenty of grain, should be asked to give more. Let each family pay its share, and you'll get the thing going." Nobody dared disagree. They immediately came down on Mr. Xun for half the money, and made up the rest among themselves. In this way they raised two or three taels of silver, keeping a record of the contributors.
The monk then brought out tea, sugar wafers, dates, melon seeds, dried beancurd, chestnuts, and assorted sweets. He spread two tables, and invited Village Head Xia to sit at the head. Then he poured out tea for them.
"The children are growing up," said Shen, "and this year we must find them a teacher. This temple can be used as a school."
The others agreed. "There are a lot of families who have sons who should be in school," said one of them. "For instance, Mr. Shen's son is Village Head Xia's son-in-law. Xia is always getting notices from the magistrate, so he needs someone who can read. But the best thing would be to find a teacher from the county seat."
"A teacher?" said the village head. "I can think of one. You know who? He's in our yamen, and he used to teach in Chief Accountant Gu's house. His name is Zhou Jin. He's over sixty. The former magistrate placed him first on the list of county candidates, but he's never yet been able to pass the prefectural examination. Mr. Gu employed him as tutor for his son for three years; and his son passed the examination last year, at the same time as Mei Jiu from our village. The day that young Gu was welcomed back from the school he wore a scholar's cap and a broad red silk sash, and rode a horse from the magistrate's stable, while all the gongs and trumpets sounded. When he reached the door of his house, I and the other yamen officials offered him wine in the street. Then Mr. Zhou was asked over. Mr. Gu toasted his son's teacher three times and invited him to sit in the seat of honour. Mr. Zhou chose as entertainment the opera about Liang Hao, who won the first place in the palace examination when he was eight, and Mr. Gu was not at all pleased. But then the opera showed how Liang Hao's pupil won the same distinction at seventeen or eighteen, so Mr. Gu learned that it was a compliment to his son. That made him feel better. If you want a teacher, I'll invite Mr. Zhou for you." All the villagers approved. When they had finished their tea, the monk brought in some beef noodles, and after eating these they went home.
The next day, sure enough, Village Head Xia spoke to Zhou Jin. His salary would be twelve taels of silver a year, and it was arranged that he should eat with the monk, whom he would pay two cents a day. It was settled that he should come after the Lantern Festival and begin teaching on the 20th.
On the 16th the villagers sent in contributions to Shen Xiangfu, who prepared a feast for the new teacher to which he also invited Mei Jiu, the new scholar of the village. Mei Jiu arrived early, wearing his new square cap, but Zhou Jin did not turn up till nearly noon. When dogs started barking outside, Shen Xiangfu went out to welcome the guest; and the villagers stared as Zhou Jin came in. He was wearing an old felt cap, a tattered grey silk gown, the right sleeve and seat of which were in shreds, and a pair of shabby red silk slippers. He had a thin, dark face and a white beard. Shen escorted him in, and only then did Mei Jiu rise slowly to greet him.
"Who is this gentleman?" asked Zhou.
They told him, "He is Mr. Mei, our village scholar."
When Zhou Jin heard this, he declared it would be presumptuous on his part to allow Mei to bow to him. And although Mei Jiu said, "Today is different," he still refused.
"You are older then he is," said the villagers. "You had better not insist."
But Mei Jiu rounded on them, "You people don't understand the rule of our school. Those who have passed the prefectural examination are considered senior to those who have not, regardless of age. But today happens to be exceptional, and Mr. Zhou must still be honored."
(Ming Dynasty scholars called all those who passed the prefectural examination "classmates," and those who only qualified for this examination "juniors." A young man in his teens who passed was considered senior to an unsuccessful candidate, even if the latter were eighty years old. It was like the case of a concubine. A woman is called "new wife" when she marries, and later "mistress"; but a concubine remains "new wife" even when her hair is white.)
Since Mei Jiu spoke like this, Zhou Jin did not insist on being polite, but let Mei Jiu bow to him. When all the others had greeted him too, they sat down. Mei and Zhou were the only two to have dates in their tea cups—all the others had plain green tea. After they had drunk their tea, two tables were laid, and Zhou Jin was invited to take the seat of honor, Mei Jiu the second place. Then the others sat down in order of seniority, and wine was poured. Zhou Jin, cup in hand, thanked the villagers and drained his cup. On each table were eight or nine dishes—pig's head, chicken, carp, tripe, liver, and other dishes. At the signal to begin, they fell to with their chopsticks, like a whirlwind scattering wisps of cloud. And half the food had gone before they noticed that Zhou Jin had not eaten a bite.
"Why aren't you eating anything?" asked Shen. "Surely we haven't offended you the very first day?" He selected some choice morsels and put them on the teacher's plate.
But Zhou Jin stopped him and said, "I must explain—I am having a long fast."
"How thoughtless we have been!" exclaimed his hosts. "May we ask why you are fasting?"
"On account of a vow I made before the shrine of Buddha when my mother was ill," said Zhou Jin. "I have been abstaining from meat now for more than ten years."
"Your fasting reminds me of a joke I heard the other day from Mr. Gu in the county town," said Mei Jiu. "It is a one character to seven character verse about a teacher." The villagers put down their chopsticks to listen, while he recited:
A
Foolish scholar
Fasted so long,
Whiskers covered his cheeks;
Neglecting to study the classics,
He left pen and paper aside.
He'll come without being invited next year.
After this recitation he said, "A learned man like Mr. Zhou here is certainly not foolish." Then, putting his hand over his mouth to hide a smile, he added, "But he should become a scholar soon, and the description of the fasting and the whiskers is true to life." He gave a loud guffaw, and everybody laughed with him, while Zhou Jin did not know which way to look.
Shen Xiangfu hastily filled a cup with wine and said, "Mr. Mei should drink a cup of wine. Mr. Zhou was the teacher in Mr. Gu's house."
"I didn't know that," said Mei Jiu. "I should certainly drink a cup to apologize. But this joke was not against Mr. Zhou. It was about a scholar. However, this fasting is a good thing. I have an uncle who never ate meat either. But after he passed the prefectural examination his patron sent him some sacrificial meat, and my grandmother said, 'If you don't eat this, Confucius will be angry, and some terrible calamity may happen. At the very least, he will make you fall sick.' So my uncle stopped fasting. Now, Mr. Zhou, you are bound to pass the examination this autumn. Then you will be offered sacrificial meat, and I'm sure you will stop fasting."
They all said this was a lucky omen and drank a toast to congratulate Zhou Jin in advance, until the poor man's face turned a mottled red and white and he could barely stammer out his thanks as he took the wine cup. Soup was carried in from the kitchen with a big dish of dumplings and a plate of fried cakes. They assured Zhou Jin that there was no animal fat in the cakes, and pressed him to eat some. But he was afraid the soup was unclean and asked for tea instead.
While they were eating the dessert, someone asked Shen, "Where is the village head today? Why hasn't he come to welcome Mr. Zhou?"
"He has gone to a feast with Constable Li," said Shen.
"These last few years, under the new magistrate, Mr. Li has done very well," said someone else. "In one year he must make about a thousand taels of silver. But he is too fond of gambling. It's a pity he's not like Bailiff Huang. Bailiff Huang used to play too, but later he turned over a new leaf and was able to build a house just like a palace—it is very grand."
"Since your relative became the village head," said Mr. Xun to Shen Xiangfu, "he's been in luck. Another year or two, and I suppose he will be like Bailiff Huang."
"He's not doing badly," said Shen. "But it'll be several years before his dream of catching up with Bailiff Huang comes true."
With his mouth full of cake, Mr. Mei put in: "There is something in dreams." And turning to Zhou Jin he asked, "Mr. Zhou, these past years, during the examinations, what dreams have you had?"
"None at all," replied Zhou Jin.
"I was fortunate," said Mei Jiu. "Last year on New Year's Day, I dreamed that I was on a very high mountain. The sun in the sky was directly above me, but suddenly it fell down on my head! Sweating with fright, I woke up and rubbed my head, and it still seemed hot. I didn't understand then what the dream meant, but later it came true!"
By this time all the cakes were finished, and they had another round of drinks. By then it was time to light the lamps, and Mei Jiu and all the others went home, while Shen Xiangfu produced blue bedding and escorted Mr. Zhou to the temple to sleep, where he settled with the monk that the two empty rooms at the back should be used for the school.
When the day came to start school, Shen Xiangfu and the other villagers took their sons, large and small, to pay their respects to the teacher; and Zhou Jin taught them. That evening, when he opened the envelopes containing their school fees, he found there was one-tenth of a tael of silver from the Xun family with an extra eight cents for tea, while the others had given only three or four cents or a dozen cash apiece; so altogether he had not enough for one month's food. He gave what he had to the monk, however, promising to settle his account later.
The children were a wild lot. The moment Zhou Jin took his eyes off them, they would slip outside to play hopscotch or kick balls. They were up to mischief every day, yet he had to sit there patiently and teach them.
_Translated by Yang Hsien-yi and Gladys Yang_
## 67 **
BOAT PEOPLE**
_The Boat People were a minority group in Guangdong with a distinct dialect and distinct customs. Considered socially inferior by other Chinese of the area, they found it difficult to acquire educations or rise to positions of influence within the larger Chinese society. Consequently Boat People did not write books we can use to probe their values and culture; we must instead make the best use we can of accounts written by outsiders. Since any minority's world view and social situation will be strongly influenced by how they are treated by others, such sources can be very revealing. The following description of the history and customs of the Boat People is from the gazetteer of Gaoyao county published in 1826. Like most gazetteer entries, this one was composed by quoting from earlier local histories._
The origin of the Boat People ( _danhu_ ) cannot be traced. Boats are their homes and fishing is their occupation. During the Jin dynasty [265-420], there were five thousand households of them outside of the control of the government. Since the Tang dynasty [618-906], they have paid taxes to the government. In the early years of the Hongwu period [1368-1398] of the Ming dynasty, they were registered by households, and headmen were appointed for each district. They were under the jurisdiction of the bureau of rivers and lakes and paid annual taxes in fish. During the Chongzhen period [1628-1643], the bureau of rivers and lakes of Gaoyao county was abolished and the Boat People were placed under Songtai station. Under our dynasty, they pay taxes to the local county.
The Boat People can endure cold and can dive deeply into the water. Whenever passengers in boats drop articles into the water, they always have Boat People retrieve them. The local inhabitants classify them as "Boat People" and refuse to marry them. They will not even allow them to settle on the land.
Therefore day and night they have to crowd together on their boats. The fish they catch are barely enough to feed them and none of them, male or female, have enough clothes to cover their bodies.
Every year they must pay taxes at the end of the spring and the beginning of summer. Those who live in the upstream area of Antelope Strait pay eighty-seven, while those who live in the downstream area pay ninety-four. The taxpayers are further classified as "Boat People units" or "worker units." The latter are those who are hired to fish for others while the Boat People units are independent fishing households who are responsible for sending their own taxes to the government. The worker units act not only as tenants for commoners but also as servants. As they are in extreme poverty those who monopolize the business are able to hire them for low wages. They give the tenants several years' advance salary, but such wages are insufficient to keep them from suffering cold and hunger. Thus, year after year the tenant fishermen are unable to pay the government tax.
The Boat People by nature are stupid and illiterate. They are afraid of seeing officials, so local magnates and rapacious clerks are able to exploit them continuously. The local riffraff treat the fishing boats as their own storehouses and use the fishermen's children as their sleeping mats, yet none of the fishermen dare to utter a word about it.
_Translated by Lily Hwa_
## 68 **
PLACARDS POSTED IN GUANGZHOU**
_The Opium War between China and Great Britain (1839-1842) was fought over issues of trade and diplomatic access. The Chinese were trying to suppress the importation of opium and the British were trying to expand the rights of British merchants to trade freely in China. When the British Navy showed it could take China's coastal cities easily, the Chinese had little choice but to accept British terms. In the treaties signed in 1842 and 1843 the Chinese ceded Hong Kong, opened five treaty ports, and gave British subjects in China special legal privileges._
_In the Guangzhou (Canton) area, passions had been roused by the efforts of officials to suppress opium and resist the British, and it was not easy to get the population to accept the terms of the treaties. As seen in the following placards which local gentry posted, many local residents were determined not to let the foreigners enter._
We, the literati and righteous people of Guangzhou, including those who live on the land and on the water, those who live inside and outside the city, publish these instructions to let the barbarian merchants of all nations understand our intentions.
The injuries, deceits, cruel deeds, and evil acts of the English resident barbarians are as innumerable as the hairs of the head. Now they plot to coerce our high authorities. They have long wished to enter the city; and our superiors, from the depths of their virtue and the greatness of their benevolence, have given in and issued a proclamation granting permission to enter the city. They have not considered that the English barbarians, born and raised in noxious regions beyond the bounds of civilization, having the hearts of wolves, the visage of tigers, and the cunning of foxes, plan to take possession of our province and only desire to enter the walls so that they may spy out the land. Now having received a proclamation allowing their entrance, they will not only exercise violence and usurpation, but will insult and injure the people to an unspeakable degree. Therefore, we, the literati and the people of Guangzhou, however small our strength, have prepared ourselves for the contest. We declare that sooner than obey the proclamation and suffer these wild barbarians, we will act in opposition and adhere to the old regulations of our government. In public assembly, we decided to await the day they enter the city, then exterminate their odious race and burn their houses. With united hearts, we will destroy them in order to display celestial vengeance and manifest public indignation.
But we are aware that at the thirteen factories barbarian merchants of all nations are assembled together for commerce, the good and the bad mixed together. When the standard of righteousness is raised, the precious and the vile might be consumed together if they were not warned in advance. Therefore we give this special early announcement.
All the good barbarians who intend to remain in their places quietly and do not contemplate entering the city shall come to no harm if they prompty leave. As regards all the people who live in the vicinity of the factories, if they wish to guard themselves and their establishments, they should not go out of doors to protect or save the barbarians. Otherwise calamity will overtake them, and they will have no time for regrets. Be warned. Tremble. Be on your guard. These are special commands.
Posted in front of the thirteen factories on the 18th day of the twelfth month of 1845.
When the English barbarians started the quarrel about opium, our august sovereign, out of consideration for the people of the seas, and unwilling to make them suffer the horrors of war, consented to free trade [at the five ports]. He thereby manifested the highest degree of tender regard. All of our high provincial authorities have also in every way possible manifested their generosity. But the desires of the barbarians cannot be fathomed, and their repeated wanton deeds are already sufficient to make men's hair stand on end. Often of late they have, under the pretext of entering the city to take exercise and relaxation, hoped to get secret opportunities for spying out and usurping the land. Nothing can exceed their violent insults.
Consider how different our case is from the others. In our metropolis, Guangzhou, commercial transactions are all conducted outside the walls of the city, while the opposite is the case at Fuzhou and Ningbo. Therefore they have no real reason to enter the city. In asking to enter the city to take exercise and relaxation, they reveal their opposition to the old regulations. Moreover the city is an important site. Here are not only the offices of government, the granaries and prisons, but also the family residences of all the people. If a perverse line of action is allowed to begin, violent opposition to authority will shortly follow, which will lead on to shameless usurpation and eventually to mutual slaughter. War will recommence.
For the protection of our families and the preservation of their lives, we will firmly maintain the oaths we have taken and never swerve from our determination. If they truly keep to their intention to enter the city, every house and every family will prepare heaps of stones and bricks at their doors, and when the gong is sounded, every street and lane shall be closed to prevent their escape. If the barbarians use force and attack the gates, the people of every street will shower down their bricks and stones, and, shouting to each other from every quarter, will advance, slaughter the whole multitude, and then demolish their factories and burn up their ships, not allowing one to escape.
Notice has already been given to the people and scholars in every direction to assemble and train the righteous and valiant among them and to place guards at the important and dangerous passes, ready for all emergencies.
We, the inhabitants of the whole city, ought and must, with one heart and united strength, defend our ancestral city. Anyone who dares to oppose us, may both the gods and men dash to pieces.
This manifesto is issued by the united gentry and people of all Guangzhou.
## 69 **
INFANT PROTECTION SOCIETY**
_During the Age of Division and the Tang dynasty, when Buddhism flourished, monasteries undertook many charitable activities and social welfare services. In the Song, the government often took the initiative, setting up charitable hospitals, free graveyards, and granaries for famine relief. Still, from Song times on, members of the gentry took on much of the responsibility for charity and ran such organizations as free schools, orphanages, soup kitchens, and winter shelters for beggars and vagrants. By Qing times, managing such enterprises was one of the major functions upper class men fulfilled in their communities._
_The following discussion of infanticide and ways to discourage it was written by You Zhi on the basis of his experience with a charitable foundation in Wuxi county in Jiangsu province. From 1843 to 1853 this foundation had supported between sixty and one hundred infants a year. You's account of this foundation reveals both the moral impulses that could lead to philanthropy and the practical and financial obstacles that had to be overcome when undertaking charitable projects._
In the cities it is customary to have orphanages where deserted children are taken in.... However, the countryside is extensive and travel is difficult, so poor people cannot afford to bring their children into the city. Thus, when poor families have too many children, they are often forced by practical considerations to drown the newborn infants, a practice which has already become so widespread that no one thinks it unusual. (People even give it euphemistic names such as "giving her away to be married," or "transmigrating to the body of someone else." The custom has become so deeply rooted that no one attempts to discourage it.) Not only are female infants drowned, at times even males are; not only do the poor drown their children, even the well-to-do do it. People follow each other's example, and the custom becomes more widespread day by day. (There is a case where one family drowned more than ten girls in a row; there are villages where scores of girls are drowned each year. We who dwell in the country witness the crime with our own eyes—a scene too brutal to be described.) As soon as the infants are born into this world, they become the victims of murder. They struggle in the water for a long time before they fall silent. On hearing their cries, one is brought to the brink of tears; on talking about it, one's heart is rent with sorrow.
Alas! Who is not a parent? Who is not a child? How can anyone be so cruel? Is it that people are evil by nature? No. It is that the custom has become so prevalent that people can no longer see the cruelty in it. Yet, Heaven encourages life, and man abhors killing. Charitable people who are determined to accumulate good deeds even buy live animals just to release them! Why not save human lives! If we who live in the country, who see and hear this crime committed daily, simply look on without trying to save the infants, how can we excuse our own guilt? (This matter may not have come to the attention of the city officials and the country gentry. It is necessary to inquire about the matter from poor women in order to obtain details.) This is why we have to cry aloud for these infants and seek help from the charitable gentlemen of the entire nation.
When we look into the charitable institutions available, we find that, besides orphanages, there are foundling homes and nurseries which take in infants for temporary stays and transport them for the villagers. Yet, in the case of newborn infants, the little bodies might not be able to survive the trip. Therefore, adopting the principle of Su Dongpo, who saved infants in Huang'e, and Peng Nanyun, who wrote on saving those who were being drowned, we have formulated a way to offer subsidies of cash and rice to make it possible for parents to raise their children at home instead of sending them to orphanages.
We have formed a society named "The Infant Protection Society." Whenever there is a birth in our area, if the parents are truly too poor to raise the child themselves, our bureau will, according to regulations, provide them with cash and rice for six months so that they can care for the child for that period. Only when it is absolutely impossible for them to raise the infant at home will the society try to transport him or her to an orphanage as a life-saving measure. Our aim is to make the parents keep the infant, at first perhaps for the subsidy, and then out of love—for, as the baby grows, the parents will become more attached to him or her day by day. Our expenses are modest, yet a great many lives can be saved....
The following are the regulations of the Society, which can be adopted by anyone interested.
1. When the Society is first established, a bureau should be set up in a temple or any other public place since there is no time to construct a separate building. All members should share the duties of the bureau. A head should be elected out of those who are of means and of reliable character. Several other trustworthy and capable members should be elected as solicitors and inspectors. It is necessary that all the members work together toward a common goal, for only then can the Society achieve long-lasting results.
2. Contributions can be solicited in large lump sums or small donations, in the form of cash or grain—all depending on the local situation of the region. It can be done by calling a meeting within a clan, a village, or even a county; the more funds acquired, the better. All members have to work together to change this immoral custom and save lives.
3. As the number of people who drown their children is on the increase in rural areas, the Infant Protection Society is established to provide subsidies for the very poorest families only, to discourage them from killing their own children without having to use an orphanage. Therefore, any household that can manage to raise its infants is not eligible for support from the Society.
4. In the area served, whenever an infant is born and the parents are indeed too destitute to keep it, they should report to the bureau of the Society, accompanied by neighbors who are willing to serve as witnesses. The inspector of the bureau will then go personally to the home to examine the situation. If it is truly as reported, the Society will give the parents one peck of white rice and two hundred cash. Afterwards, they can claim the same amount each month, identifying themselves with tickets, for a total of five months. (The exact period can be lengthened or shortened according to individual needs; the amount of subsidy is also flexible.) After five months, if they definitely cannot afford to keep the child, then the Society will provide transportation to an orphanage. (Those who can raise the child, but only with much difficulty, should be persuaded to do so. Even if the Society has to provide rice for two or three more months, whenever a life can be saved, action should be taken.)
5. Records are to be kept in the bureau. After the birth of the child, the parents must report the exact hour, day, and month of birth to the bureau as well as the name of the family, the village, and the county. The inspector then should look over the infant; record finger prints, toe prints, and the direction, location, and shape of the hair swirl on the head. Then the bureau should give out tickets on which is written the exact number of months of subsidy the parents are to receive. Two months later they should bring the child to the bureau for inspection, or the inspector should visit the family. If the infant dies from disease, the subsidy should be terminated on the day the death occurs. Should anyone fail to report the death of such an infant, the witnesses are to be held responsible.
6. In extremely destitute families, if a widow is pregnant and has no sons to continue her dead husband's family line and no other means of support then the subsidy can be increased after a meeting of the Society members (the period is either three or four years, the amount flexible). In this way, not only does the Society take care of orphans, but it actually sponsors chastity; this will be of no small aid to virtuous customs.
7. If a mother in a poor family should die immediately after childbirth and the infant, left without anyone to nurse it, faces imminent death, then the bureau, after making sure of the facts, should give an extra five hundred cash a month to provide for a wet nurse. This subsidy can be continued for three years.
8. With time, it is to be expected that corruption will occur. Once a subsidy system is started, there inevitably will be people who are capable of raising their children and yet pretend to be poor to obtain the money and rice. Therefore, the investigators must be careful; only those who are confirmed to be actually destitute should receive the subsidy. Also, one should change people's ways of thinking by constantly and sincerely teaching them about the divine retribution which awaits those who drown infants.
9. When the Society is established, a geographic boundary must be set to facilitate inspections. If one tries to give help to whoever seeks it, then funds will not be sufficient, and it will be difficult to investigate cases because of the distances. Therefore, we tentatively set a limit often _li_ ; we are not able to provide help for those who live outside of the ten- _li_ radius. When an infant is registered at the bureau, if it is winter, one coat filled with cotton and one wrapping blanket will be allotted; if it is spring or autumn, one lined gown.
10. Although the purpose of the Society is to persuade poverty-stricken families to keep their children instead of drowning them, in some cases the parents may be ashamed to accept charity or may have their minds set on drowning the infant because they already have too many children at home. In others, the parents may be in such straitened circumstances that keeping the infant is definitely impossible. In such cases, one should try hard to persuade them to find ways to solve their problems, without meddling in their private affairs.
11. Infants who are brought to the bureau should be provided with wet nurses immediately. If there is a woman with milk who is willing to be the wet nurse to pay for her own child, then one should pay her three years' salary according to regulations. Or, the first year she may get two pecks of rice a month, and only one peck each month through the rest of the two-year period. Since boys are usually adopted, the bureau should give out birth certificates to prevent future lawsuits concerning the rights to the child but should not subsidize them with money or rice.
12. Poxes are the most dangerous diseases of infants, especially smallpox, which is easily spread. Therefore, in the first and second or eighth and ninth months, one should give inoculations and tell the wet nurses to watch carefully. The bureau should provide some funds for medication and supply some medicine in cases of emergency.
13. Whenever a child is sick, it should be reported to the manager of the bureau, who will then pay a doctor to see the patient until he or she is fully recovered. If the mother of a newborn infant is ill or unable to produce milk, she should also report to the bureau and receive a subsidy for health care and medication.
14. The regulations of this Society are set for the extremely poor. We are sure that the households which are capable of raising their own children will not stoop to such meager assistance, nor would they send their children to orphanages. And yet, simply out of impatience with having too many children, or merely due to the custom of the region, some of these families may also have drowned their children. After the establishment of this Society, they will hesitate to do so. By and by the infants will all be able to escape cruel early deaths.
15. After the Society's proposal to the county government has been approved, a general notice of prohibition will be drawn up. Should anyone, despite the Society's efforts, insist on the evil practice of drowning children, he will be convicted and punished if discovered. No one should be lenient with him. Our hope is to change the customs in part by pressure from the outside but more by persuasion from the inside. This is by no means too harsh.
16. Although the Society is formed to protect infants, it also helps mothers, for in an extremely poor household, the livelihood of the family depends on weaving done by the housewife. A day without work means a day without food. In such cases, whenever the wife is in labor or cannot work, the family faces starvation. The woman who is laden with a hundred worries and has nowhere to turn will hardly be capable of returning to work as early as the second or third day after giving birth; if she does it is very possible that she will catch a cold or have other complications which may lead to critical problems. On the other hand, if she can get a small subsidy, she will be able to rest a few days, the infant can be saved, and the mother also can be nourished. This is doing two good deeds at once.
17. Although the Society will provide transportation of unwanted children to orphanages, the cases in which that is necessary should constitute less than twenty to thirty percent. At the time of the birth of the infant, either because of poverty or anger or because the mother has to nurse other people's children, the parents may not wish to keep the infant. But after four or five months the child can already laugh and play, and is very lovable. The parents are then unable to part with him or her. (Those who endeavor to keep their child can again be divided into two groups; the truly hard-pressed ones should qualify for subsidy for several more months.)
The most serious matter in this world is human life, and the greatest of all charitable deeds is the saving of human lives. Of all kinds of lifesaving, ours is the most urgent. I humbly hope that the gentlemen who are concerned about the ways of the world will advocate our purpose and spread our practices wherever they go and to whomever they meet. It does not matter whether the scale is large or small; each life we save is worth saving. Every time we establish a bureau, we will save numerous lives, which is no small matter. If these established regulations have faults, then they should be modified according to the specific local situations. It is our greatest hope that our fellow workers will do so.
Once I asked a friend from another part of the country if people there also drowned female infants. He said no, in his region there was no such custom. I expressed great admiration for the goodness of the people in that area. A few months later, I met this friend again, and he spoke to me in great alarm. "Would you believe it!" he exclaimed. "What you told me the other day was true! I'm so glad that you woke me up from my ignorance. Otherwise I would have missed a fine opportunity for doing good."
When I asked him for the details, my friend told me that when he returned home from our meeting, he asked a midwife about the drowning of female infants and found out that the custom was rather prevalent in his hometown. Upon this discovery he called town meetings and admonished the villagers; he also offered to protect infants and worked out village contracts to prohibit such practices. Since then he has been able to save five or six lives.
The above is a good example of the situation: the custom is prevalent in most places, yet people are not aware of it unless they give it special attention. We scholars tend to close our doors and devote ourselves to studying, thinking that by doing so we are concerning ourselves with the people and the universe. Little do we know that right outside our doors there are countless infants crying out to be saved from death! (People who refuse to bother about what happens outside their doors often do so on the grounds that they do not want to interfere with the affairs of others. Yet when it comes to saving lives, one should not insist on such principles. Otherwise the best opportunities to accumulate good deeds will be missed.)
Now, since the custom of drowning female infants is most prevalent in rural areas, charitable people in the cities and towns can do very little where they are. In their case, the best course is to investigate which regions have such wicked customs, then try to save the infants by expounding the principles of divine retribution. They should realize the significance of saving lives and should not be afraid of difficulties. For time does not wait for man; one's hair turns white quickly and one grows old. Once the best chance of doing good passes, it will be too late to repent. Cases of divine retribution for drowning female infants are too numerous to be fully listed. Those who want to help should print illustrated books on this subject to warn the foolish and the ignorant. Also, abortion by taking drugs often causes deaths; pictures against this practice should be printed as appendices to the books. As to children born from illicit relations, they should tell midwives that they will receive four hundred to five hundred cash as a reward if they bring such illegitimate children to the protection societies. In this way they will be able to save quite a few lives in secret.
The lives of men concern Heaven, and Heaven encourages life. Therefore, the saving of human lives is of utmost importance. If a man takes the life of another, not only will he be executed for the crime in this world, he will be punished in the other world as well. Wicked forces result from grievance; together they form the wheel of retributions, and misfortune will certainly befall the guilty. On the other hand, if a man saves a life or a score of lives, even hundreds of lives, imagine the bountiful reward he will receive! Whether it is a grown man's or a mere infant's, a life is a life; therefore, one should not let this chance to accumulate good slip by.
The custom of drowning female infants has become for many a mere habit. Although there are laws prohibiting it and books advising against it, they cannot reach the common people who are ignorant of reason and unable to read. However severe and earnest these laws and books may be, they cannot penetrate into every household and get to the people on the streets. In such cases, the only thing one can do is to compose catchy slogans and folk songs with themes of retribution and propagate them in villages and towns. When ignorant men and women hear these, they will understand them and be inspired and warned. Only then can this age-old, widespread custom be changed. If the blind minstrels that rove the countryside can be taught such songs, then they can make a living with them and at the same time can awaken the world. This is doing two good deeds at once and is the very best way to accumulate merit.
_Translated by Clara Yu_
## 70 **
MID-CENTURY REBELS**
_Over the centuries China witnessed thousands of violent uprisings. Yet no period suffered so many as the mid-nineteenth century, from 1850 to 1873, when the vast Taiping Rebellion brought in its wake the Nian Rebellion in the North, Moslem rebellions in the Southwest and Northwest, a Miao rebellion in the Southwest, secret society rebellions along the coast, and many more._
_Rebellions varied considerably in their origins and organization. Some were started by bands of hungry peasants, others by well-organized secret societies that had elaborate ideologies incorporating elements from popular Buddhism and Daoism. The Taiping Rebellion even made use of some Christian beliefs. Nevertheless, virtually all rebellions that had any success also invoked the Confucian theory of the mandate of Heaven: the emperor had ceased to rule with virtue; therefore, he had lost his mandate and his subjects had the right to rebel._
_Sources for the goals, organizing principles, and behavior of rebels are scarce. When rebellions failed, the documents they produced were destroyed as dangerous. The officials who suppressed the rebels wrote reports, but most of them lacked firsthand knowledge, objectivity, or sympathy. To overcome some of these shortcomings, the mid-century rebellions are probed here through three sources of differing origin. The first is a group of proclamations of the Small Sword Society, issued when they took over the city of Xiamen on the coast of Fujian, and preserved by British diplomats stationed there. The Small Sword Society was one of the secret societies that joined in the general initiative of the Taipings to take several cities in the early 1850s. These proclamations reveal typical rebel ideology—for instance, evoking the name of the Ming dynasty and the Han people as an anti-Manchu gesture. The second source is the "confessions" a group of rebels made after their capture. These rebels were members of bandit groups loosely related to the Taipings. The third source is a request for military aid sent in by members of the gentry of that same area. These two pieces, which were also preserved by British officials, can be used together to analyze the social milieu that gave rise to banditry and rebellion._
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PROCLAMATIONS OF THE XIAMEN SMALL SWORD SOCIETY**
The Grand Marshal Huang of the Ming dynasty and the Han people, in order to safeguard the lives of the commoners and merchants, proclaims martial law:
I have heard that Heaven and earth change their course of order: after a time of great prosperity, there must follow a period of chaos, and after a period of great turmoil, there must arise a general desire for peace.
The Qing dynasty has been governing China for more than two hundred years. Corruption of officials and oppression of the people clearly indicate that its mandate has come to an end. I now lead the Righteous and Benevolent Army to save the people and to punish those who have been cruel. I have ordered that my soldiers shall pillage neither the merchants nor the common people nor shall they rape women. The arrival of my armies will not cause the slightest disturbance to the people. If any soldier disobeys my orders I shall punish him in accordance with martial law, permitting no favoritism. You, the merchants and the people, should apply yourselves to your tasks and should not be frightened. I am strict in abiding by my words and enforcing my orders. You should obey them unerringly.
_10th day of the fourth month, 1853_
Concerning the safety of the people and normal business:
I, the grand marshal, have led my army to recover the southern provinces, to stabilize peace for the four classes of people, and to eliminate bad officials.
Since the emperor of the Qing government is young and ignorant, power has been concentrated in the hands of wicked advisors and officials of the prefectures and counties plunder the wealth of the people and use it to ingratiate themselves with their superiors. As a result the people are oppressed by greedy officials.
I, the grand marshal, have led the Righteous and Benevolent Army and have recovered Haicheng, Zhangzhou, Guankou, and Tongan. My army has advanced with irresistible power. If my subordinates have any unruly soldiers who rape women and create disturbances in the streets, you should report them to my officers immediately. I shall execute them and display their heads in public in accordance with the law.
All the people—merchants and commoners alike—should carry on with their work and trade as usual. Do not be afraid of my soldiers. After issuing an order I enforce it immediately and do not tolerate offenders. My orders must be obeyed.
In the name of the Grand Ming dynasty, Marshal Huang of the Han people proclaims:
It is well known that the way to good government is through benevolent policies; yet military strength is essential in governing a state. At this moment I have alreadv conquered Xiamen and must now appoint capable persons to govern it. When employing capable individuals in the government one should pay special attention to their military ability. For this reason those who are able to pacify the world must exert care in choosing men.
Now the people of Xiamen come seeking to take the oaths and join our society. There are hundreds of millions of them. If I do not proclaim the rules of recruitment, I am afraid that the wrong persons will be selected, thereby causing an unnecessary waste of time and resources. With the proclamation of this edict, those of you who have obtained the righteous banners from me and who are willing to reconstruct the nation with me should be very careful in the recruitment of more members. Only the young and the strong and those with experience in the martial arts should be selected as our members. We must eliminate the very old, the very young, and the disabled. In other words, we must eliminate all those over sixty years of age and all those under sixteen. Only by following this method can we strengthen our forces. Do not transgress this order.
_15th day of the fourth month, 1853_
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A STATEMENT OF VOLUNTARY SURRENDER BY MEMBERS OF THE GUANGXI ROVING BANDIT GROUP**
We men from Guangdong—Da Liyu, Zhang Zhao, Zhang Guihe, Wen Xi—and we men from Guangxi—Tian Fang, Huang Shou, and Liang Fu—make this appeal.
We were born in a time of prosperity and were good people. We lived in towns and were taught to distinguish right from wrong. But because of continuous flooding in our area, we could not get a grain of rice to eat even if we worked hard in the fields, and we could not engage in business because we lacked the funds. As a result we all joined the bandits.
Not long ago we came to Guangxi to try to make a living. We met others who had come from our hometowns. We pitied each other because of our sad situation, and together we began to imitate outlaws in order to relieve our hungry stomachs. In other words, no one forced us to join the outlaws. We were driven to join them because we were desperate. Given the chance, we would have returned gladly to our normal way of life.
We thought constantly of our families, but we could not return to them. Indeed, we were drifting on a hungry, painful sea and knew not when we would reach the other side. We hope Your Excellency will forgive our past sins. We hope you will think of the great benevolence of our imperial house and give us a chance to start a new life.
We, humble people, Big-Headed Yang, Lo Da, Hou Jiu, Wang Liu, Lu Xiongjie, report our grievance and appeal to you....
We hate the army runners who recently made heavy demands on us and disturbed our villages. They used the excuse of establishing a local militia to cause trouble for the good and honest people and create opportunities for the wicked ones. The words they used were virtuous-sounding; yet the deeds they actually perpetrated were most wicked. They allied themselves with government officials and formed cliques so that they could oppress our village and falsely reported that certain persons were connected with the bandits. This was due to personal grudges against the accused or to the fact that they wanted to obtain rewards. They burned down our houses and took all we had; they robbed us of our property and threatened our lives. Therefore we banded together to insure our own safety. Those who still remain in the village may run away someday while those who have left can hardly come back. Therefore, for each ordinary person who ran away, there was one more bandit, and the numbers of bandits became greater and greater. Since there are so many of us, we could not survive except by pillage, nor could we save our lives if we did not fight against the imperial troops that were sent out to exterminate us. As a consequence, we have offended the court and hurt the merchants.
We have always wanted to correct our behavior and to purge ourselves of our beastly nature. We would have liked to return to our homes to enjoy long and happy lives, but we have been left rambling around, wandering through unknown places because the officials did not have mercy on us. Usually after interrogating a bandit, they would kill him or at least expel him. Therefore those who sincerely wanted to correct their past sins were actually risking their lives. If we had surrendered to the officials, we also would have had to depend on their mercy. The thought of it tortures us day and night. Now, fortunately, Your Excellency has arrived in this area with a commission to pacify the people. You have loved the people like your own children; you have disciplined yourself strictly; you have worked diligently for the good of the nation and have relieved the suffering of the masses. We hope that you will understand our situation and judge fairly. We hope you will treat us leniently and extend your benevolence to us. We are willing to sell our weapons and buy cows for farming. We render all our respect and gratitude to you.
We respectfully report our situation to you.
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MEMORIAL OF LI YUYING
, JUREN DEGREE HOLDER, AND TAN DUANYUAN, SHENGYUAN DEGREE HOLDER, FROM WU PREFECTURE, GUANGXI PROVINCE**
Our dynasty has followed the teachings of the ancient sages. As a result everyone in Rong county has lived in harmony for a long time. The population was increasing, and the resources were plentiful; even our dogs and chickens never had to fear disturbance.... However, in 1846 bandits and rebels began gathering on the east side of Liangxu and disturbed our local tranquillity. As their power grew, their influence spread. They even captured the city and took the government officials prisoner. There was no order in the city, and the rebels roamed everywhere. Gentry members were killed and captured; women were raped. Corpses were left lying all over the ground; houses were left in ashes; the farmers' fields were thick with weeds. It was sad indeed to see these things happen.... They pillaged property even at great distances from their base area and forced the people who were under their control to pay land taxes to them. They connived to force officials to send up false reports saying that loyalist forces had recaptured areas that had fallen to the rebels. The bandits used official seals and issued false edicts to the populace. It was intolerable to have these ruffians dominate the local government!
Last year we were lucky to have the governor and the governor-general decide to lead out their armies to destroy the bandits at Xunzhou. The governor then promised to transfer the army to Rong county where the local militia was trying to consolidate its positions pending the arrival of the government troops. The militia have been fighting for a long time and have become quite weary. I am afraid that, if the local militia collapses, the bandits will roam all over the county and prove very difficult for the government troops to control.
The local militia is capable of mustering ten thousand troops, all battle-tested veterans who hate the rebels. It is our opinion that, if only we could get a skilled commander, the militia would be quite effective against the rebels. Unfortunately, we have not been able to get an experienced officer to lead them. There have been constant arguments over battle plans, and the militia has never acted in unison. As a result we have often been defeated by the rebels. The prefect and governor-general appointed a pair of officers to supervise the local militia. They issued orders, gave out banners and seals, but did not come to take command personally. The local militia, therefore, has not been united and cannot contribute much to alleviating the critical situation.
Now that the governor of Guangxi province has dispatched his army to wipe out the bandits in Xunzhou, we hope that, after finishing with the bandits there, it will come immediately to Rong county to exterminate the rebels and save the people. If Your Excellency sympathizes with all that the people have suffered, please hasten to have the army come here to suppress the rebels.... We might suggest that you consolidate the militias of Teng, Pingnan, Beiliu, Chenqi, and Xinyi counties under your command so that the bandits may not escape our troops by hopping back and forth across county borders. When the government armies arrive in Rong county, have them train the local militia so that it can put up a better defense against the bandits. We would suggest also that you proclaim a general amnesty for those who were forced to join the rebels. We have confidence in the strategy of encircling bandit hideouts; we are sure they could not resist your attacks and their days would be numbered....
Huang Pengfen and Feng Weireng are two leaders well respected by the local militia. If you were to appoint them commanders, they would get cooperation and would be able to help achieve the goal of ridding our area of rebels. When your armies arrive here we would personally like to join them to take your orders and give you assistance if needed. With your great talent and ability as a high civil and military official, you will certainly save our people from their hardships....
With the greatest of humility we present these opinions to you.
_Translated by Jeh-hang Lai_
## 71 **
THE CONDITIONS AND ACTIVITIES OF WORKERS**
_With the development of commerce and industry came the appearance not only of prosperous merchants and manufacturers, but also their employees. In the cities there were always many who needed work and would accept dirty, difficult, or even dangerous work for low pay. Independent craftsmen and merchants had long formed guilds, which set standards and prices and provided welfare benefits, but workers were normally kept from forming such associations. The first selection below is an example of a prohibition against organizing by workers. This one was carved in stone and preserved in the textile manufacturers' guildhall in Suzhou._
_Further evidence of the lives of workers can be found in official reports of cases in which workers were particularly ill treated. The description of the condition of the miners in Hunan given below falls into this category. In this case, after receiving the report, the central government approved the provincial government decision to enact a special law severely punishing owners and foremen who captured, enslaved, or killed workers._
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PERMANENT PROHIBITIONS OFFICIALLY ENGRAVED ON STONE**
This bulletin is issued jointly by the three county magistrates (with ten promotions and ten commendations) of the prefecture of Suzhou in Jiangnan: Magistrate Chen of Yuanhe county, Magistrate Wu of Changzhou county, and Magistrate Wang of Wu county. The matter concerned is as follows:
In the spring of 1870, Shen Youshan, Wang Chengzhong, Sun Hong, Dai Meiting, Lü Jinshan, Zhu Peihe, and others made a report to the Changzhou county government. They identified themselves as manufacturers of Songjin textiles and said that Cao Azhuan, Gu Ting, and other textile workers had formed a union and tried to coerce them into donating money on the pretext of making offerings to the patron gods of the trade. Some time later, Shen Youshan, et al., charged that Cao Azhuan and his gang had formed another trade union under a different name to threaten and disturb people in the profession. In both cases the former magistrate of Changzhou issued prohibitions against such organizations.
Nevertheless, in the eighth month of this year, Lü Jinshan, Ning Jinshan, Shen Youshan, and Wang Chengzhong again reported that, although Cao Azhuan had died, a certain Wang Pei had taken his place and gathered a gang to create disturbances. Threatening to strike, they pasted posters all over town urging negotiation for wages, selected auspicious dates to present offerings to the patron gods, and extorted contributions from people in the business for that purpose. Our former magistrate, Wan, once more sternly prohibited such actions.
When the current magistrate came to office, Lü Jinshan, Ren Jinshan, Wang Renzhong, and Shen Youshan reported to him that Wang Pei, Ren Fu, Zhou Hong, Gu Ting, Wu Sishou and others were still blackmailing and disturbing the people. They asked that the culprits be prosecuted and petitioned for a permanent injunction against such activities to be engraved on stone tablets. After the hearing, the magistrate punished Wang Pei and obtained his written promise never again to start trade unions, set trade regulations, or collect money on any pretext. The magistrate also granted the request for a tablet permanently prohibiting such activities.
The petition of Lu Jinshan, et al., further stated:
The people in the Songjin textile business are scattered in our two neighboring counties, Wu and Yuanhe, and so are Wang Pei's followers. Consequently, we consider it necessary for tablets of prohibition to be erected in all three counties. We beg our magistrate to ask the magistrates of Yuanhe and Wu counties to cooperate, so that the troublemakers will never dare to break your rulings, and we of the textile profession need never again trouble you with such complaints.
Besides granting the petition and the request for prohibition tablets, we magistrates now exonerate all those in the Songjin textile profession. You should make note of the fact that the organization of trade unions has long been prohibited. From now on, if Wang Pei or any of his men dare to violate the law and attempt to form unions or guilds to put pressure on fellow workers, it should be reported to the government so that we can prosecute them. Let it be known that we will not be lenient toward violators of this ruling. Be advised and abide by the law.
_Special bulletin issued on the nineteenth day of the eleventh month of 1878._
_Translated by Clara Yu_
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INVESTIGATION REPORT**
The magistrate's report stated:
The southeast portion of Leiyang county is rich in coal, which has attracted many entrepreneurs. Hundreds of coal pits of various sizes have been exploited for a long time, so that by now the coal veins lie under water which must be removed before mining can be started. To manage the water pumps, the mine owners hired foremen, known as "water men." To fill this post they usually picked the worst elements of the local population, men who are extremely violent and wicked. These men, allied with local gangsters, have formed a Blue Dragon Society and accumulated huge amounts of money. To trap poor people, they established gambling dens and sold opium; then they lent them money at usurious rates. Moreover, they colluded with wine shops and restaurants to raise their prices. Badly in debt, the poor people had no choice but to sell themselves to the mine. They would also sometimes capture travelers passing through and force them to work in the mine.
The foremen built near the pit dark, damp earthen cubicles which had only a single opening. Surrounded by stockades, both the entrance and exit of these cubicles were controlled by the foremen. These were known as "sealed drums." People lured, bought, tricked, or kidnapped were all incarcerated in such "drums," and were called "water toads." Their clothes and shoes were stripped off, and they were forced to work manning the water pumps in alternating shifts day and night without respite. No consideration was given to their hunger and cold. Those who looked tired had their backs whipped, and those who attempted to escape had their feet slashed. Moreover, because it is freezing in the pits and the work is extremely heavy, the weaker miners usually died within a fortnight, and the stronger ones suffered from rotten legs and swollen bellies within a couple of months. Without rest and medication, they perished helplessly. What was most pitiful was that those "water toads" who survived were still kept in the "drums" during the spring suspension in order to be used as water pumpers again the next season. They were called "pension rice."
This situation was kept hidden from the outside world. The dozens or hundreds of "water toads" who died at each mine every year were buried in the caves nearby. Not even their relatives were informed of their deaths. The local officials have strictly and repeatedly prohibited such practices. However, these mine owners and the "water men" used artful excuses to get around the law. Now we have summoned the mine owners for inquiries and have informed them of the permanent prohibition against "water men," "water toads," "sealed drums," and "pension rice," and we have received their guarantees which have been filed as documents. In addition, we are investigating secretly and carefully. If there are any more cases like these, they shall be severely prosecuted. And if there are any allied gangsters, runners, or any officials who conceal the crimes, they shall be severely punished too. We have prepared a draft regulation concerning the situation and are now presenting it to you. Please examine it and draw up a memorial.
_Translated by Jane Chen_
## 72 **
GENEALOGY RULES**
_To facilitate ancestor worship and a general reverence for forebears, from at least the Han dynasty men kept records of their ancestors' names, dates, and accomplishments. In the later dynasties more detailed genealogies came to he needed by lineages that owned property or had other privileges to confer on their members; such lineages had to have accurate lists of their current membership and the kinship relationships among them. Thus the flourishing of large lineages in the Ming and Qing dynasties led to the compilations of huge genealogies listing thousands of past and present lineage members._
_Below are the rules established by the Liu lineage of Wantong in Anhui for the compilation of their genealogy. This list was included in the preface to the genealogy they published in 1870. Principles of family and lineage composition are carefully set down in these rules, which also explain which activities and accomplishments most enhance family honor and therefore deserve recognition in the genealogy._
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PRINCIPLES OF THE GENEALOGY**
1. Our genealogy combines the methods of Ouyang Xiu and Su Shi,* and uses charts together with biographical accounts. Its chief aim is to provide concise and clear facts about our family lineage. Lengthy details of specific cases will be given in other records.
2. The illustration of the family tree begins with our first ancestor; the first section lists the five generations from him to his great-great-grandson, the next section lists the next five generations, and then the next five generations, and so on. Thus, starting from the outer branches, one can trace the ultimate origin of one's heritage; starting at the beginning, one can survey the development of the branches.
3. In each section of five generations, the branches and households are listed in order, beginning with the eldest son. First are listed the descendants of the oldest son, then those of the second son—that is, the second branch—and so on. In this way, the record has a clear outline and will not become confusing because of too many details given at once. This method is followed through the branches and subbranches.
4. Compiling a genealogy is different from writing history. History is written to distinguish good governments from bad ones, and to set down rules and models for later generations; therefore, it should include both good deeds and bad ones. In compiling a genealogy, the purpose is to clarify the ancestry and development of a lineage and to deepen its virtuous and righteous tradition; therefore only good deeds are recorded.
5. Our genealogy, following the example of historical writings and our family regulations handed down from the Han and Tang dynasties, records each family member's name, polite name, order of birth, studio name, birth date, age attained, and the location and direction of his tomb. Those who are buried in one grave are recorded as "buried together."
6. If a living lineage member's name is offensive because it contains the same word as an elder member's name, he should change it. If he is dead, then when his name is recorded in the genealogy, another word with a similar pronunciation is substituted.*
7. If a member of the lineage passed a civil service examination, or was a student of the county, province, or capital colleges, or was a local elder, these facts are recorded under his name in the lineage chart. If he became an official, his title is recorded so as to make known his achievements.
8. In order to extend our respect to the families to which we are related, a wife whose father was an official is designated as "daughter of official so-and-so." If her father did not hold an office, yet was virtuous and lived to an old age, she is described as "daughter of retired scholar so-and-so." In all other cases, I simply record, "daughter of so-and-so."
9. A daughter whose name is listed in her father's biography is designated as "married (or betrothed) to so-and-so," to make clear her own family. If her husband or her sons achieve distinction of which our family can be proud, their titles of office are recorded.
10. An adopted heir who is the son of a member of our own lineage is listed under his natural father, with a note saying that he has been adopted by so-and-so. Under his adoptive father's name, it is recorded that a second, third, or fourth son of so-and-so has been adopted into this household, and that the first son of this adopted heir cannot be given in adoption to any other household. Following the established rules, those lineage members whose order of births have become confused are not listed in this genealogy. Those who become adopted heirs of families of a different surname from ours have the fact noted under their names in order to make it possible for them to resume their original name and return to our lineage.
11. The genealogy is designed to pass on the true lines of descent as well as to eliminate its false seeds. All persons of a different last name from ours, including stepsons who follow their mothers into our family, are not allowed to be heirs because they are not of the same flesh and blood. Thus there are specific prohibitions against such successions. If these are not strictly observed, the purity in our family heritage will be in jeopardy and the true purpose of compiling this genealogy will be defeated. That is the reason for the following rules. Anyone who adopts a son of a different surname from ours and thereby tinges the purity of our lineage will be dealt sixty blows of the staff. Anyone who allows his son to be adopted by a family of a different surname receives the same punishment. So does anyone who, in adopting an heir from our own family, causes confusion in generational order. Such an adopted son should then be returned to his natural father, and another heir should be chosen in his place.
12. A wife who, after her husband's death, marries again, or a wife who has been divorced by her husband, is not mentioned in her husband's biography, even though she has borne him children. This is because the relationship between the husband and the wife was terminated. Under the sons' names, however, it is mentioned that their mother was so-and-so who remarried or was divorced, since a son cannot cut his tie with his mother. Should the wife, after having remarried or having been divorced, return to the care of her sons, the record still remains the same, because the relationship cannot be restored.
13. A legal wife who died early without bearing children is recorded in the genealogy, but concubines without children are not mentioned. This is to retain the distinction between their ranks and their degrees of respectability.
14. The concubines are not in reality all the same. Those who are married with proper ceremonies are recorded as being "married," whereas those who are not are designated as being "taken in."
15. A young son of the legal wife precedes an older son of a concubine when they are listed in the biography of their father. This is to uphold the legitimate succession. In the lineage chart, however, all sons are ordered according to their age.
16. Biographies and eulogies are designed to relate facts and to praise virtue and distinction. Regardless of whether he had held an office or not, as long as a man possessed such virtues as loyalty, filial piety, integrity, or righteousness, and could be a model for his descendants, a biographical sketch is written in praise of him. Whether a woman was a legal wife or a mere concubine, her virtues of chastity, filial piety, and other womanly good deeds are included in the biography of her husband. A daughter's good deeds are also included in the biography of her father. All in all, the biographies should be truthful but inspiring. Those who did not live to fifty years of age are not entitled to a eulogy, only a biography.
17. The names of the male members of the family who indulged in sorcery, Buddhism, Daoism, debauchery, larceny, who misappropriated or sold parts of the family cemetery, or who married indiscriminately are taken off the family genealogy.
18. All the decrees of commendation and bestowment of titles from the emperors to members of our lineage are respectfully copied and recorded in this genealogy. This is not only to show respect for the emperors, but also to inspire later generations.
19. All the writings by friends and relatives about late members of our family such as prefaces, inscriptions, anecdotes, biographies, elegies, poems, or essays, including those recorded before and those written by renowned writers, are reproduced as models for our lineage.
20. Those writings, notes, poems, and essays written by our ancestors that have withstood the test of time are reproduced in memory of their literary achievements.
21. As the graves contain the body and the physical essence of our ancestors, they should be guarded by our descendants through all ages. In this genealogy, no drawings are made of these gravesites, but in the individual biographies, records of the location and direction of each tomb are kept, so that our descendants will be able to consult them and locate the tombs.
22. The decorum of language in this genealogy is as follows: those who were in office and virtuous, "passed away" ordinary people "are no longer" those whose date and place of death are unknown are marked "record lost" those who had no children are described as "line stopped" instead of "terminated" to show compassion; those who had daughters only are said to have "no heir," because, although the line has stopped, the family's essence remains. Male members who died within three months of their births are not included in the category of "early death" those who died before their eighth year are included in the category, but there is no mourning for them; therefore, these are not recorded in the genealogy. Those who died between eight and eleven years of age are designated by "lower early death," between twelve and fifteen, "middle early death," between sixteen and nineteen, "upper early death." All these three types are recorded in their fathers' biographies. Those who died after their twentieth birthday are all entitled to their own biographical sketches, for they are considered adults. If these members had no sons, they are only listed in the charts, and after five generations, the record stops, because there is no one to continue their lines. Female members who died before they were betrothed are not mentioned in this genealogy, for they did not become wives. For the same reason, women who were betrothed to members of our lineage yet died before the marriage ceremony could take place are not listed in our family genealogy.
23. When lineage descendants move to another part of the country and settle down there, in their biographies such information is given in detail, so that they can be traced over many generations.
24. The ancestral temple is where the spirits of our ancestors stay; it is also where ancestral rites are performed by our descendants. It is important, therefore, to record the buildings, including the shrine in front, the rooms in the rear, and the surrounding buildings, as well as the land, which is measured on all four sides and recorded in detail.
25. No one should take a family with the same surname as ours for a branch of our family, regardless of its wealth or power. This is essential in preserving the purity of our lineage.
26. A list of the eldest sons in the primary line of the lineage and a list of our family regulations are appended in this genealogy.
_Translated by Clara Yu_
## PART VII
**THE EARLY TWENTIETH CENTURY**
Efforts to reform the Qing government and make it strong enough to withstand the foreign threat had begun by the 1860s. After China's defeat by the Japanese in 1895 and her humiliation by joint Western and Japanese forces in the wake of the Boxer Rebellion of 1900, prospects for reform from within faded. Small groups of revolutionaries, the most famous of which was associated with Sun Yatsen (Sun Zhongshan, 1866-1925), turned to violence to overthrow the old regime. In 1911 a military uprising succeeded, and the last Manchu emperor agreed to abdicate in early 1912. The decades from then until the founding of the People's Republic of China in 1949 are referred to as the Republican period because monarchy was now repudiated and the Western theory of constitutional republican government was honored, if seldom actually practiced.
Social and political disorder marked most of this period. For a few years the new government unsuccessfully attempted to consolidate its power. Then from 1916 to 1927 China was politically fragmented with warlords and cliques of warlords ruling their own provinces or regions. In 1926-27 Jiang Jieshi (Chiang Kaishek, 1888-1975), the leader of the Nationalist Party (Goumindang), launched a "Northern Expedition," defeating some warlords and making alliances with others. He then established a Nationalist government, which lasted on the mainland until 1949 (and subsequently on the island of Taiwan). The years from 1927 to 1949, however, were almost as turbulent as those before. Not only were a number of warlords still largely independent, but the Communist Party had control of parts of the country, and after 1931 the Japanese steadily encroached on Chinese territory. From 1937 to 1945 China and Japan were engaged in full-scale war.
The early twentieth century was nevertheless a time of intense intellectual excitement and rapid social and economic change. The old order based on Confucian ideas was torn apart. The classically educated gentry lost their means of gaining office with the abolition of the civil service examinations and the collapse of the monarchy. Modern universities, started in the last years of the Qing, began to produce a new type of intellectual who was deeply concerned with China's fate and attracted to Western ideas ranging from science and democracy to communism and anarchism. Many young people went abroad to study in Japan, Europe, or America. On May 4, 1919, college students and their supporters protested Japan's imperialist advances and their own government's weakness, arousing in the process the patriotic and reformist spirit of a generation of young people. These "May Fourth" intellectuals called for reforms in the family system and the government and the redistribution of economic and political power. Scholars now began to doubt the validity of established views of Chinese history and began studying subjects such as class struggles, power politics, and folklore. Writers imitated Western forms of poetry and fiction and started writing in the vernacular rather than the classical language that had formerly been the mark of the educated man. Widely circulated periodicals brought this new language and these new ideas to literate people throughout the country.
During the early twentieth century, Western-style, capitalist enterprises began to make headway within the Chinese economy. The disruption of the European economy caused by World War I proved especially advantageous to China. A few cities, especially Shanghai, Canton, Tianjin, and Hankou, developed into industrial centers where thousands of people were employed in factories. One of the highest priorities of the Nationalist government was to strengthen the economy, and it undertook measures to modernize the banking, currency, and taxation systems, as well as to improve transportation and communication facilities. Another result of industrialization, however, was union organization and strikes. The greatest of these strikes took place in Shanghai in 1925. Banks and schools closed, 150,000 people stayed away from work, and foreign goods were boycotted in protest against the killing and injuring of strikers by the foreign-controlled International Settlement police.
The development of a small, Westernized, urban elite and urban proletariat in some ways left China more fragmented than ever before, since the vast majority of the peasants remained tied to the countryside and traditional ways of earning a living. Illiterate peasants were little affected by new Western ideas communicated through classroom lectures, magazines, and translated books. Moreover, during the Republican period the standard of living in the countryside stagnated because of the disruption and exploitation by warlords, international economic problems, and continued population growth. By 1930 the population on China had probably reached more than 500 million. The pressure on available land was intensified by the collapse of some local industries, such as silk raising and cotton weaving, due to foreign competition. The government and private philanthropic organizations made attempts to raise the level of rural education, create facilities for credit, encourage modern enterprises, form peasant associations, and so on, but gains were usually limited to small areas and short periods of time. Thus, the Nationalist government remained closely tied to the urban and Westernized sections of the population. At the same time the Communist Party, after 1935 under the leadership of Mao Zedong (1893-1976) and settled in Yan'an in North-west China, was concentrating on land reform and winning the support of the rural population.
In Part VII selections have been chosen for two reasons: some depict aspects of the major social transformations of this brief period; others provide new kinds of evidence on traditional aspects of Chinese culture and social organization. The early twentieth century saw many new types and forms of written communication. Newspapers and magazines published articles aimed at a broader audience than most previous writing. Western influence in literature led to greater psychological realism in fiction and attempts to portray emotions not previously probed in depth. At the same time there was an upsurge of interest in the lives of the less privileged. Men began to describe the plight of factory hands, slave girls, and tenant farmers with more empathy than before. A semischolarly interest in folklore studies developed, leading to the recording of the habits and beliefs of elements of the population that educated men had hardly noticed before. Because of the abundance of these kinds of sources, many topics about which only indirect inferences could be made for earlier eras can be examined in some depth and complexity for the early twentieth century.
Nevertheless, the writing of the Republican period must also be used with care. Authors who wrote about ordinary people were more influenced by modern, Western ideas than those they were describing, creating a cultural gap between them and their subjects not totally unlike that between Westerners and Chinese (though naturally not as great). Moreover, the passions for reform and desire for change which motivated so much of the writing of the period gives even many descriptive pieces strongly polemical tones. Thus, many of these selections should be read on two levels: as depictions of the social conditions and way of life of those who still did not write much, and also as personal accounts expressing the concerns and values of the new intellectuals.
## 73 **
LIANG QICHAO ON HIS TRIP TO AMERICA**
_The young Liang Qichao (1873-1929) was closely associated with the reformer Kang Youwei (1858-1927). In 1898, when Kang's patron, the Guangxu emperor, was ousted by the empress dowager, Kang and Liang fled to Japan. There Liang became a prolific journalist. His writings, smuggled back into China, introduced Chinese readers to the world of ideas then current outside China._
_In 1903 Liang traveled to North America, spending two months in Canada and five in the United States. Liang looked at American society with one question foremost in his mind: In what ways might America provide models for China in its quest to become strong and modern? Although in favor of democratic institutions, he did not see the American republican system as appropriate to China. He was particularly discouraged by the ways Chinese had organized themselves in Chinatowns in America. In the following excerpts from his account of his trip, Liang discusses both what he saw and what he read in the U.S. press._
#### **
NEW YORK**
Uncivilized people live underground, half-civilized people live on the surface, and civilized people live above the ground. Those who live on surface usually live in one- or two-story houses.... Some houses in Beijing have entrances going down several stone steps, almost as if going underground. In New York, buildings of ten to twenty stories are not rare, and the tallest reaches thirty-three stories. This can truly be called above the ground. But ordinary residential buildings in big cities in America also have one or two basements, and so are both above and below ground.
Everywhere in New York the eye confronts what look like pigeon coops, spiderwebs, and centipedes; in fact these are houses, electric wires, and trolley cars.
New York's Central Park extends from 71st Street to 123d Street [in fact, 59th to 110th], with an area about equal to the International Settlement and French Concession in Shanghai. Especially on days of rest it is crowded with carriages and people jostling together. The park is in the middle of the city; if it were changed into a commercial area, the land would sell for three or four times the annual revenue of the Chinese government. From the Chinese point of view this may be called throwing away money on useless land and regrettable. The total park area in New York is 7,000 [Chinese] acres, the largest of any city in the world; London is second with 6,500 acres. Writers on city administration all agree that for a busy metropolis not to have appropriate parks is harmful to public health and morals. Now that I have come to New York, I am convinced. One day without going to the park leaves me muddled in mind and spirit.
Every day streetcars, elevated trains, subway trains, horse carriages, automobiles, and bicycles go clitter-clatter above and below, banging and booming to left and right, rumbling and ringing in front and behind. The mind is confused and the soul is shaken. People say that those who live in New York for a long time must have sharper eyes than ordinary people or else they would have to stand at intersections all day, not daring to take a step.
#### **
POVERTY**
New York is the most prosperous city in the world, and also the bleakest. Let me briefly describe New York's darker side.
Anti-Oriental agitators criticize the Chinese above all for their uncleanness. From what I have seen of New York, the Chinese are not the dirtiest. In streets where Italians and Jews live, in the summer old women and young wives, boys and girls, take stools and sit outside their doors, clogging the street. Their clothing is shabby, their appearance wretched. These areas are not accessible by streetcar and even horse-drawn carriages seldom go there. Tourists are always coming to see how they live. From the outside there is building after multistoried building, but inside each building dozens of families are tenants. Over half of the apartments have no daylight or ventilation, and gas lights burn day and night. When you enter, the foul smell assaults your nose. Altogether, in New York about 230,000 people live in such conditions.
According to statistics for 1888, on Houston and Mulberry streets (where most of the people are Italians, with some Germans, Chinese, and Jews), the death rate was 35 per thousand, and 139 per thousand for children under five. In comparison, the overall death rate for New York was 26 per thousand, so the hardship of these poor people can be imagined. These rates, it is said, are due to the lack of air and light where they live. Another statistician says there are 37,000 rented apartments in New York, in which over 1,200,000 people live. Such dwellings are not only unhealthful but also harmful to morality. According to a statistician again, of the 483 people living in one building on a certain street in New York, in one year 102 people committed crimes. So great is the influence of these conditions.
"Crimson mansions reek of wine and meat, while on the road lie frozen bones. Rich and poor but a foot apart; sorrows too hard to relate." So goes Du Fu's poem [Tang dynasty]. I have witnessed such things myself in New York. According to statistics of the socialists, 70 percent of the entire national wealth of America is in the hands of 200,000 rich people, and the remaining 30 percent belongs to 79,800,000 poor. Thus the rich people in America are truly rich, and this so-called wealthy class constitutes no more than one fourhundredth of the population. It can be compared with one hundred dollars being divided among 400 people, with one person getting seventy dollars and the remaining thirty dollars being divided among 399 people, each getting a little over seven cents. How strange, how bizarre! This kind of phenomenon is seen in all civilized countries, particularly in big cities, [but] New York and London are the most notorious. The unequal distribution of wealth has reached this extreme. I look at the slums of New York and think with a sigh that socialism cannot be avoided.
#### **
J. P. MORGAN**
This afternoon I went to visit Morgan. Morgan has been called the king of trusts and the Napoleon of the business world. I had no business to discuss with him, but was led by curiosity to meet this man whose magical power is the greatest in America. All his life he has only received guests and never called on others. Even presidents and prime ministers, if they need his help in their nations' financial matters, come to consult him and do not expect him to visit them. I was also told that his appointments are limited to one to five minutes each. Even extremely important problems can be decided in this briefest span of time, so far without error. His energy and acumen are truly unrivaled. I wrote a letter two days ago expressing my wish to request a five-minute conversation. At the appointed time, I went to his Wall Street office to visit him. There were scores of visitors in his receiving room, who were led to see him one by one; no one exceeded five minutes. As I had nothing to ask of him and did not want to waste his precious time, I went in and talked with him for only three minutes. He gave me a word of advice: The outcome of any venture depends on preparations made ahead of time; once it is started, its success or failure is already decided and can no longer be altered. This is the sole motto for his success in life, and I was deeply impressed.
#### **
THE INDUSTRIAL TRUST**
In New York City at the turn of the century, a monster was created called the "trust." This monster was born in New York, but its power had spread to all of the United States and is speeding over the whole world. In essence, this monster, whose power far exceeds that of Alexander the Great or Napoleon, is the one and only sovereign of the twentieth-century world. For years I have wanted to find out its true nature; now in New York, I finally have the opportunity....
The origins of the trust can be traced to the Oil Trust of 1882, which was the personal creation of [John D.] Rockefeller, known to the world as the petroleum king. Then in 1883, the Cotton Oil Trust was formed, in 1886 the Bread Trust, and in 1887 the Sugar Refining Trust. Their profits were conspicuous and startled all the world. Thenceforth the whole country became crazed about trusts, until today almost 80 percent of the capital of the entire United States is under the control of trusts. The United States today is the premier capitalist nation in the world, and American capital amounts to almost half that of the entire world. Thus somewhat less than half of the world's total capital is now in the hands of this tiny number of trust barons. Alas! How strange! How amazing!
In sum, the trust is the darling of the twentieth century, and certainly cannot be destroyed by human effort, as is recognized by all of even the slightest learning. From now on, domestic trusts will grow into international trusts, and the nation that will be most severely victimized will surely be China. It is clear that we cannot look at this problem as if observing a fire from the opposite shore.
#### **
LYNCHING**
Americans have an unofficial form of punishment known as "lynching" with which to treat blacks. Such a phenomenon is unimaginable among civilized countries. It started with a farmer named Lynch. Because he had been offended by a black, he suspended him from a tree to wait for the police officers to arrive, but the black man died before they came. So his name has been used for this ever since. Recently the common practice is burning people to death. Whenever a black has committed an offense a mob will be directly gathered and burn him without going through the courts.
Had I only been told about this and not been to America myself I would not have believed that such cruel and inhuman acts could be performed in broad daylight in the twentieth century. During the ten months I was in America I counted no less than ten-odd accounts of this strange business in the newspapers. At first I was shocked, but have become accustomed to reading about it and no longer consider it strange. Checking the statistics on it, there have been an average of 157 such private punishments each year since 1884. Hah! When Russia killed a hundred and some score Jews, the whole world considered it savage. But I do not know how to decide which is worse, America or Russia.
To be sure there is something despicable about the behavior of blacks. They would die nine times over without regret if they could possess a white woman's flesh. They often rape them at night in the forest and then kill them in order to silence them. Nine out of ten lynchings are for this, and it is certainly something to be angry about. Still, why does the government allow wanton lynchings to go unpunished even though there is a judiciary? The reason is none other than preconceived opinions about race. The American Declaration of Independence says that people are all born free and equal. Are blacks alone not people? Alas, I now understand what it is that is called "civilization" these days!
#### **LIBRARIES**
The various university libraries I have seen do not have people who retrieve books [from the stacks], but let students go and get them on their own. I was amazed. At the University of Chicago, I asked the head of the library whether or not books were lost this way. He answered that about two hundred volumes were lost every year, but hiring several people to supervise the books would cost more than this small number of books and, further, would inconvenience the students. So it is not done. In general, books are lost mostly during the two weeks before examinations because students steal them to prepare for examinations, and many of them are afterwards returned. In this can be seen the general level of public morality. Even a small thing like this is something Orientals could not come close to learning to do in a hundred years.
#### **
CHINESE FLAWS**
From what has been discussed above, the weaknesses of the Chinese people can be listed as follows:
1. Our character is that of clansmen rather than citizens. Chinese social organization is based on family and clan as the unit rather than on the individual, what is called "regulating one's family before ruling the country."... In my opinion, though the power of self-government of the Aryans of the West was developed earlier, our Chinese system of local self-government was just as good. Why is it that they could form a nation-state and we could not? The answer is that what they developed was the city system of self-government, while we developed a clan system of self-government.... That Chinese can be clansmen but cannot be citizens, I came to believe more strongly after traveling in North America....
2. We have a village mentality and not a national mentality. I heard Roosevelt's speech to the effect that the most urgent task for the American people is to get rid of the village mentality, by which he meant people's feelings of loyalty to their own town and state. From the point of view of history, however, America has been successful in exercising a republican form of government precisely because this local sentiment was there at the start, and so it cannot be completely faulted. But developed to excess it becomes an obstacle to nation building.... We Chinese have developed it too far. How could it be just the San Francisco Chinese? It is true everywhere at home, too....
3. We can accept only despotism and cannot enjoy freedom.... When I look at all the societies of the world, none is so disorderly as the Chinese community in San Francisco. Why? The answer is freedom. The character of the Chinese in China is not superior to those of San Francisco, but at home they are governed by officials and restrained by fathers and elder brothers. The situation of the Chinese of Southeast Asia would seem different from those in China; but England, Holland, and France rule them harshly, ordering the breakup of assemblies of more than ten people, and taking away all freedoms. This is even more severe than inside China, and so they are docile. It is those who live in North America and Australia who enjoy the same degree of freedom under law as Westerners. In towns where there are few of them, they cannot gather into a force and their defects are not so apparent. But in San Francisco, which leads the list of the free cities with the largest group of Chinese living in the same place, we have seen what the situation is like....
With such country men, would it be possible to practice the election system?... To speak frankly, I have not observed the character of Chinese at home to be superior to those in San Francisco. On the contrary, I find their level of civilization far inferior to those in San Francisco....Even if there are some Chinese superior to those in San Francisco, it is just a small matter of degree; their lack of qualification for enjoying freedom is just the same....
Now, freedom, constitutionalism, and republicanism mean government by the majority, but the overwhelming majority of the Chinese people are like those in San Francisco]. If we were to adopt a democratic system of government now, it would be nothing less than committing national suicide. Freedom, constitutionalism, and republicanism would be like hempen clothes in winter or furs in summer; it is not that they are not beautiful, they are just not suitable for us. We should not be bedazzled by empty glitter now; we should not yearn for beautiful dreams. To put it in a word, the Chinese people of today can only be governed autocratically; they cannot enjoy freedom. I pray and yearn, I pray only that our country can have a Guanzi, a Shang Yang,[* a Lycurgus, a Cromwell alive today to carry out harsh rule, and with iron and fire to forge and temper our countrymen for twenty, thirty, even fifty years. After that we can give them the books of Rousseau and tell them about the deeds of Washington.
4. We lack lofty objectives.... This is the fundamental weakness of us Chinese.... The motives of Europeans and Americans are not all the same, but in my estimation the most important are their love of beauty, concern for social honor, and the idea of the future in their religion. These three are at the root of the development of Western spiritual civilization, and are what we Chinese lack most....
There are many other ways in which the Chinese character is inferior to that of Westerners; some happened to impress me so that I recorded them, but others I have forgotten. Let me now list several that I noted down, in no particular order:
Westerners work only eight hours a day and rest every Sunday. Chinese stores are open every day from seven in the morning to eleven or twelve at night, but though shopkeepers sit erect there all day, day in and day out, without rest, they still fail to get as rich as the Westerners. And the work they do is not comparable to the Westerners' in quantity. Why? In any kind of work the worst thing is to be fatigued. If people work all day, all year they are bound to be bored; when they are bored they become tired, and once they are tired everything goes to waste. Resting is essential to human life. That the Chinese lack lofty goals must be due to their lack of rest.
American schools average only 140 days of study a year, and five or six hours every day. But for the same reason as before, Westerners' studies are superior to those of the Chinese.
A small Chinese shop often employs several or more than a dozen people. In a Western shop, usually there are only one or two employees. It may be estimated that one of them does the same amount of work that it takes three of us to do. It is not that the Chinese are not diligent, they are simply not intelligent.
To rest on Sunday is wonderful. After each six days, one has renewed energy. A person's clarity of spirit depends on this. The Chinese are muddle-headed. We need not adopt their Sunday worship, but we should have a program of rest every ten days.
When more than a hundred Chinese are gathered in one place, even if they are solemn and quiet, there are bound to be four kinds of noise: the most frequent is coughing, next come yawning, sneezing, and blowing the nose. During speeches I have tried to listen unobtrusively, and these four noises are constant and ceaseless. I have also listened in Western lecture halls and theaters; although thousands of people were there, I heard not a sound. In Oriental buses and trolleys there are always spittoons, and spitters are constantly making a mess. American vehicles seldom have spittoons, and even when they do they are hardly used. When Oriental vehicles are on a journey of more than two or three hours, more than half of the passengers doze off. In America, even on a full day's journey, no one tries to sleep. Thus can be seen the physical differences between Orientals and Westerners....
On the sidewalks on both sides of the streets in San Francisco (vehicles go in the middle of the street), spitting and littering are not allowed, and violators are fined five dollars. On New York trolleys, spitting is prohibited and violators are fined five hundred dollars. Since Chinese are such messy and filthy citizens, no wonder they are despised.
When Westerners walk, their bodies are erect and their heads up. We Chinese bow at one command, stoop at a second, and prostrate ourselves at a third. The comparison should make us ashamed.
When Westerners walk their steps are always hurried; one look and you know that the city is full of people with business to do, as though they cannot get everything done. The Chinese on the other hand walk leisurely and elegantly, full of pomp and ritual—they are truly ridiculous. You can recognize a Chinese walking toward you on the street from a distance of several hundred feet, and not only from his short stature and yellow face.
Westerners walk together like a formation of geese; Chinese are like scattered ducks.
When Westerners speak, if they are addressing one person, then they speak so one person can hear; if they are addressing two people, they make two people hear; similarly with ten and with hundreds, thousands, and tens of thousands. The volume of their voices is adjusted appropriately. In China, if several people sit in a room to talk, they sound like thunder. If thousands are gathered in a lecture hall, the [speaker's] voice is like a mosquito. When Westerners converse, if A has not finished, B does not interrupt. With a group of Chinese, on the other hand, the voices are all disorderly; some famous scholars in Beijing consider interrupting to be a sign of masterfulness—this is disorderliness in the extreme. Confucius said, "Without having studied the Book of Songs one cannot speak; without having studied the rites, one cannot behave." My friend Xu Junmian also said, "Chinese have not learned to walk and have not learned to speak." This is no exaggeration. Though these are small matters, they reflect bigger things.
_Translated by R. David Arkush and Leo O. Lee_
* Two Northern Song statesmen and writers credited with creating the standard model for genealogies used during the later dynasties.
* Avoidance of the personal names of immediate forebears was an old custom dating back to antiquity.
## 74 **RIDDING CHINA OF BAD CUSTOMS**
_Intellectuals concerned with China's military weakness often suspected that its roots lay deep in China's culture and social customs. In their desire to strengthen China, many campaigned to bring an end to customs which, when compared to Western customs, seemed uncivilized and debilitating. At the end of the nineteenth and the beginning of the twentieth century, three of the customs that attracted particular reformist zeal were footbinding, opium smoking, and the sale of girls as bondservants._
_Footbinding began to spread in the Song dynasty and was widely practiced throughout the Ming and Qing. Girls of five to eight would have their feet tightly bound until the four small toes were turned under and the heel and arch compressed. A few scholars in the eighteenth century attacked this practice, but it was not until 1895 that the first anti-footbinding society was established in Shanghai. Soon similar societies were established in other cities. The first of the two pieces below relating to footbinding are the rules of such a society in Hunan. The second is an address by the early woman activist Qiu Jin (1875-1907), devoted both to the cause of overthrowing the Manchus and to women's liberation. She left her husband in 1903 to study in Japan, where she wore men's clothing and learned to make bombs. She returned in 1906 and the next year was executed for her role in an abortive nationalist uprising._
_Opium smoking made enormous inroads into Chinese culture during the nineteenth century. By the end of the century, addiction was prevalent among all classes and opium was the largest item of interprovincial trade. In 1905 the Chinese government began a serious effort to eliminate the use of opium. Plans were made to suppress domestic production and an agreement was signed with Great Britain to end importation of opium. Retail trade was to be regulated, and addicts licensed to receive decreasing amounts of the drug. Unlicensed users were to be arrested. Local gentry organized anti-opium societies to spread propaganda against opium and support government programs. The third piece given below is an article from a 1907 Yunnan newspaper aimed at arousing support for these and even more aggressive measures._
_Interest in social reform continued through the 1920s and 1930s. The last piece given here is from a 1920 issue of the popular Women's Magazine. The author, a man, tries to convince his women readers that indenturing young girls as maids is wrong and that they should find ways to end the practice, a practice Westerners regularly likened to slavery._
#### **ANTI-FOOTBINDING SOCIETY OF HUNAN: RULES AND REGULATIONS ON MARRIAGE**
1. The purpose of organizing this society is to provide opportunities for members to arrange marriages for their children so that girls who do not bind their feet will not become social outcasts. For this reason, society members must register the names and ages of all their children, and this information will be made available to all members in their selection of mates for their children.
2. Every member is entitled to make selections among the registered children. However, marriages with nonmembers' families are allowed if the young ladies do not have bound feet.
3. In selecting mates for their children, members must observe strict compatibility of age and generation. Furthermore, no match can be made unless both families agree to it. No member is allowed to coerce, intimidate, or use any other forms of undesirable persuasion in arranging a marriage.
4. Since society members have come from all parts of Hunan province, marriages can be arranged between families situated very far apart. The society encourages men of vision and determination to willingly send their daughters to distant places to be married.
5. A matchmaker may be engaged to arrange the marriage contract. Local customs and rituals may be followed regarding the exchange of gifts. The society suggest that frugality and simplicity be observed by all members, regardless of how wealthy they are. Furthermore, the bride's family is not allowed to demand wedding gifts from the groom.
6. Similarly, in preparing the bride's dowry, the society recommends frugality and simplicity. The groom's family should still observe all the courtesies and should not vent their dissatisfaction with the dowry by ill-treatment of the bride.
7. The marriage ceremony should be discarded because ancient rituals are no longer suitable for today. However, members are allowed to follow the commonly accepted rituals and ceremonies of the Qing dynasty because sometimes, for the sake of expediency, we have to do what others do. However, the society recommends that members be guided by frugality and simplicity.
8. The clothing worn by members' daughters should conform with the accepted style. However, their footwear should conform to the style of their brothers. There should be no exceptions, because other styles of footwear may be shocking and offensive to other society members, thus injuring the girl's chances for marriage.
9. If people want to have worthy daughters, then they must promote women's education. If men want their wives to be worthy, then they must donate money to establish local women's schools. The size of the school is determined by the amount of the contribution. By helping other people's daughters learn, one also helps one's own wife because only after women's education has been popularized can the foundations of a marriage be solid.
10. The above rules have been written one by one in a very simple and lucid style so they can be easily understood by everyone. If anyone feels he cannot follow any of them, he should not join the society. Furthermore, we urge all applicants to study these rules carefully to avoid future regrets.
#### **
AN ADDRESS TO TWO HUNDRED MILLION FELLOW COUNTRYWOMEN**
_by Qiu Jin_
Alas! The greatest injustice in this world must be the injustice suffered by our female population of two hundred million. If a girl is lucky enough to have a good father, then her childhood is at least tolerable. But if by chance her father is an illtempered and unreasonable man, he may curse her birth: "What rotten luck: another useless thing." Some men go as far as killing baby girls while most hold the opinion that "girls are eventually someone else's property" and treat them with coldness and disdain. In a few years, without thinking about whether it is right or wrong, he forcibly binds his daughter's soft, white feet with white cloth so that even in her sleep she cannot find comfort and relief until the flesh becomes rotten and the bones broken. What is all this misery for? Is it just so that on the girl's wedding day friends and neighbors will compliment him, saying, "Your daughter's feet are really small"? Is that what the pain is for?
But that is not the worst of it. When the time for marriage comes, a girl's future life is placed in the hands of a couple of shameless matchmakers and a family seeking rich and powerful in-laws. A match can be made without anyone ever inquiring whether the prospective bridegroom is honest, kind, or educated. On the day of the marriage the girl is forced into a red and green bridal sedan chair, and all this time she is not allowed to breathe one word about her future. After her marriage, if the man doesn't do her any harm, she is told that she should thank Heaven for her good fortune. But if the man is bad or he ill-treats her, she is told that her marriage is retribution for some sin committed in her previous existence. If she complains at all or tries to reason with her husband, he may get angry and beat her. When other people find out they will criticize, saying, "That woman is bad; she doesn't know how to behave like a wife." What can she do? When a man dies, his wife must mourn him for three years and never remarry. But if the woman dies, her husband only needs to tie his queue with blue thread. Some men consider this to be ugly and don't even do it. In some cases, three days after his wife's death, a man will go out for some "entertainment." Sometimes, before seven weeks have passed, a new bride has already arrived at the door. When Heaven created people it never intended such injustice because if the world is without women, how can men be born? Why is there no justice for women? We constantly hear men say, "The human mind is just and we must treat people with fairness and equality." Then why do they greet women like black slaves from Africa? How did inequality and injustice reach this state?
Dear sisters, you must know that you'll get nothing if you rely upon others. You must go out and get things for yourselves. In ancient times when decadent scholars came out with such nonsense as "men are exalted, women are lowly," "a virtuous woman is one without talent," and "the husband guides the wife," ambitious and spirited women should have organized and opposed them. When the second Chen ruler popularized footbinding, women should have challenged him if they had any sense of humiliation at all.... Men feared that if women were educated they would become superior to men, so they did not allow us to be educated. Couldn't the women have challenged the men and refused to submit? It seems clear now that it was we women who abandoned our responsibilities to ourselves and felt content to let men do everything for us. As long as we could live in comfort and leisure, we let men make all the decisions for us. When men said we were useless, we became useless; when they said we were incapable, we stopped questioning them even when our entire female sex had reached slave status. At the same time we were insecure in our good fortune and our physical comfort, so we did everything to please men. When we heard that men like small feet, we immediately bound them just to please them, just to keep our free meal tickets. As for their forbidding us to read and write, well, that was only too good to be true. We readily agreed. Think about it, sisters, can anyone enjoy such comfort and leisure without forfeiting dearly for it? It was only natural that men, with their knowledge, wisdom, and hard work, received the right to freedom while we became their slaves. And as slaves, how can we escape repression? Whom can we blame but ourselves since we have brought this on ourselves? I feel very sad talking about this, yet I feel that there is no need for me to elaborate since all of us are in the same situation.
I hope that we all shall put aside the past and work hard for the future. Let us all put aside our former selves and be resurrected as complete human beings. Those of you who are old, do not call yourselves old and useless. If your husbands want to open schools, don't stop them; if your good sons want to study abroad, don't hold them back. Those among us who are middle-aged, don't hold back your husbands lest they lose their ambition and spirit and fail in their work. After your sons are born, send them to schools. You must do the same for your daughters and, whatever you do, don't bind their feet. As for you young girls among us, go to school if you can. If not, read and study at home. Those of you who are rich, persuade your husbands to open schools, build factories, and contribute to charitable organizations. Those of you who are poor, work hard and help your husbands. Don't be lazy, don't eat idle rice. These are what I hope for you. You must know that when a country is near destruction, women cannot rely on the men any more because they aren't even able to protect themselves. If we don't take heart now and shape up, it will be too late when China is destroyed.
Sisters, we must follow through on these ideas!
_Translated by Nancy Gibbs_
#### **
MY OPINIONS ON BANNING OPIUM**
An examination of the historical evidence shows that the evil of opium smoking has existed in the world for several thousand years and has plagued China for four or five centuries. It is closely connected with the strength or weakness of the country. Millions of our people lose their money, destroy their bodies, and waste their time because of addiction to opium. Thus whether China will survive depends on whether efforts to eradicate opium are successful. How well our current bans on opium work thus is crucially connected to our survival.
Fortunately, last year, on the 3rd of the eighth month, a ban on opium was decreed. Since then the governors-general of each of the provinces have for the most part been energetically enforcing the ban....
Opium smoking is the enemy of all of us. We have the physical and moral strength to do something about it and we should do everything we possibly can to rid ourselves of it, treating it like a noxious substance or infectious disease. It is simply because education is underdeveloped and our people ignorant that they seek a narcotic to escape from their troubles. We are late in doing something about this. Therefore everyone in our country, high and low, must look on this task as a matter of life and death, of saving people from water or fire, and not slack off for a moment.
The present ban only involves closing opium shops and prohibiting officials, soldiers, and government underlings [from smoking opium]. Other measures have been put off for another ten years. I have not heard anything on what the government will do during these ten years to eliminate addiction or wipe away this stain. (The announcement last year was too vague to be useful.) Those discussing these issues often advocate adopting the methods that have already proved effective in Taiwan, but if these laws are issued, their success will depend entirely on the effectiveness of the government organs that administer them. It will depend on the new crop of policemen. The success of Taiwan's ban on opium resulted from the large number of lower-level administrators they had to carry it out. It is definitely difficult not to have some doubts about whether our police could carry out such a heavy responsibility. Thus for the government today to have any hope of success in getting the law banning opium enforced without opposition, it must quickly take steps to reform provincial administration.
I have further goals in this essay. Suppressing opium is definitely not something that can be accomplished without a lot of work. The government naturally should have a variety of policies. But society is also inextricably bound up with this, and social leaders should immediately do all they can to aid the government in this matter, in the ways listed below.
There have always been only two effective ways to change the people's habits, persuasion and punishment, or as the saying has it, "Warn by mentioning rewards, exhort with a show of force." Given the circumstances, the government now has to rely more on punishment than persuasion. Thus many of the tasks of the more positive approach fall to society.
Let me list the steps the government and society should take:
1. The provincial government must be quickly reformed to get rid of current inefficiencies and make possible effective enforcement.
2. The law on opium should include both persuasion and punishment. The morality of people of middling or lower abilities is shaped by outside pressures, therefore it is right to apply pressure
.
3. Local self-government should be instituted to revive the people and shake up their old habits of thought.
4. Inspect all fields to prevent the cultivation of the opium poppy. But raise knowledge of agricultural science so people will know the profits to be had from other crops and be able to turn to them instead of opium as naturally as water flows downward.
The above fall under the purview of the government.
1. Those who lose their jobs because of the ban on opium should be
given aid or help.
2. Many lecturing societies should be set up to teach orally those with low levels of education. Most of those in the lowest levels of society are ill
iterate or nearly so.
3. Public amusement centers should be set up for the relaxation of workers and craft centers to teach vocational skills. Today the majority of those who smoke opium come from the lower classes. They take to it bec
ause it is a way to relax when extremely tired from work or because they are idle.
4. We must urgently foster in people the desire to save and avoid wasting time.
The above all fall under the purview of local society.
The poison of opium smoking is a catastrophe that did not exist in the past, thus the steps needed to ban it are also unprecedented. Our future survival and honor depend on what is done. Thus everyone in our country, high and low, must carry the program out with the utmost determination and persistence, not with the old lackadaisical attitude. This is my fervent hope.
_Translated by Patricia Ebrey_
#### **
ON FREEING SLAVE GIRLS**
Why am I writing this essay? Because I believe that the Chinese institution of slave girls is bad. First of all, slave girls are not treated like people, but tortured as if they were animals; in fact, some are treated even worse than animals. These slave girls have no one to tell their troubles to and no place to seek help. Looking at this from a humanitarian point of view, this institution is indeed wrong. Secondly, since their masters do not treat them as human beings, the slave girls themselves never learn to behave as such. They set out to take advantage of their masters in everything they do. When they go shopping, they often lose money; when they are told to work, they are lazy and cut corners, not caring if their laziness causes inconveniences for other people; and when they cook, they purposely waste fuel, rice, oil, and salt. In the end it is the masters who lose out. For these two reasons we can agree that the institution of slave girls must be abolished.
Nowadays people who are imbued with new ideas understand these arguments, so I need say no more. But their proposals tend to be too lofty, too general in scope, too detached from reality. Although their ideas make sense, they are difficult to carry out. The ideas I have put down in this essay, however, are not merely empty talk, for they could easily be put into practice!
Why do I say that many people's ideas are too lofty and general? Nowadays people with new ideas are all talking about women's liberation, the liberation of all women. Isn't that too broad? There are already many independent women in our society who have no need to be liberated. Weaker, uneducated, and dependent women do need help and support in order to become self-reliant, but the help they need is not liberation. Women who do need liberation fall into the following three categories: (1) prostitutes, (2) concubines, and (3) slave girls. These women are virtually bound hand and foot by others. They have had their rights to freedom taken away from them, and their lives are often hard and bitter. In the name of humanity, how can we not first liberate these women whose lives are a living hell? Furthermore, if they are not liberated, not only will they themselves suffer, but many others will indirectly be made to suffer too. If we want to change our society, we must first liberate these women.
Since these three categories of people are different, our methods of liberating them should also be different. For example, it would be more difficult to liberate prostitutes and concubines, so in this essay I shall limit my discussions to how to liberate slave girls. I am not saying that prostitutes and concubines should not be liberated, nor even that their liberation can be delayed. But this essay is written for women with new ideas who I am hoping will carry out this liberation movement without help from men. In reality, it is easier for women to liberate slave girls than prostitutes and concubines, so we might as well begin with the simplest....
Why should women liberate slave girls without help from men? Since both educated women and slave girls are females, women might be more sympathetic. Moreover, slave girls usually work for women, so the power to free them is in the hands of women, not men. Therefore, I suggest that this job should be done by women themselves. As I see it, the job can be divided into two stages: discontinuing buying slave girls, and freeing the ones already owned.
There are two ways to free slave girls. Concerning the slaves you own yourself, since you have the power to free them, do so immediately. For example, if I own a slave girl and I want to free her, I can go ahead and do so. Concerning the slaves you do not own, you must persuade others to liberate them. For example, if my mother, sister, or neighbors own any and I want them free, I must persuade the owner to free them. If they do not heed me, I must try again; if they still do not listen, I should try a third time, a fourth time.... Eventually I will reach my objective. These two ways are the only ways to liberate slave girls, and they can be carried out by everyone.
But what is to be done after they are given their freedom? This is indeed a great problem. In my opinion, the best course is to take them into your family as your daughters. You should send the younger girls to school to be educated, and in their after-school hours they should be taught to work around the house. They should be encouraged to do any work which they are fitted to do, which would benefit the whole family, and which would not injure their health. As for the older girls, you could arrange marriages for them, or if you keep them at home, you should teach them housework as well as the ways of the world. When they marry, you must be cautious and think of their happiness instead of the amount of money you will get. If you treat them like this, they will then treat you like real mothers and not want to be dishonest or take advantage of you. You should instruct the girls who have already acquired bad habits of cheating and not expect them to change their ways too readily. Sometimes punishment may be necessary as long as you are guided by your conscience. (In dealing with your own children, a certain amount of punishment is inevitable, but punishing them does not change the affection you feel for them.) In sum, we must treat liberated slave girls as our own daughters.
Some people have pointed out that servant girls once had parents who, because they needed money, sold them into slavery. No matter how sympathetic we feel toward them, it would be much better to return them to their natural parents without demanding that the money be returned. This idea sounds good but poses serious difficulties. First, more often than not, the parents of these slave girls have moved away and cannot be located. Second, if the parents have sold them once, can you feel assured that they would not sell them again? That would be no liberation at all. Therefore this method should only be used with extreme caution.
I have been discussing how to free servant girls and care for them after they gain their freedom. There is one more thing I must mention. I find that no matter what a thing is, if only one person does it, the majority consider it strange and opposition to it is enormous. But if the same thing is done by many people, others consider it perhaps worth doing and opposition is slight. Therefore I suggest that if women are to liberate slave girls, it would be best to organize a society. If all unite and work together then this would be a simple thing to do. The society might adopt these rules:
1. The society shall be called the Society to Free Slave Girls.
2. Members of the society must all be female.
3. The duty of each member is to free slave girls she owns and to persuade others to fr
ee ones she does not own.
4. The society has no other business.
From these rules we see how easy it would be. Organizing this society could be done with a minimum of red tape since members need only quietly assume their responsibilities. Furthermore, this type of liberation frees one girl at a time; therefore it is easier to carry out than mass liberation. Sincethe girls would continue to reside in their former masters' houses as members of the households, it would be quite easy to carry out.
Some people might say, "This is all very well and good, but what about the slave owners who are not so enlightened? Might they not refuse to free their slaves at your suggestion and maltreat them as usual anyway?"
I would answer, "I have no doubt cases like that will occur. But if four or five people out of every ten free their slaves after listening to me, I will consider my efforts to be half successful." Those who agree to this liberation with their mouths and not their hearts must be persuaded again and again; and if we can convert one or two of them, our success will increase by yet another ten to twenty percent. As for those people who cannot be persuaded, they will soon lose the respect of their peers. Everyone wants face, and I am sure they will change their minds under the pressure of public opinion. Furthermore, the society should investigate the treatment and living conditions of freed slaves and attempt to raise the girls' level of consciousness about themselves and about the world around them. If these three steps are carried out simultaneously, how can the movement not succeed?
I am writing this essay in the hopes that others might carry out my ideas. Originally I intended to launch this movement myself, but then I realized that this society to free slave girls should be organized by women themselves. Since I myself do not own any slave girls, I have none to free. My duty is to write this article and hope that modern educated women will carry this matter to its conclusion.
_Translated by Nancy Gibbs_
## 75 **
RURAL EDUCATION**
_By the nineteenth century, village schools of the type portrayed in selection 66, "The Village Headman and the New Teacher," were commonplace throughout China. Those who could possibly afford to do so sent boys to school for three or four years, generally from about age seven to age eleven, when the boys were not yet old enough to do much productive work. Within three or four years, a student could learn arithmetic and enough characters to read contracts, shop signs, and stories written in the vernacular language. And there was the added attraction that a child who showed extraordinary talent might somehow rise through the civil service examination system. After the abolition of the examinations in 1905, the curriculum of many schools was modernized to include training in science, mathematics, and foreign languages. A major motivation for the change was that those who mastered modern subjects came to have the best prospects; they might gain government scholarships for study abroad, especially in Japan, or at least find jobs in the emerging modern sectors of the coastal cities._
_Below is an account written for a teacher's magazine by You Ziyi about his experiences introducing modern subjects in a small rural school in the vicinity of Shanghai in 1907-8. You was looking back on his experience after twenty years and does not hide his nostalgia for the place and time. Still, from his description something of what it must have been like to be a student or a teacher in such a school can be discerned. One can also see some of the cultural differences that had come to separate those with modern educations from those without._
The events described here took place in a coastal area east of Shanghai at the end of the Guangxu period [1875-1909]. In the fall, I was notified by the ministry of education to take a post in a private rural elementary school, one which still exists.... The principal was an old gentleman from the area who had once been the teacher of one of my colleagues at the ministry. Besides him, there was a teacher who had graduated from the ministry's normal school and had come to the school ahead of me. Thus, one was my senior and the other was my student; I filled in the position between them to form a complete teacher-student relationship....
The school building was to the left of a temple. As a matter of fact, it had been converted from half of the temple.... More than thirty students were in the grade school, each of the four grades having only one class, while only six or seven students were in the extension school. The normal-school graduate took charge of most of the grade-school courses, and I taught one or two subjects, too. For the extension school, the principal and I took care of most of the teaching duties. The old gentleman taught courses like Chinese, history, and geography, while I taught natural science, mathematics, English, and so on. Other courses like drawing, crafts, music, and gymnastics were partly taken care of by the normal-school graduate, and partly combined with the grade-school classes.
Why did the students in a rural extension school have to learn English? At the time, I wondered about that, too. The reason was the environment. There was a need for it, since the place was no more than thirty or forty _li_ away from Shanghai. Many successful figures from this area had struck it rich in Shanghai. In fact, the founder of the school had been a local poor boy before he went to Shanghai and made his fortune by working there. His first fortune came from undertaking a task for a foreigner. Therefore, local people with a little ambition, both parents and children, all wanted to go to Shanghai to pursue their careers. And they always had to know at least a few sentences of some foreign language in order to have a better chance, regardless of whether they aimed at business or industry.
At the very first English class, I asked the students about their ambitions. Almost all of them answered with some goal in Shanghai. One of the students had an interesting answer: "I will first attend the extension school. But, as soon as there's a chance, I'll leave for Shanghai. One of my relatives works as chief cook there. He is now trying to get me a job as a waiter in a big foreign restaurant. To do this, won't I have to know some foreign language?" His father owned the North-South Grocery Store in the town. The little master of a store wanted to go to Shanghai to be a waiter in a foreign restaurant—isn't the temptation of a lucky strike amazingly great? His father often came to the school to chat, and his notions were similar to his son's.
The people there respected me very much because I was sent by the ministry, wore Western-style suits, and could teach their children the language which might someday lead them to acquire a great fortune. Probably they took me as a prototype of the foreign God of Wealth. Who knows! But, in fact, the English I taught was bookish....
Surprisingly, in the first-grade class there were two girls, even though during the Qing dynasty coeducation was prohibited. These two girls were comparatively older and one of them was already engaged to a student in the extension school. (In the countryside, children could be engaged as early as three or five years of age, so being engaged at the age of fourteen or fifteen was not at all unusual.) With some flexibility the old principal admitted the female students, disregarding the regulations. Although he was old, he always encouraged girls to go to school, and, fortunately, there was no one who knew the educational regulations. As long as the head of the school was respected in the community, he could do whatever he pleased. As Heaven was high and the emperor was far away, he did not have to worry about any interference, so long as he was trusted locally. The regulations set by the emperor were not as important as the trust of the local people.
Even for the curriculum of the school, we never followed the imperial regulations. The subject most emphasized in the Qing dynasty was the classics. The old principal himself was expert in them, but he knew that such recondite philosophy was really beyond the children. Therefore, all he offered for the first grade was a course in morality. Even in the extension school, we simply applied the most plausible and practical ideas of the classics to courses like Chinese or history. The local people never criticized the school curricula or activities because they trusted the old principal.
In rural areas up to that time, farmers had never dreamed of extracurricular activities or games after class. The sound of reading was expected from a school, but noise and shouting were taken as signs of naughtiness on the part of the children. How could they be so impolite to the teacher! Should anyone hear gleeful sounds, he would assume the teacher was absent. How could a teacher indulge the students that way!
To eliminate such an ingrained prejudice was not at all an easy job. Therefore, we started with some trial games. At first, we did nothing more than bounce a small rubber ball, and we did that only after class had been dismissed. Subsequently, the students became more and more interested in this. The old principal was no less spirited, and one day he brought a rubber ball filled with rushes. We then organized soccer teams and set up a goal made with bamboo poles on the vacant lot west of the school building. Thereafter, we played soccer before and after class every day.
Parents of some of the students came to the school frequently, and the old principal always explained honestly the importance of exercise: "By nature children want to play around. If we prohibit them from playing in public, they will play secretly anyway, which might be dangerous. In addition to the regular courses, they should be allowed to play. When playing a game, they should follow the rules. Besides, there is always a teacher supervising as an umpire...." These were the best reasons for our extracurricular activities. We preached in this way, and the local farmers believed what we said....
The founder of the school had established a rule limiting each meal to one dish of meat or fish and one kind of vegetable. He wanted frugality to be the fundamental principle of this school, fearing that the rural children would become modern good-for-nothings after they entered a modern school.... Together with the boarders, we sat around one table when we ate and usually had three huge dishes of food. The one in the middle had plenty of meat or fish, while the two on each side were full of the same kinds of vegetables. Vegetables in the countryside were, of course, the cheapest and freshest food.... I had lived at many schools in Shanghai, Wuxi, Nanjing, Hangzhou, and Wuhu. To summarize my experiences, the food of those schools was always so terrible that I would not eat it until I had to. Sometimes I had unpleasant feelings when the matter of dining was even mentioned. But the experience of eating at this rural elementary school was so good that I still feel like talking about it now....
I taught the natural sciences, which at that time was called "physics." In the extension school, this course could be handled as in the regular senior grade schools, all the methods being found in school manuals. However, there was no such course as general science or local geography and history for grade schools, so I had to invent one. First, I divided the grade school into two groups, the advanced class being the third- and fourth-grade students and the elementary class being the first- and second-graders. I taught different topics in the same course at the same time. The materials were the common phenomena observed in that area. I did not confine myself to natural sciences, but also covered the basic notions of geography and history.
The school had very few specimens or pieces of laboratory equipment. At first, I had planned to make a large-scale purchase upon arrival at the school. However, this was not only impossible but actually unnecessary. When I set out from the ministry, I had already given thought to the situation. To supplement my own reference pictures, I asked the department of natural science at the ministry for a biconvex mirror, a set of dissecting instruments, and a few wide- and narrow-necked bottles. These constituted all the apparatus I had for the teaching of natural science. According to present prices, they probably cost me less than five dollars. After arriving at the school, I made a net for catching insects and small water creatures out of three feet of wire, one thin short bamboo stick, and one yard of white cloth.
The subjects of our study were the phenomena observed in the vicinity. How do the white lentils climb up the bamboo fences beside the river bridge? Why is the pumpkin as big as the stone plinth while its flower is as small as a cup? Why does the pumpkin not sweeten until it is dried in the sunshine? These were questions arising from agriculture. There were not very many students in the extension school, which was very convenient for both indoor study and outdoor observation. Our footprints could be found in the cotton field every day. The flowers withered, the fruit grew, the fruit split, and the cotton floss appeared. Various results of observations were reported daily. The students brought some real things to school, together with many questions. The floss came out of the cotton fruit. What is the basic function of the floss for the cotton plant itself? How do human beings make use of the floss? These were typical questions.
What are the names of the water plants, the flowers, and the weeds growing beside the embankment and around the fields? How do they grow up by themselves while the pumpkins and the cotton trees need to be planted? What is the use of the wild flowers and weeds? What harm do they do? These were also the topics of our study. The countryfolk rarely paid attention to the relations between agricultural products and weeds. By investigating them, we found that they were very significant. Thus, research on root preservation and weeding methods became our major topic for quite some time....
What are the dragonflies doing on the water surface? Why did the grasshoppers in the paddy field change from green to brown when the plants dried out? How do they breathe without noses? These are sample questions of our insect study. Inspired, the students caught some insects every day and brought them to the class with all kinds of questions. What are their names? How do they live? What are their advantages and disadvantages? (Advantages and disadvantages were judged by the insects' food and way of life.) The children were mostly motivated by curiosity; real issues of human interest were not their major concern. However, life and the history of life apparently were somewhat romantic. And, to approach the true issues of human interest through the romantic questions about life was much more appropriate for the youngsters. I tried this approach, and it proved to be much more interesting than dealing directly with the issues of interest to the adult world....
In the little river behind the school building there were many aquatic animals. We caught some and kept them in a wide-mouthed bottle which I had brought from the ministry. This actually became a temporary aquarium. How do the fish swim. How do they manage to dive and surface? Since human beings drown if they fall into the water, how is it that fish stay alive in the water but die without it? The school was not far from the coast, and there was a coastal town which was a major market. Our study of the life of fish reminded us of the fish market on the sea. The students thus reported many phenomena which they had been observing since they were young, many of which were totally new to me. Not only did I teach them, they also taught me a lot.... What they reported were the local experiences and legends, and what I taught was the scientific knowledge stated in the books. Combining these two resources, we found some conclusions which we thought were more convincing....
The students told me many legends about ghosts, spirits, and immortals. Although I took them to be fiction, the students deeply believed them to be true. The elimination of superstitions was not at all an easy task to begin. I might passively argue against superstitious legends, but how could a single mouth fight against the beliefs of thousands of people? A much better way was to actively encourage the students to study science. The scientific attitude would make them suspicious of everything and motivate them to seek a thorough solution to every problem, so that they would no longer stick stubbornly to superstitions. For this reason, I did not point out that their fairy tales were nonsense. Instead, I raised some questions to arouse their suspicion about the existence of the ghosts and immortals which they believed in. Moreover, I described the phenomena of gravity, combustion, and so on. I did not get into the issue of whether there are ghosts and gods or not, leaving it to their own future judgment. If I had had a long period of time to work at this, I probably would have been able to uproot the superstitions totally.
In the quiet countryside, we met only a few acquaintances every day. Thus, it was an unusual event when, one day, a tall, thin man with a beard came to visit our school. Not used to seeing visitors from other places, the rural children gathered around him so tightly he could hardly move. After greeting the guest, the principal realized that he was an education inspector sent by the provincial government. A diligent and enthusiastic inspector, he visited a rural school as secluded as ours in spite of how difficult it was to get to. At that moment, I was about to teach general science to the grade school class, so he entered the classroom with me. Standing in the corner, he listened through the entire class....
The provincial education inspector invited the teachers and principals in the vicinity of the provincial capital to attend a meeting at which he evaluated every school in detail. Having a high opinion of our school, he especially extolled me for the general science class I had taught that day, saying that it had been one of the most successful classes in the whole county. He criticized an old teacher for misinterpreting one word in class. However, that old teacher, who was also present, looked the word up in the Kangxi Dictionary right there and proved himself to have been correct. Our principal said that although the old teacher might have no idea at all about modern knowledge and new teaching techniques, he was definitely learned in the classics and could not have made a mistake in interpreting words. The provincial education inspector indeed had undervalued him. Because of that event, the meeting ended in disharmony.
One night, a special messenger came from the ministry. Not knowing what had happened, we were taken by surprise. The Shanghai daily newspaper, which was available in the countryside, had recently reported that the empress dowager and the emperor were both seriously ill. But, since the newspaper was always at least one day getting to us, we had not heard of their deaths yet. Being near Shanghai, the ministry had telephones and was always well-informed. Hence, they already knew of the deaths one after the other. Informed of the proper rites for schools, they sent a special messenger to deliver a mimeographed notice to us, telling us to suspend classes, hang a piece of white cloth, bow three times every day to the north, and weep in mourning.
Early the next morning, the food manager brought the white cloth and hung it on the front gate of the school. We announced the suspension of classes after the students had come. We then removed all the desks and chairs in the grade school classroom to make a temporary hall for the ceremony. In order for so many students to perform the kowtowing ceremony, we needed several dozen kneeling cushions. The clever old principal went to the temple and borrowed all the rush kneeling mats used for religious rites. The mats on which old ladies sat to chant the name of Buddha suddenly became our devices for mourning the death of the empress dowager and the emperor. These kneeling mats were usually used only once a year. That year, however, they were in the spotlight for the second time shortly after they had been used—they certainly were lucky! Perfunctorily we performed the ceremony three times every day: the principal led and the students followed. At first when the students were asked to weep in mourning, they would suddenly burst into naive laughter. If that had happened at a government institution, it would have been regarded as extremely rude. However, in the far-off countryside, no one cared.
With the New Year's vacation approaching, it became time for final exams. I discussed with the old principal and the other teacher the idea of purchasing some rewards for the diligent students in order to encourage studying. We agreed, and during our spare time we went downtown to buy some colorful paper, pens, ink, and such at the stationery store. We tried to make the prizes as accessible as possible: any student who had tried hard in one or two subjects would get at least some reward. On the last day of class, we gave the prizes, which made everyone beam with smiles. In addition, I told the students in the extension school to write to me on the stationery during the vacation. They kept their promises, for I did indeed receive their letters after I returned home.
_Translated by Jane Chen_
* Guanzi and Shang Yang were both political reformers of the first millennium B.C., remembered for strengthening the power of the ruler in an autocratic, non-Confucian way.
## 76 **MY OLD HOME**
_A major achievement of the intellectuals of the Republican period was the creation of a new literary genre, the modern short story. Western literature and literary theories were the stimulus for this activity, but very quickly Chinese writers turned from derivative imitations of Western stories to ones firmly rooted in Chinese experience._
_"My Old Home" was written in 1921 by Lu Xun (1881-1936), the first important fiction writer of the twentieth century and widely considered the best writer of his generation. Sent to Japan on a government scholarship, Lu Xun studied medicine and read Western literature and philosophy. Returning to China in 1909, he taught and began his career as a writer. In 1920 he was offered a position in Beijing University and visited his old home to arrange for moving his mother there. This story concerns that trip and deals with one of the major problems of the new intellectuals: the difficulty they faced in overcoming ingrained class barriers so that they could communicate effectively with ordinary people neither educated nor modern._
Braving the bitter cold, I traveled more than seven hundred miles back to the old home I had left over twenty years before.
It was late winter. As we drew near my former home the day became overcast and a cold wind blew into the cabin of our boat, while all one could see through the chinks in our bamboo awning were a few desolate villages, void of any sign of life, scattered far and near under the somber yellow sky. I could not help feeling depressed.
Ah! Surely this was not the old home I had remembered for the past twenty years?
The old home I remembered was not in the least like this. My old home was much better. But if you asked me to recall its peculiar charm or describe its beauties, I had no clear impression, no words to describe it. And now it seemed this was all there was to it. Then I rationalized the matter to myself, saying: Home was always like this, and although it has not improved, still it is not so depressing as I imagine; it is only my mood that has changed, because I am coming back to the country this time with no illusions.
This time I had come with the sole object of saying goodbye. The old house our clan had lived in for so many years had already been sold to another family, and was to change hands before the end of the year. I had to hurry there before New Year's Day to say goodbye forever to the familiar old house, and to move my family to another place where I was working, far from my old home town.
At dawn on the second day I reached the gateway of my home. Broken stems of withered grass on the roof, trembling in the wind, made very clear the reason why this old house could not avoid changing hands. Several branches of our clan had probably already moved away, so it was unusually quiet. By the time I reached the house my mother was already at the door to welcome me, and my eight-year-old nephew, Hong'er, rushed out after her.
Though mother was delighted, she was also trying to hide a certain feeling of sadness. She told me to sit down and rest and have some tea, letting the removal wait for the time being. Hong'er, who had never seen me before, stood watching me at a distance.
But finally we had to talk about the removal. I said that rooms had already been rented elsewhere, and I had bought a little furniture; in addition it would be necessary to sell all the furniture in the house in order to buy more things. Mother agreed, saying that the luggage was nearly all packed, and about half the furniture that could not easily be moved had already been sold. Only it was difficult to get people to pay up.
"You must rest for a day or two, and call on our relatives, and then we can go," said mother.
"Yes."
"Then there is Runtu. Each time he comes here he always asks after you, and wants very much to see you again. I told him the probable date of your return home, and he may be coming any time."
At this point a strange picture suddenly flashed into my mind: a golden moon suspended in a deep blue sky and beneath it the seashore, planted as far as the eye could see with jade-green watermelons, while in their midst a boy of eleven or twelve, wearing a silver necklet and grasping a steel pitchfork in his hand, was thrusting with all his might at a _zha_ which dodged the blow and escaped between his legs.
This boy was Runtu. When I first met him he was just over ten—that was thirty years ago, and at that time my father was still alive and the family well off, so I was really a spoilt child. That year it was our family's turn to take charge of a big ancestral sacrifice, which came round only once in thirty years, and hence was an important one. In the first month the ancestral images were presented and offerings made, and since the sacrificial vessels were very fine and there was such a crowd of worshipers, it was necessary to guard against theft. Our family had only one part-time laborer. (In our district we divide laborers into three classes: those who work all the year for one family are called full-timers; those who are hired by the day are called dailies; and those who work at New Year, during festivals, or when rents are being collected are called part-timers.) And since there was so much to be done, he told my father that he would send for his son Runtu to look after the sacrificial vessels.
When my father gave his consent I was overjoyed, because I had long since heard of Runtu and knew that he was about my own age, born in the intercalary month, and when his horoscope was told it was found that of the five elements that of earth was lacking, so his father called him Runtu (Intercalary Earth). He could set traps and catch small birds.
I looked forward every day to New Year, for New Year would bring Runtu. At last, when the end of the year came, one day mother told me that Runtu had come, and I flew to see him. He was standing in the kitchen. He had a round, crimson face and wore a small felt cap on his head and a gleaming silver necklet round his neck, showing that his father doted on him and, fearing he might die, had made a pledge with the gods and buddhas, using the necklet as a talisman. He was very shy, and I was the only person he was not afraid of. When there was no one else there, he would talk with me, so in a few hours we were fast friends.
I don't know what we talked of then, but I remember that Runtu was in high spirits, saying that since he had come to town he had seen many new things. The next day I wanted him to catch birds.
"Can't be done," he said. "It's only possible after a heavy snowfall. On our sands, after it snows, I sweep clear a patch of ground, prop up a big threshing basket with a short stick, and scatter husks of grain beneath. When the birds come there to eat, I tug a string tied to the stick, and the birds are caught in the basket. There are all kinds: wild pheasants, woodcocks, wood pigeons, 'blue-backs.'..."
Accordingly I looked forward very eagerly to snow.
"Just now it is too cold," said Runtu another time, "but you must come to our place in summer. In the daytime we'll go to the seashore to look for shells, there are green ones and red ones, besides 'scare-devil' shells and 'buddha's hands.' In the evening when dad and I go to see to the watermelons, you shall come too."
"Is it to look out for thieves?"
"No. If passersby are thirsty and pick a watermelon, folk down our way don't consider it as stealing. What we have to look out for are badgers, hedgehogs, and _zha_. When under the moonlight you hear the crunching sound made by the _zha_ when it bites the melons, then you take your pitchfork and creep stealthily over...."
I had no idea then what this thing called _zha_ was—and I am not much clearer now for that matter—but somehow I felt it was something like a small dog, and very fierce.
"Don't they bite people?"
"You have a pitchfork. You go across, and when you see it you strike. It's a very cunning creature and will rush toward you and get away between your legs. Its fur is as slippery as oil...."
I had never known that all these strange things existed: at the seashore there were shells all colors of the rainbow; watermelons were exposed to such danger, yet all I had known of them before was that they were sold in the greengrocer's.
"On our shore, when the tide comes in, there are lots of jumping fish, each with two legs like a frog...."
Runtu's mind was a treasure-house of such strange lore, all of it outside the ken of my former friends. They were ignorant of all these things and, while Runtu lived by the sea, they like me could see only the four corners of the sky above the high courtyard wall.
Unfortunately, a month after New Year Runtu had to go home. I burst into tears and he took refuge in the kitchen, crying and refusing to come out, until finally his father carried him off. Later he sent me by his father a packet of shells and a few very beautiful feathers, and I sent him presents once or twice, but we never saw each other again.
Now that my mother mentioned him, this childhood memory sprang into life like a flash of lightning, and I seemed to see my beautiful old home. So I answered:
"Fine! And he—how is he?"
"He?... He's not at all well off either," said mother. And then, looking out of the door: "Here come those people again. They say they want to buy our furniture; but actually they just want to see what they can pick up. I must go and watch them."
Mother stood up and went out. The voices of several women could be heard outside. I called Hong'er to me and started talking to him, asking him whether he could write, and whether he would be glad to leave.
"Shall we be going by train?"
"Yes, we shall go by train."
"And boat?"
"We shall take a boat first."
"Oh! Like this! With such a long moustache!" A strange shrill voice suddenly rang out.
I looked up with a start, and saw a woman of about fifty with prominent cheekbones and thin lips. With her hands on her hips, not wearing a skirt but with her trousered legs apart, she stood in front of me just like the compass in a box of geometrical instruments.
I was flabbergasted.
"Don't you know me? Why, I have held you in my arms!"
I felt even more flabbergasted. Fortunately my mother came in just then and said:
"He has been away so long, you must excuse him for forgetting. You should remember," she said to me, "this is Mrs. Yang from across the road.... She has a beancurd shop."
Then, to be sure, I remembered. When I was a child there was a Mrs. Yang who used to sit nearly all day long in the beancurd shop across the road, and everybody used to call her Beancurd Beauty. She used to powder herself, and her cheekbones were not so prominent then nor her lips so thin; moreover she remained seated all the time, so that I had never noticed this resemblance to a compass. In those days people said that, thanks to her, that beancurd shop did very good business. But, probably on account of my age, she had made no impression on me, so that later I forgot her entirely. However, the Compass was extremely indignant and looked at me most contemptuously, just as one might look at a Frenchman who had never heard of Napoleon or an American who had never heard of Washington, and smiling sarcastically she said:
"You had forgotten? Naturally I am beneath your notice...."
"Certainly not... I..." I answered nervously, getting to my feet.
"Then you listen to me, Master Xun. You have grown rich, and they are too heavy to move, so you can't possibly want these old pieces of furniture any more. You had better let me take them away. Poor people like us can do with them."
"I haven't grown rich. I must sell these in order to buy...."
"Oh, come now, you have been made the intendant of a circuit, how can you still say you're not rich? You have three concubines now, and whenever you go out it is in a big sedan-chair with eight bearers. Do you still say you're not rich? Hah! You can't hide anything from me."
Knowing there was nothing I could say, I remained silent.
"Come now, really, the more money people have the more miserly they get, and the more miserly they are the more money they get...." remarked the Compass, turning indignantly away and walking slowly off, casually picking up a pair of mother's gloves and stuffing them into her pocket as she went out.
After this a number of relatives in the neighborhood came to call. In the intervals between entertaining them I did some packing, and so three or four days passed.
One very cold afternoon, I sat drinking tea after lunch when I was aware of someone coming in, and turned my head to see who it was. At the first glance I gave an involuntary start, hastily stood up and went over to welcome him. The newcomer was Runtu. But although I knew at a glance that this was Runtu, it was not the Runtu I remembered. He had grown to twice his former size. His round face, once crimson, had become sallow and acquired deep lines and wrinkles; his eyes too had become like his father's, the rims swollen and red, a feature common to most peasants who work by the sea and are exposed all day to the wind from the ocean. He wore a shabby felt cap and just one very thin padded jacket, with the result that he was shivering from head to foot. He carried a paper package and a long pipe, nor was his hand the plump red hand I remembered, but coarse and clumsy and chapped, like the bark of a pine tree.
Delighted as I was, I did not know how to express myself, and could only say:
"Oh! Runtu—so it's you?..."
After this there were so many things I wanted to talk about, they should have poured out like a string of beads: woodcocks, jumping fish, shells, _zha_.... But I was tongue-tied, unable to put all I was thinking into words.
He stood there, mixed joy and sadness showing on his face. His lips moved, but not a sound did he utter. Finally, assuming a respectful attitude, he said clearly:
"Master!..."
I felt a shiver run through me; for I knew then what a lamentably thick wall had grown up between us. Yet I could not say anything.
He turned his head to call:
"Shuisheng, bow to the master." Then he pulled forward a boy who had been hiding behind his back, only a little paler and thinner, and he had no silver necklet.
"This is my fifth," he said. "He's not used to company, so he's shy and awkward."
Mother came downstairs with Hong'er, probably after hearing our voices.
"I got your letter some time ago, madam," said Runtu. "I was really so pleased to know the master was coming back...."
"Now, why are you so polite? Weren't you playmates together in the past?" said mother gaily. "You had better still call him Brother Xun as before."
"Oh, you are really too... What bad manners that would be. I was a child then and didn't understand." As he was speaking Runtu motioned Shuisheng to come and bow, but the child was shy, and stood stock-still behind his father.
"So he is Shuisheng? Your fifth?" asked mother. "We are all strangers, you can't blame him for feeling shy. Hong'er had better take him out to play."
When Hong'er heard this he went over to Shuisheng, and Shuisheng went out with him, entirely at his ease. Mother asked Runtu to sit down, and after a little hesitation he did so; then leaning his long pipe against the table he handed over the paper package, saying:
"In winter there is nothing worth bringing; but these few beans we dried ourselves, if you will excuse the liberty, sir."
When I asked him how things were with him, he just shook his head.
"In a very bad way. Even my sixth can do a little work, but still we haven't enough to eat... and then there is no security... all sorts of people want money, there is no fixed rule... and the harvests are bad. You grow things, and when you take them to sell you always have to pay several taxes and lose money, while if you don't try to sell, the things may go bad...."
He kept shaking his head; yet, although his face was lined with wrinkles, not one of them moved, just as if he were a stone statue. No doubt he felt intensely bitter, but could not express himself. After a pause he took up his pipe and began to smoke in silence.
From her chat with him, mother learned that he was busy at home and had to go back the next day; and since he had had no lunch, she told him to go to the kitchen and fry some rice for himself.
After he had gone out, mother and I both shook our heads over his hard life: many children, famines, taxes, soldiers, bandits, officials and landed gentry, all had squeezed him as dry as a mummy. Mother said that we should offer him all the things we were not going to take away, letting him choose for himself.
That afternoon, he picked out a number of things; two long tables, four chairs, an incense burner and candlesticks, and one balance. He also asked for all the ashes from the stove (in our part we cook over straw, and the ashes can be used to fertilize sandy soil), saying that when we left he would come to take them away by boat.
That night we talked again, but not of anything serious; and the next morning he went away with Shuisheng.
After another nine days it was time for us to leave. Runtu came in the morning. Shuisheng did not come with him—he had just brought a little girl of five to watch the boat. We were very busy all day, and had no time to talk. We also had quite a number of visitors, some to see us off, some to fetch things, and some to do both. It was nearly evening when we left by boat, and by that time everything in the house, however old or shabby, large or small, fine or coarse, had been cleared away.
As we set off, in the dusk, the green mountains on either side of the river became deep blue, receding toward the stern of the boat.
Hong'er and I, leaning against the cabin window, were looking out together at the indistinct scene outside, when suddenly he asked:
"Uncle, when shall we go back?"
"Go back? Do you mean that before you've left you want to go back?"
"Well, Shuisheng has invited me to his home...." He opened wide his black eyes in anxious thought.
Mother and I both felt rather sad, and so Runtu's name came up again.
Mother said that ever since our family started packing up, Mrs. Yang from the beancurd shop had come over every day, and the day before in the ash-heap she had unearthed a dozen bowls and plates, which after some discussion she insisted must have been buried there by Runtu, so that when he came to remove the ashes he could take them home at the same time. After making this discovery Mrs. Yang was very pleased with herself, and flew off taking the dog-teaser with her. (The dog-teaser is used by poultry keepers in our parts. It is a wooden cage inside which food is put, so that hens can stretch their necks in to eat but dogs can only look on furiously.) And it was a marvel, considering the size of her feet, how fast she could run.
I was leaving the old house farther and farther behind while the hills and rivers of my old home were also receding gradually ever farther in the distance. But I felt no regret. I only felt that all around me was an invisible high wall, cutting me off from my fellows, and this depressed me thoroughly. The vision of that small hero with the silver necklet among the watermelons had formerly been as clear as day, but now it suddenly blurred, adding to my depression.
Mother and Hong'er fell asleep.
I lay down, listening to the water rippling beneath the boat, and knew that I was going my way. I thought: although there is such a barrier between Runtu and myself, the children still have much in common, for wasn't Hong'er thinking of Shuisheng just now? I hope they will not be like us, that they will not allow a barrier to grow between them. But again I would not like them, because they want to be akin, all to have a treadmill existence like mine, nor to suffer like Runtu until they become stupefied, nor yet, like others, to devote all their energies to dissipation. They should have a new life, a life we have never experienced.
The access of hope made me suddenly afraid. When Runtu asked for the incense burner and candlesticks I had laughed up my sleeve at him, to think that he still worshipped idols and could not put them out of his mind. Yet what I now called hope was no more than an idol I had created myself. The only difference was that what he desired was close at hand, while what I desired was less easily realized.
As I dozed, a stretch of jade-green seashore spread itself before my eyes, and above a round golden moon hung in a deep blue sky. I thought: hope cannot be said to exist, nor can it be said not to exist. It is just like roads across the earth. For actually the earth had no roads to begin with, but when many men pass one way, a road is made.
_Translated by Yang Hsien-yi and Gladys Yang_
## 77 **
THE SPIRIT OF THE MAY FOURTH MOVEMENT**
_On May 4th, 1919 more than three thousand students from thirteen Beijing universities assembled at the Gate of Heavenly Peace to protest the Versailles Peace Conference's decision to uphold Japan's claims to parts of Shandong province that had previously been held by Germany. After some students broke through police lines to beat up the ambassador to Japan and set fire to the home of one official, the governor suppressed the demonstrators and arrested their leaders. These actions in turn set off a wave of protests around the country in support of the Beijing students and their cause. In subsequent years, the term "May Fourth Movement" came to stand for the efforts of students and other young people to take on the task of national salvation._
_The account below describes the experiences of one young woman student in the days of the first wave of protests. It was written many years later by Deng Yingchao (1904-1992). A few years after the events described here she married the Communist Party activitist Zhou Enlai (1898-1976). In later years she came to play an active role in party affairs, particularly women's issues._
When the May Fourth Movement took place in 1919,1 was only sixteen years old, a student at the Tianjin Women's Normal College.... On May 4, 1919 students in Beijing held a demonstration asking the government to refuse to sign the Versailles Peace Treaty and to punish the traitors at home. In their indignation, they burned the house at Zhaojialou and beat up Lu Zhongxiang, then Chinese envoy to Japan. The following day, when the news reached Tianjin, it aroused the indignation of students there who staged their own demonstration on May 7th. They began by organizing such patriotic societies as the Tianjin Student Union, the Tianjin Women's Patriotic Society, and the Tianjin Association of National Salvation. We had no political theory to guide us at that time, only our strong patriotic enthusiasm. In addition to the Beijing students' requests, we demanded, "Abrogate the Twenty-One Demands!" "Boycott Japanese Goods!" and "Buy Chinese-made goods!" Furthermore, we emphatically refused to become slaves to foreign powers!
Despite the fact that it was a patriotic students' demonstration, the Northern warlord government of China resorted to force to quell the protest. The police dispersed the march with rifles fixed with bayonets and with hoses; later they resorted to rifle butts and to even arrest. However, our political awareness awakened a new spirit in us during our struggle with the government. New European ideas and culture had poured into China after World War I, and the the success of the 1917 October Revolution in Russia introduced Marxism-Leninism to China.... We did not yet know that to achieve our revolutionary goal, we intellectuals should unite with workers and peasants. We just had some vague idea that Lenin, the leader of the Russian revolution, wanted to liberate the oppressed workers and peasants.
What we did know intuitively was that alone we students did not have enough strength to save China from foreign powers. To awaken our compatriots, we organized many speakers' committees to spread propaganda among the people. I became the head of the speakers' group in the Tianjin Women's Patriotic Society and in the Tianjin Student Union. Frequently we gave speeches off campus. At first, we women did not dare give speeches on the street due to the feudal attitudes that then existed in China. So the female students went instead to places where people had gathered for an exhibition or a show, while the male students gave speeches in the street to passersby. There were always a lot of listeners. We told them why we should be united to save our country; that traitors in the government must be punished; and that people should have the right to freedom of assembly and association. We talked about the suffering of the Korean people after their country was conquered; and we publicly lodged our protests against the Northern warlord government that persecutes progressive students. Usually tears streamed down our cheeks when we gave our speeches and our listeners were often visibly moved.
In addition to making speeches we also visited homes in out-of-the-way places and slum areas. We went door to door to make our pleas, and some families gave us a warm welcome while others just slammed the door on us. However, nothing could discourage us. One day during summer vacation, we went to the suburbs to give speeches. On our way back to the city, we got caught in a downpour. Everybody was soaking wet, just like a drowned chicken! The next day, however, everyone was ready to go again.
We delivered handbills and published newspapers to spread our patriotic enthusiasm even further. The Student Union newspaper, for example, was run by the Tianjin Student Union and each issue sold more than twenty thousand copies—a considerable number at that time! It was originally published every three days; however, later it was increased to every day. Its editor-in-chief was Zhou Enlai. The Women's Patriotic Society also published a weekly. Both papers reported foreign and national current events, student movements across the country, student editorials, progressive articles, and cultural and art news.
The reactionary Northern warlord government, however, turned a deaf ear to us. They ultimately bowed to Japanese powers, shielded the traitors, and tried to suppress the student movement. At that time people were denied expressing their patriotic views. So what we then struggled most urgently for was freedom of assembly and association; the right to express one's political views; and freedom of the press. United under these common goals, we struggled bravely.
Various associations for national salvation in Tianjin decided to organize a general mass meeting of the residents of Tianjin on October 10, 1919. The purpose was to demand that the officials who betrayed China be punished and to call on local residents to boycott all Japanese goods. A march was scheduled at the conclusion of the meeting. Prior to the meeting, however, news spread that Yang Yide, the chief of the police department, was going to disband the meeting and if necessary use force to stop the march. We were not frightened, but got ready to fight back if fighting broke out. During the meeting, female students stood at the periphery of the group so that we could be the first to escape if the meeting were broken up by the police. We chose strong bamboo poles to carry our banners since they could be used as weapons if needed.
Shortly after we began the meeting, a group of policemen arrived, surrounded the group, and instantly pointed their rifles at us. Our meeting continued as if nothing had happened. It was not until it was time to assemble for the march that conflict occurred. The police refused to let us pass. So finally we just charged at them, shouting, "Policemen should be patriotic, too!" "Don't strike patriotic students!" The police hit with their rifle butts and many students were beaten. Some even broke their glasses. We fought back with our bamboo poles. Then some students knocked off the policemen's hats so that when they bent down to retrieve them, it gave us a means of escape.
Just at that moment, the speakers from the Tianjin Student Union arrived in the back of a truck. With them helping on the outside, we broke through the encirclement and the march began! We marched around the city until daybreak the next day. It was not until we had lodged protests against Yang Yide for his savage treatment of the students that we finally ended the demonstration. Yang's ruthlessness had so aroused our indignation, that we women broke with tradition and the next day appeared on the streets proclaiming Yang Yide's cruelty towards students to all who passed by.
After the October 10th incident, the situation worsened. In November, the'Tianjin Association for National Salvation was closed down and twenty-four leaders were arrested. Soon the Tianjin Student Union was also disbanded. But we continued our progressive activities secretly and found a room in a student's home in the concession area to use as our office. A concession area was a track of land in a Chinese port or city leased to an imperialist power and put under its colonial rule.
In December of that year another confrontation occurred. That day the students gathered around the office building of the provincial government to present a petition to Governor Cao Rui, asking for the release of the arrested students and for the various national salvation associations to be allowed to resume operation. However, not only did he refuse to receive us, but he had the gates locked and posted armed guards. Our representatives, Zhou Enlai, Guo Longzhen (a woman), and Yu Fangzhou, managed to get in from a hole under the door. They were beaten once they were inside. The students became more indignant and refused to leave. At midnight, the armed guards drove the students away by brutal force, hitting students with bayonets and rifle butts and spraying them with columns of water. Many students were wounded and some had to be sent to the hospital. In this we saw clearly the ferocious face of the reactionary government and that freedom and democratic rights could not be gained without a fierce struggle.
In the following year, we shifted our priority to rescuing the arrested students. We struggled to win over public sentiment, fought against illegal arrests, and asked for public trial of our representatives. It was not until that summer, however, that all twenty-eight of those who had been arrested were finally released.
During the movement, not only were we suppressed by the reactionary government, but were suppressed by the college authorities as well. They ordered students not to leave the campus to take part in any progressive activities. On May 7, 1920, a group of us from the Women's Normal College planned to attend a meeting commemorating the May 7th Incident, the day the Japanese government sent an ultimatum to the Chinese government urging it to sign the Twenty-One Demands. When we were ready to leave, we discovered college authorities were refusing to let us. A confrontation ensued and resulted in our eventually forcing open the gate and attending the meeting.
When we returned, much to our surprise, a notice had been posted that all the students who had attended the meeting—a total of two hundred—were expelled! How enraged we were! We decided to leave the college as soon as possible. Our dedication to our patriotic duty was so strong that we were ready to sacrifice anything for the goal of national independence! Without any rest or supper we spent the night packing our luggage. When we were ready to leave en masse, luggage in hand, we again discovered that the gate had been locked. In addition to this, they had cut off our communication with the outside world by locking up the telephone room. This time the confrontation lasted through the night and into the morning of the next day when all two hundred of us left the college. One week later, public pressure forced them to reinstate us, and we immediately returned to school.
The women's liberation movement was greatly enhanced by the May Fourth Movement; this became an important part of the movement. And slogans such as "sexual equality," "freedom of marriage," "coeducational universities," "social contacts for women," and "job opportunity for women," were all put forward. In Tianjin we merged the men's students union with the women's. Fearing that public opinion would be against it, some of the women were hesitant at first. However, the male and female activists among us took the lead and we worked together bravely to overcome all obstacles. In our work, we were equal and we respected each other. Everyone worked wholeheartedly for the goal of saving China, and we competed with each other in our efforts. Women students, particularly the more progressive ones, worked especially hard for we knew we were pioneers among Chinese women to show that women are not inferior to men. Inspired by the new ideals, the progressive men students broke down the tradition of sexual discrimination and treated us with respect. For example, each department of the student union had one male and one female in charge. In addition, women had equal say in decision making. The men and women's student union in Beijing admired us for our brilliant work and merged afterwards.
At this time cultural movements were developing rapidly and students were receptive to publications which promoted new ideas. In Beijing, for example, there were _New Youth, Young China,_ and _New Tide_ magazines. In Tianjin, the Student Union every week would invite a progressive professor (such as Li Dazhao) to give us an academic lecture on new literary ideas such as how to write in vernacular Chinese rather than in classical stereotyped writings. Today these things are commonplace, but then it was very new and important. As more scientific subjects and new ideas poured into China, we felt an urgency to learn, discuss, study, and understand them. Thus by the end of that summer, a small well-organized group—the Awakening Society—was established by twenty of the more progressive student activists. I was the youngest in the Society. Although I often heard other members talking about such thing as socialism or anarchism, I was too young to understand them. At that time we did not have definite political convictions, nor did we know much about Communism. We just had a vague idea that the principle of distribution in the most advantageous society was "from each according to his ability, to each according to his needs." We knew only that a revolution led by Lenin in Russia had been successful, and that the aim of that revolution was to emancipate the majority of the people who were oppressed, and to establish a classless society. How we longed for such a society! But at that time we could not learn about such a society because we could scarcely find any copy of Lenin's ideas or information about the October Revolution.
The Awakening Society existed for only a few months. We lost some members when they were arrested in the incident over the petition to the governor. Others graduated and left Tianjin. Eventually the Society ceased to exist. However, the majority of us eventually joined the Chinese Socialist Youth League established in 1920, or the Communist party established in 1921....
_Translated by Liu Xiaohong_
## 78 **
THE HAIFENG PEASANT ASSOCIATION**
_Among the many foreign ideas and ideologies to attract the attention of intellectuals in the first two decades of the twentieth century was socialism. Particularly after the success of the Bolshevik revolution in Russia in 1917, Marxism gained more and more adherents, and in 1921 the Chinese Communist Party was founded. During the 1920s the main base of support for the new Communist Party was in the cities, among urban intellectuals and unionized factory workers. However, some progress was also made in organizing peasants._
_Below is an account by Peng Pai (1896-1929) of his pioneering attempts to found peasant unions in 1921-1923. Peng became interested in agrarian socialism while a student in Japan from 1918 to 1921. On his return he joined the Communist Party and began to put his ideas into practice. The account below covers the period of his initial success. He later had to flee Haifeng when the local military authorities decided to suppress the unions._
#### **
THE BEGINNING OF A PEASANT MOVEMENT**
In May, 1921, I was the head of the Education Bureau of Haifeng county. Still dreaming of realizing social revolution through education, I called for all the students in the county, most of whom were children of the wealthy, to celebrate the "May First" Labor Day at the county seat. That was an event unprecedented in the history of Haifeng. Not one single worker or peasant participated in the celebration. The pupils of the First Elementary School paraded the streets, holding red banners with "join the reds" written on them. It was truly childish. The gentry class of Haifeng thought that we were now going to practice property sharing and wife sharing, and they started numerous rumors, attacking us before [the governor] Chen Jiongming. As a result, I was discharged from my duties, and, one after another, all the progressive teachers and school principals I had appointed also lost their positions.
At that time we were fighting a confusing battle with Chen Jiongming's hometown paper, the _Lu An Daily._ Along with comrade Li Chuntao and others I published a few issues of _Red Heart Weekly_ as the mouthpiece of the workers and peasants. In fact, not a single worker on the streets or peasant on the farm was behind our journal or even had a hint of what we were doing. One day when I returned home, my little sister tried to prevent me from entering the house. She said, "I don't know why, but mother is crying and says she is going to kill you." First I thought she was joking, but when I went into the family hall, I saw that indeed my mother was weeping.
It turned out my seventh younger brother had gotten hold of a "Letter to Peasants" which we published in the _Red Heart Weekly_ and read the essay aloud. When my mother happened to hear it, tears flowed down her cheeks. Finally she burst out into loud wails, crying, "Our ancestors must have failed to accumulate virtue, for here we have a prodigal son. Your grandfather worked hard for what we have today. If you carry on like this, our family will certainly be ruined!" I tried my best to console her, and she finally calmed down.
At that time it occurred to me that if the peasants could read this essay, they would be very happy, perhaps as happy as my wailing mother was upset. Besides, I was confident that peasants could be organized. Consequently, I abandoned the senseless war of words with the _Lu An Daily_ and took up practical action in the farm villages. At the time, all my local friends were against it. They said, "Peasants are extremely disorderly. You won't be able to organize them. Plus, they are ignorant and resistant to campaigns of any kind. You'll just be wasting your energy."
My family could be considered a large landowner. Every year we would collect about one thousand piculs of grain and had over fifteen hundred peasants under our control. Since my family had less than thirty members altogether, each member had fifty peasants as slaves. Consequently, when they heard that I wanted to start a peasant movement, my relatives all hated me with a passion (except for my third elder brother and fifth younger brother). My oldest brother would have liked to kill me, as would all the others in our lineage and village. The only thing I could do was ignore them.
On a certain day in May, I started my own campaign for the peasant movement. The first place I went to was a village in Red Mountain. I was dressed in a white western-style student suit and wore a white hat. A peasant about thirty years of age was mixing manure in front of the village. When he saw me coming, he said, "Sir, how are you? Are you here to collect taxes? We are not putting on a play here."
"No, I'm not here to collect taxes for plays," I replied. "I'm here to be your friend. I know you have hardships, and I would like to talk with you."
To which the peasant said, "Yup, hardships are our destiny. So long now. We don't have the leisure to talk with you. Excuse me." And he hurried away.
After a little while, another peasant came along. He was a little over twenty and seemed more sensible. He asked me, "Sir, to which battalion do you belong? What is your rank? What is your business here?"
I replied, "I am not an official nor a military officer. I was a student, and I've come here to make friends with you."
He laughed and said, "We are useless people, unworthy of aristocrats like you. You must be kidding! Good-bye." Without a moment's hesitation, he turned and walked away. I was going to say something, but he had already gone too far to hear me. I became very distressed, especially when I recalled my friends' warning that my efforts would be a waste of energy.
When I was entering a second village, the dogs bared their teeth at me and barked fiercely. I took this demonstration of power for a sign of welcome and went straight into the village. But then I saw that all doors were locked. The villagers had all gone into town or into the fields. By the time I hurried to a third village, it was already twilight, and I was afraid that the villagers might suspect me of foul play, so I didn't go in. Instead, I headed for home.
Arriving home, I found that not one soul in my own family would talk to me. I had become an enemy. They had already eaten, and the only thing left was some rice gruel. I had a bit of the gruel and went to my room. I opened my diary and tried to record my achievements for that day, but all I could write was a big zero.
I spent all night trying to figure out methods that would work. At dawn I crawled out of my bed, had a bite of breakfast, and went back to the villages. On my way, I saw many peasants coming into the city, carrying bundles of potatoes or urine barrels on a pole over their shoulders. Whenever I met them on a narrow road, I would respectfully step aside to let them pass. Now, city folks usually would not make way for country folks. Instead, peasants who carried loads had to make way for the empty-handed city people. Thus I figured that at least some of the peasants would notice my respect towards them.
I found myself back at the village I had visited the day before. This time I encountered a peasant of forty, who asked me, "Sir, are you here to collect land rent?"
"No, no, I am here to help you collect your due. Someone owes you money, and you've forgotten it. I'm here to remind you."
"What!" the man exclaimed. "I'll be lucky not to owe others money. Who'd owe anything to me?"
"Don't you know?" I told him. "The landlords owe you a lot. Year in and year out, they sit at home and do nothing, and you work in the fields until you drop dead. In the end they are the ones who get the yields as rent. The piece of land worth at most one hundred dollars has been tilled by you for a hundred, a thousand years—and how much grain have you submitted to the landlords? We think it's really unfair. That's why I'm here to talk with you, to find out a way to get even with the landlords."
The man smiled and said, "That'll be great indeed! But we will be locked up and beaten up if we only owe them a pint or a tenth of a pint. Such is fate—those who collect rent always collect rent, and those who till the fields always till the fields. Goodday, sir. I've got to go to town."
"Big brother, what is your name?" I asked.
"My name is—uh, I live in this village. Come again when you have time."
I realized that he was unwilling to tell me his name, and decided not to press him.
There were women working in the village, but most men were out in the fields. Since it was not proper for me to talk to women, I lingered for a long while, but finally moved on to another village.
Although I went through several villages that day, the result was the same as the day before: zero. The only difference was that in my diary I wrote down a few more sentences.
That evening, two things suddenly occurred to me. First, my language was too formal and refined; much of it was lost on the peasants. I would have to translate the jargon into everyday language. Second, my appearance, physique, and clothing were all different from the peasants'. They had long been oppressed and cheated by those who looked different, and naturally suspected that I was an enemy. Also, my appearance indicated my class, and thereby alienated the peasants. I decided, therefore, to wear simpler things. I also came up with a new plan. The next day, instead of going to the villages, I would go to the crossroads where I would meet more peasants.
The next day, I went to a main road in front of Longshan Temple. This road was the principal artery for traffic between the Red Mountain, Beihu, Chi'an, and Hekou regions. Every day, countless peasants passed by and rested in front of the Temple. I took this opportunity to talk to them, explaining the reasons for their hardships and the remedies, pointing out to them the evidence of landlords' oppression and discussing the necessity for the peasants to unite. At first I was talking to only a few people, but as the listeners increased, I began giving speeches. The peasants were, however, only half credulous. On that day, four or five peasants actually talked to me, and a dozen or more listened. It was a great achievement.
#### **
THE UNITED STRUGGLE OF SIX PEOPLE**
After that day, I spent two weeks at intersections, talking to the peasants who passed by or giving speeches. Those who talked to me increased to a dozen or so, and my audience now consisted of thirty or forty, a major step forward. One day, as I walked into town, I noticed something rather peculiar about how people in the stores looked at me. Then, many relatives started to come to see me, bringing food with them, and asking about my "illness." I was really puzzled. Later, a servant told me, "You'd better just stay home and rest from now on." I asked him why, and he replied, "The people out there all say you've gone mad. You ought to rest and take care of yourself." I almost died of laughter. I later discovered that it was a rumor started by the gentry, but many peasants in the villages also believed that I was insane. They seemed to be afraid of me and tried to avoid me. Nevertheless, I continued my campaign in front of Longshan Temple.
One day I gave a speech, saying that if the peasants could unite, they would be able to reduce their rent, and the landlords would be powerless. The various oppressive measures such as the three lease rules, presents to landlords, home delivery of rent, rent increases, and suspension of leases could all be eliminated. At this moment a peasant about forty years old shouted in a loud voice, "You're just shooting off your mouth! All this talk of reducing rent! As long as your family's Minghe estate keeps harassing us for rent, I won't believe a word of it."
Before I could make a reply, a young peasant beside me stood up and retorted. "You're wrong," he said. "The land you till belongs to Minghe. If Minghe reduces its rent, only you benefit. What about me? I don't till Minghe's land. The problem is not how to plead for the lowering of rents, but whether we can unite as a group. This is like a chess game; victory belongs to those who have the best strategies. If we do not have any strategy, we will eventually lose, and it will be no use begging from others. We are not talking about your personal problems, but the problems of the majority."
I was very happy to hear this and said to myself, "Here is a comrade!" After asking his name, I invited Mr. Zhang Maan to come to my place to talk that night. I expressed my joy when he arrived, and he said to me, "Often, after listening to your speech, we argue with the villagers who are still 'asleep.' They are always afraid that you are telling lies. But a few of us really believe you."
"Who are they?" I asked.
He named Lin Pei, Lin Huan, Li Laosi, and Li Sixian. "They are all good friends of mine," he added.
"Do you think we should ask them to join our discussion? Would you go get them while I prepare some tea?"
He agreed, and in a little while the tea was ready and Zhang came back with his friends, all young peasants under thirty who spoke and acted enthusiastically. After I learned their names, I started to talk about the peasant movement with them. I raised difficult problem, "Every day I go to the villages to propagate my ideas, but the peasants pay no attention to me and refuse to talk. Do you have a solution?"
Lin Pei said, "The reasons are, first, the peasants are too busy. Second, what you say is too profound; sometimes even I can't understand you. Third, you lack people you know to lead the way. The best time for us to go is around seven or eight at night, when there is a lot of free time in the villages. Then you need to make things easier to understand. And we can also lead the way for you."
When I heard what he said, I realized how smart he was. He also warned me in a very serious manner that I should never show any contempt for the gods when I talk to the peasants. This was a comment that gave me even more respect for him.
"Let's start a peasants' union now," suggested Li Laosi. "If more people join us, that's great; but even if no one joins, we'll keep it going. How does that sound?"
"Great idea," I said. "Tomorrow I'll go with two of you to the villages, and at night we'll make a public speech." They all thought that was a good plan, and it was decided that Zhang Maan and Lin Pei should go with me the next morning.
We continued our discussion for a long time. After the meeting, I wrote "Victory is in sight."
The next morning, after breakfast, my peasant friends Zhang and Lin came to get me, and we went to the villages around Red Mountain. Because of their introduction, the villagers felt close to me and talked to me sincerely. I asked them to come to the lecture that night, and they responded enthusiastically. When evening came, they had tables, chairs, and lights all prepared for me. I had an audience of sixty to seventy. Children were in front, men behind them, and women in the rear. I talked about the causes of the hardships peasants endured, the facts of landlords' exploitation, and the ways to peasants' liberation. I used the question-and-answer format, and the peasants approved of what I said. I also came to know that they could understand me. I concluded my speech by saying that the next time I would play a phonograph and give a magic show. I promised to let them know in advance.
The next day we went to other villages, and the results were equally encouraging. On the third day I announced that I would give a magic show and a lecture. When the time came, more than two hundred peasants turned up. They applauded my show and listened to my lecture. For the next week or two I used this method, which proved very successful. But I began to notice that Lin Pei and Zhang Maan appeared pensive, distressed, and listless. I thought that the landlords must have started rumors that made them worry, so I asked them what was wrong. At first they wouldn't say anything, but when I pressed, one of them said, "Our parents and brothers are very upset because we spend our time with you instead of working in the fields. My parents scolded me, saying 'You hang around with Peng Pai. Peng Pai won't starve to death, but you sure will!' This morning when I was leaving the house, my father came very close to hitting me. And it's not just my parents; my wife and my brothers are equally upset. That's why I'm dejected."
After deliberating for a long time, the three of us came up with a plan. I went and borrowed three silver dollars from a friend, and gave them to Lin Pei. When Lin returned home that day, he took the coins out of his pocket, counted them, and dropped them on the floor, making noises. Sure enough, his mother asked him where he had gotten the money. He answered, "Who'd go out there without pay? Do you think I only run around for fun? I'm doing this for money." When his mother heard this, her anger turned into joy. His brothers also stopped their criticism. His wife, of course, was only too delighted to see that her husband had money. After this act, Lin Pei turned the money over to Zhang Maan, who also did the same thing in front of his mother, with equal triumph. The money was then returned to my friend. This ruse bought us about a week's time, during which Lin and Zhang could work hard. They progressed rapidly and were actually able to give speeches afterwards.
However, nothing was more difficult than asking the peasants to join the union. They would always say, "I'm all for it. When everyone else has joined, I will certainly do so." We explained to them that if everyone were to think that way, the peasants' union would not be a reality in even a thousand years. We told them that joining the union is like crossing a river. On this shore is hardship, on the other side happiness; each and every one of us is afraid of drowning, and no one dares to be the first to cross the river, but by joining the union we can cross the river together, hand in hand. We described the peasants' union as an organization of mutual assistance in which all members are as close as brothers. Some of the peasants were persuaded by our argument and agreed to join in, but when I wrote down their names in a register, others became apprehensive and hurried away. I had to stop using the register. Still we could only enlist a couple of people in a week, and after over a month's effort, we only had around thirty members.
At about this time, an accident happened in the Yunlu village of Red Mountain. The daughter-in-law of a member of our union, who was only six years old, fell into an outhouse and drowned. Thirty or forty people from her family came to Yunlu. They charged our member with murder and were determined to avenge the girl's death. The thirty members of our union held a meeting to decide on countermeasures, and we agreed to go to Yunlu to reason with the avengers. When we arrived, we asked them on what grounds they made their accusations and recorded all their names in a notebook. We bluffed them, saying, "You're all tricked." Not knowing what we had up our sleeves, they all became apprehensive because their names had been put down on paper. Then a district chief named Zhuo Mengmei came to mediate, suggesting that our friend be punished. He was driven away by the members of the union, and only barely escaped a beating. The avengers were now even more intimidated. They pleaded with us: "At least let us examine the body."
We said to them, "Go ahead, if you dare to. If you're not afraid of being put in jail, you can go right ahead and open up the coffin!" The women were all frightened when they heard the word "jail," and they pulled at the shirts of their men, wanting to go home.
Upon this we pressed even harder for them to leave. They asked us, "We came here on account of our relative. What does it have to do with you?"
"Don't you know we have formed a peasants' union?" we replied. "The union is a union for the poor. Its members are all closely united, closer than real brothers. What concerns one concerns all. Today, this friend of ours is in trouble, and we have come to help him, risking our own lives. Since you are also peasants, someday you will certainly join the union, and once you do so, we'll help you just as we've helped him. Now, why don't you go home."
Crestfallen, they left, and there was not the least bit of damage done to us. News got around, and many peasants learned that the brothers of the union were loyal to each other and were able to help each other. We also used this incident for the purpose of propaganda: "We have no power if we are not united. We will be taken advantage of if we have no power. To have power, join the peasants' union immediately." And membership gradually increased.
Not long afterwards, we found that some peasants would try to get others' land to till, and landlords would increase rent and change tenants. So the union drew up some regulations to prevent such incidents. Briefly, these regulations were:
1. Unless permission is given by the member and by the union, no one may encroach on a member's rented
land.
2. Unless the member relinquishes his lease and the union gives its permission, no one may rent the land already rented to a member of the union. Violators are subject to
severe punishment.
3. In case a landlord takes back his land from a member by means of increasing the rent, and as a result a member's livelihood is in danger, he may ask for help from the union, which will either persuade nearby members to allow him to till part of their land, or will introduce him to another trade.
After the regulations were publicized, there was no longer any competition for land among our members, and the landlords also were afraid to raise the rent of members of the union. At times, nonmembers would fight for the land already rented by our members, but under the advice of the union's representatives, they would usually quickly return the land to the members. Once, a landlord became annoyed and refused to lease his land to the original tenant (i.e., a member of our union). We then announced a boycott, and the landlord, fearing that his land would lie fallow, was forced to lease the land back to the member. This was another victory for us.
When the peasants rowed their boats into the cities to collect nightsoil, etc., local ruffians would force them to pay a fee of two cents to anchor their boats on the pier. If a peasant failed to comply, his rudder would be removed, and to claim his rudder, he had to pay several dollars. The peasants were all annoyed by this, and our union declared that this would have to stop. Our strategy was as follows. Whenever these ruffians passed by the villages or brought their boats by, we would charge tolls. If they refused to pay us, we would also refuse to pay the "pier fee." In this way, the pier fee was abolished without much ado.
We also discovered that peasants easily got involved in quarrels, and as a result allowed themselves to be used by the gentry class. They would file lawsuits in the courts and end up breaking up their families and losing everything they ever owned. For this reason, we sent out notices to the members of the union, telling them that any quarrels or disagreements among members should first be reported to the union. If any member should fail to report a case to the union, but instead went straight to the gentry or the courts, he would be expelled from the union even if he was in the right, and the union would use all its power to support his opponent. When a member of our union had a confrontation with a nonmember, he also had to report to the union. In negotiating with a landlord, if a member did not report to the union, the union would not be responsible for his failure.
From then on, the locus of political power moved from the hands of the gentry and the rich to the peasants' union. The police and judicial branches of the local government witnessed a decrease in "business," which made the policemen and judges resent the union. As the union was able to solve many problems for the peasants and won many victories for them, its membership increased daily.
#### **
FROM THE RED MOUNTAIN UNION TO THE HAIFENG CENTRAL UNION**
By now it was September, 1922. We had about five hundred members, most of whom were from the twenty-eight villages of Red Mountain. So we set a day in September to hold the founding assembly of the peasants' union of Red Mountain. Besides the members, the principal of the high school, Li Yueting, and the principal of the elementary school, Yang Sizheng, attended the assembly and gave speeches. Huang Fenglin was elected as the head of the Red Mountain union. The meeting ended with a tea party, and the members all went home happy. This founding assembly influenced the people of the various villages, and applicants grew in number. On the average we were getting ten new members every day.
The procedure for joining the union was as follows. The applicant had to appear in person at the union headquarters and pay a membership fee of twenty cents. (Originally we had intended to have them pay a registration fee plus yearly or monthly membership dues, but we were afraid that this might be too complicated for them, so, for clarity and propaganda purposes, we decided to charge twenty cents per year. But we planned to change it when the peasants became more experienced as members of the union.) Then they would receive a briefing and a membership card (the words were printed on a blank calling card) like this:
At this time the union issued manifestos and publicized its benefits. In addition, we continued our campaign efforts day and night. In October, we had an average of twenty new members every day. Following the example of Red Mountain, numerous other areas all established their own regional unions. The county seat was now surrounded on all sides by union organizations, and the time had come for us to prepare for a Haifeng central union.
A "Funeral Expenses Co-op" was formed by the union. Any member of the union could join the co-op, and we reached a total of around 150 members. The rule was that for any member who died or who lost a parent, every other member would donate two cents for funeral expenses. The first day this method was announced, a member's father died. The members each put out two cents, which came to more than thirty dollars, and they also went to attend the funeral. The member concerned was delighted. On the fifth day, another member's father died. As the members of the "Funeral Expenses Co-op" could no longer afford the two cents, the union had to advance the money, which was to be paid back by the co-op later on. On the seventh day, a member died, and the union had to advance another thirty dollars. The members of the co-op panicked: five or six people had died within the first ten days; what were they to do if the trend should continue? An assembly was held, and it was decided that the co-op would be temporarily discontinued, and that it would be resumed when the funds of the union became more sufficient.
A medical dispensary was also established. It was located on the main street of Haifeng. The doctor in charge was an enthusiast of the peasants' movement and a trained Western-style physician. Any member of the peasants' union who needed medicine could present his membership card and get a fifty percent discount. Nonmembers could also get medicine, but at the full price. All members were entitled to the free clinic operated by the doctor, whose wife also delivered babies for no charge. Any medicine used in connection with natal care was also half-priced, and usually came to twenty or thirty cents only. This brought many peasants to the dispensary for medicine and for deliveries. We also caught some nonmembers posing as members, using borrowed membership cards. We had to add several regulations on the membership card, restricting its use to members themselves. We also made up a rule that a member must pay two cents for the replacement of a lost membership card.
On the first day of January, 1923, the Haifeng central union was established. The total membership had reached 20,000. And the population within the union's jurisdiction was 100,000, a quarter of the population of the entire county. On that day, more than sixty village representatives of the union came for the assembly, the procedure of which was:
1. The chairman announced the purpose of the assembly.
2. The representatives made their reports.
3. The chairman reported on the preparation for the central union.
4. Speeches.
5. Elections.
6. Discussion of regulations.
7. Proposals.
8. Banquet.
Peng Pai was elected as the president of the union, Yang Qishan the vice-president, Lao Jingqing the treasurer, Lin Pei the manager, Zhang Maan the investigator... (the rest has escaped my mind)....
One problem that we discussed during the assembly was that membership dues might have to be increased to support the central union. We investigated other possibilities and came up with the following idea. Peasants sold their goods in the sweet-potato markets, the sugar markets, the vegetable markets, the bean markets, the rice markets, the firewood markets, the pig markets, and the hay markets, all of which were controlled by the gentry, the local landowners, and the temple priests. We figured that the sweet-potato markets alone must produce at least 500 dollars in income. If we took account of all the markets, then there would be 3000 dollars to 4000 dollars. Could we take over the rights to these markets? If we took over the markets, we would inevitably come into conflict with the gentry. So, the first thing to do was to negotiate with them. If they were stubborn, our plan was to move the sweet-potato market, and within three days, all other markets would follow suit and move to other places. The union then took action. We first made a model scale, and sent a member to the sweet-potato market to supervise the sales. The gentry protested heatedly. The union then put out notices for all the peasants of the county, ordering them to move their sweet potatoes to stands next to their neighborhood union offices and prohibiting them from selling sweet potatoes in the old market. As a result, we won the battle and took control over the sweet-potato market. The income from the market was allocated to support the dispensary....
Concerning the work of the Department of Education, the peasants were afraid of the "new education" program. Whenever the subject was mentioned, fear would show up on their faces.... The union, however, created a new slogan, "peasant education," which meant the founding of peasant schools. Our "peasant education" program was different from the "new education" program. It aimed at teaching peasants to keep accounts so landlords could not cheat them, to write letters, to use the abacus, to write the names of various feeds and agricultural tools, and to operate the union. That was all. The peasants were all for the program. Besides, the union hired teachers for them at a low cost, provided school facilities, and did not charge the students. No wonder the peasants were happy.
Where did the funds for the schools come from? Each village where a peasant school was formed set apart a piece of land of suitable size, and this was the "school's field," rented by the school from a landlord. The seeds and manure were paid for by the union; the tilling tools, animals, and human labor were provided by the students' families, who would divide among themselves the duties of tilling and sowing. When the time came for weeding, the teacher of the school would lead the students to the "school's field," and divide them and the field into four parts. Each group of students would be responsible for a part of the field. A contest would be started, and, in no time, the fields would be pruned, while the students had learned something about farming. When the grain was ripe, the students' relatives again went out to the fields to reap the harvest. The rent was paid to the landlord, and the rest of the harvest became the teacher's salary. Within a month after this system was started, a dozen such peasant schools were founded, including night schools, all of which were under the leadership and supervision of the union's Department of Education. From then on, over 500 village children, hitherto completely deprived of an opportunity for education, attended school....
At this time the Haifeng central union reached its peak of activities. The county magistrate of the time, Weng Guaiqing, who was Chen Jiongming's most trusted man, disapproved of the union, but he dared not ban it, and we were allowed more freedom to develop our programs. Also, the union had by now acquired considerable power. The slogans we used for the peasants were:
1. Reduce rent.
2. Abolish the "three lease rules."
3. Abolish presents to landlords (chickens, ducks, rice, or money).
4. Don't give bribes to the police.
The slogans we used for outsiders were:
1. Improve agriculture.
2. Increase peasants' knowledge.
3. Perform charitable deeds.
Our plan was not to reduce rent until after five years of preparation.
Soon it was the Chinese New Year of 1923. Dragon dancers and music troupes from all the villages came to celebrate, and the union organized a New Year's Festival for all peasants in Haifeng. On the 16th of the first month, the festival was held at the grass carpeted field in front of the Donglin Ancestral Temple at Qiaodong. More than 6000 members and 3000 nonmembers participated, and the banners of each village's bands, dragon dancers, and music troupes danced in the air. The sequence of the festival was (1) music, (2) the chairman announced the purpose of the festival, (3) speeches, (4) songs and music, (5) dragon dances, (6) three cheers for the peasants, (7) firecrackers. The speakers included Peng Pais Huang Fengin, and Yang Qishan, who pointed out that before the proletarian revolution was realized, there could be no joyous New Year, for New Year's Day was a time for the exploiters to oppress us and to demand us to pay our debts. We were now united in our hardships, not in joy. However, this was an opportunity in which we might demonstrate our strength to our enemies, and awaken the spirit of revolution in ourselves. We were prepared for a battle with our enemies. This was the reason why, on the one hand, we felt weighed down by our emotions, but on the other hand elated.
On that day, we issued 2000 new membership cards, and received over 400 dollars in dues. It was the highest point in the history of the union. After that, around 100 new members would join each day, and we could hardly keep up with the work. Every day about 300 peasant friends would come to the union for information, for conversation, and to sign up as members. We were extremely busy.
But we also caught the attention of the landlords, who said, "We didn't think they would succeed. We thought all that talk was nonsense. But now, it actually has happened!"...
_Translated by Clara Yu_
## 79 **
THE DOG-MEAT GENERAL**
_The abolition of the monarchy and the literary civil service examination system did not put an end to abuses of power or incompetence on the part of officials. To the contrary, disorder provided leeway for the rise of warlords, many of whom were not only incompetent and corrupt, but also brutal and destructive._
_Below is an account of Zhang Zongchang (1881-1932), a poor boy who, in less than thirty years, rose from juvenile delinquent to general to governor of a province. When the Nationalist Party succeeded in its Northern Expedition against the warlords in 1928, Zhang retreated to Manchuria, then to Japan. On a visit back to his native area in 1932 he was assassinated by the son of one of his earlier victims. The article below was written after his death, based on the responses a magazine received when it solicited accounts of his cruelties and oppression from its readers._
Zhang Zongchang, nicknamed "Dog-meat General" and "Lanky General," was from Yi county in Shandong. His father was a trumpet player (hired for funeral processions, etc.) and barber, and his mother was a shamaness. At the age of twelve or thirteen, Zhang started helping his father by playing the cymbals. When he was fifteen or sixteen he went with his mother to Yinkou, and worked as a servant in a gambling house, mixing with pickpockets and thieves. The gentry of the town, annoyed, drove him away. He then fled to Guandong [in Manchuria] to join the "bearded bandits." His mother stayed on at Yinkou, and lived with the proprietor of a bathhouse, then with a cobbler, then with a cloth vendor. The cloth vendor, in a fit of jealousy, killed the cobbler, and was sent to jail. Because of this, Zhang's mother was sent into exile. Lacking any means of transportation, she gave herself to a rickshaw puller so that he would take her back to Yi county. In this way she returned to the trumpet player. But the trumpet player was too poor to support her, so he sold her to a grain wholesaler named Jia for some millet. We all know that Zhang Zongchang had two fathers, and this is the explanation.
When the revolution started in 1911, Zhang led about one hundred "bearded bandits" from Guandong to Yantai [in Shandong] to join Commander Hu Ying's army. When Hu resisted the revolutionary forces, Zhang went to Shanghai to join the regiment commander of the revolutionary army. At that time, there was a truce between the North and the South, and the regiment commander resigned, but not before he had made Zhang, who was not only strong but also brave, the leader of his men. Zhang and his army were then reorganized by Commander Cheng Dechuan of Jiangsu. Now called "Juangfu" troops, they were sent to Fengpei and Xiaoyi to put down bandits, and were under the Division Commander Leng Yuqin. When the Second Revolution started and Leng was defeated, Zhang took over Leng's soldiers and gained even more military power. However, because Zhang was connected with Leng, his troops were soon dissolved by Feng Guozhang, the honorary title "model supervisory regiment" given him was but an empty name. From then on, Zhang made a profession of murdering his revolutionary comrades. The assassination of Shanghai's commander, Chen Qimei, was Zhang's doing. Because of this, Zhang was taken into the confidence of Feng Guozhang. When Feng was the national vice-president, he appointed Zhang as the chief of his personal guards....
Zhang was very brave in battle, but he had no mind for strategy. His soldiers were mostly bandits, and therefore very valiant warriors, which by and large accounted for his success in military ventures. But he also had an advisor who assisted him in military maneuvers, the fortune-teller Tong Huagu. During the Fengtian-Zhili war, Zhang was stationed to the east of the Xifeng pass. One day, Zhang came across Tong and went up to him for advice. Tong told him that his physiognomy revealed that he would achieve great distinction. He also predicted that the next day, when the Zhili troops passed by train, the train would derail, and if Zhang would take this opportunity, he could attack them and win a big victory. The next day, Zhang stationed his troops to wait for the Zhili troops. Just as Tong had predicted, the train derailed, and Zhang routed the enemies. At the time of the battle Tong paced back and forth on top of a hill, his hair untied, his mouth uttering words of magic. After the battle, Zhang asked Tong to step down from the hill, and with utmost deference appointed him as his military advisor. From then on, Zhang followed Tong's words to the letter where military action was concerned.
It turned out that the fortune-teller was rather shrewd. The night that he met Zhang, he hired a few peasants to remove the screws connecting the rails over a bridge, thereby causing the derailment. Because he knew Zhang could easily be fooled, he used a fairy tale as a stepping-stone to a career. At any rate, on account of Zhang's military distinctions, he was finally appointed governor of Shandong....
Not long after Zhang became governor, two phrases were heard all over the cities: "Cut apart to catch light" and "listen to the telephone." The former referred to the human heads which were treated like watermelons, cut in halves to bask in the sun; the latter referred to the same, except the heads were hung from telephones poles, and from afar they seemed to be listening on the telephone. At the same time, at the train stations along the Jiaoji and Jinpu lines, people started to hear the strange expression, "My head is my passport; my ass is my ticket." This was because people were being regularly kicked, beaten up, abused in vile language, and spat in the face by the soldiers. To the sights of the city of Jinan there were also added White Russian soldiers, who were drunkards, ruffians, and rapists. Living in Shandong at this time, one could really feel the truth in the saying, "A man's life is worth less than a chicken's."
Soon after Zhang Zongchang came to his post, he unveiled his ugly nature and started his vile deeds. Under his "steel sword" policy, the once-flourishing academies disappeared, the better students fled, and the provincial assembly was silenced. On the other hand, clever people moved with the current and began buttering Zhang up. Upholding the philosophy that "In an age of chaos, don't miss the chance to loot during the fire," they went after offices. From circuit intendants and county magistrates to bureau chiefs, all positions were refilled with much pomp. Whenever these henchmen went to a local district, their first priority was to extort and exploit, so that they could repay past favors and secure future ones, whereas the people were becoming skinnier daily. Too true was the proverb, "In the official's house, wine and meat are allowed to rot, but on the roads are the bones of those who starved to death."
Zhang Zongchang came to Shandong in June of 1925, and he fled on the 30th of April, 1928. In these three years he took a total of 350,000 dollars of the people's blood money.
Zhang Zongchang was a warmonger, by nature fond of disorder. After his arrival in Shandong, there was not even one day of peace. In the Lusu war, Zhang fought with Sun Chuanfang back and forth between Bangfu, Xuzhou, Hanzhuang, and Lincheng. In the Luyu war, he battled Jin Yune and Li Ji at Mount Tai. In the battle at Baliwa, he almost lost all his arms and men. In the battle at Nankou, he fought side by side with the Fengtian and Zhili troops against the Nationalist army, forcing them into Gansu and Shaanxi. During the Nationalists' Northern Expedition, Zhang fought like a wounded beast along the Jinpu railroad.
After each battle, the field was strewn with bodies. The loss of the soldiers required replacement, which in turn required military funds, which resulted in higher taxes. When funds were raised, more soldiers were drafted, and another war was in the making. This cycle was repeated again and again. This was the way Zhang Zongchang ruled the province of Shandong from 1925 to 1928. The white banners of recruitment flew all over the province, and young people were driven straight into their graves. In such a situation, how could the people of Shandong escape hardship and poverty?
#### **
TAXATION**
During the less then four years that Zhang Zongchang ruled, there was not one day that he failed to take money from the people. Besides the regular taxes, there were special taxes and blatant extortions. Whenever he needed a sum of money, he would issue an order to several counties for them to come up with the cash. And when he spent the money, well, that was the end of that. Thus, the people of Shandong were really in deep water, and they suffered more than the rest of the nation.
The regular land taxes were eight to twenty dollars for each tael of land value. After the Northern Expedition, the Provincial Bureau of Finance released a statistics report showing that "From the day Zhang Zongchang came to Shandong till the day he left, the recorded land taxes, tributes, and special taxes that he collected amount to a sum which, if figured by regular rates of taxation, would exceed all taxes to be paid until 1939."
Below are the various types of taxes he collected:
1. One-time special land tax for military reconstruction
2. One-time special tribute rice for reconstruction
3. One-time special land tax for suppressing the Reds
4. Tribute for suppressing the Reds
5. Special land tax for military purposes
6. Supplementary land tax for military purposes
7. Supplementary tribute rice for military purposes
8. Supplementary tax for the Lidong Pass
9. Special tax for relief funds
10. Special supplementary tax for river conservancy works
11. Supplementary tax for highway works
12. Tax for barracks works
13. Military loans
14. Government bonds for reconstruction
15. Special tax on tobacco and liquor
16. Government sales special tax
17. Registration fees for establishments
18. Stamp tax for registrations
19. Registration fees for real estate
20. Tax for license to distribute paper currency
21. Stamp tax on paper currency
22. Long distance telephone fees
23. Tax on tobacco seeds
24. Fines on tobacco saplings
25. Business license fees
26. Donations for army shoes
27. Pension certificates for the families of soldiers in the First Army Corps who were killed in Jiazi war
28. Pension certificates for the families of the soldiers in the Zhilu Army Corps who were killed in the war against the Reds
29. Fees for license to examine tobacco
30. Stamp tax for license to sell tobacco
31. Donations for the construction of a living shrine for Zhang Zongchang
32. Donations for a bronze statue of Zhang Zongchang
33. Advance for firewood and straw
34. Donations for the entertainment of the officers and soldiers
35. Restaurant taxes
36. Tax on dogs
37. Tax on dwellings
38. Tax on wealthy families
39. Poll tax
40. Exclusive sales of opium by government operated stores
41. Tax on opium-pipe lighters
42. Tax on light vehicles
43. Tax on rickshaws
44. Stamp taxes
45. Tax on livestock
46. Local tax on already-taxed foreign goods
47. Tax on vegetables
48. Exclusive sales of nightsoil by government-operated "golden-juice" stores
49. Tax on prostitution houses
50. Tax on theatrical performances
51. Tax on chickens...
#### **FLOODING THE MARKET WITH PAPER MONEY**
Zhang Zongchang issued the following paper currencies:
1. Banknotes of the Provincial Bank of Shandong
2. Military stamps
3. Co-op certificates
Altogether several tens of millions of dollars were issued, all without any reserve to back them up. When he was losing his battles on the frontiers, these forms of currency came to be regularly discounted and financial chaos resulted. Zhang's soldiers continued to use his paper money for purchases, however, without accepting a discount on the face value. If anyone objected they would use their fists, legs, and foul tongues against their opponents. For this reason, arguments and fights were frequent, and the merchants suffered. There is a story that a store refused to accept military stamps. Zhang gave orders to arrest the owner, who was beaten up and then shot.
#### **
EXTORTION FOR MILITARY EXPENSES**
In order to raise funds to pay his soldiers and buy arms, Zhang Zongchang frequently "borrowed" from various banks and commercial unions. Though these were loans in name, they were extortions in fact. The Gongli Banking House, which had operated in Shandong for over a decade, went out of business because of such extortions, and its manager went into exile....
#### **
BUILDING A LIVING SHRINE AND CASTING A BRONZE STATUE**
To manifest his own "merits and distinctions," Zhang planned to build a living shrine and a bronze statue for himself along the Darning Lake of Jinan. The expenses were extorted from the people. He shipped a full trainload of granite from Mount Tai for the construction. But because of the rapid advance of the troops of the Northern Expedition, there was not enough time for the actual work to begin. However, the "donations" for these purposes had been collected in full....
#### **
YOUTH SQUADS**
Zhang Zongchang especially recruited an army of teenagers for his son, calling them "young students of war." Their arms were specially designed small foreign-made rifles, and they were given good uniforms, food, and pay. Zhang appointed his son the leader, and put several thousand such youths under his control. The youth squads were stationed at the southern barracks of the Jinan area. When they were in training, they would sing the children's song, "There is a fat little baby in our family." Consequently, they came to be known as the "Baby Squads."...
#### **
NOT PAYING THE TROOPS**
Zhang kept all the money that he extorted from the people for his personal use, seldom paying his soldiers. Consequently, his men lost their confidence in him, and he lost many battles. In order to improve the morale, he raised some money to pay the men, but it turned out to be too little. When each soldier only got fifty cents, they said to each other, "Let's fight another fifty cents' worth of war for Zhang Zongchang."
#### **
SALVOS AGAINST HEAVEN**
In the summer of 1927, there was a severe drought in Shandong. Not a drop of rain fell, and the crops were all dying. Zhang Zongchang ordered a general fast and personally went to the "Dragon King Temple" to pray for rain. But the Dragon King was apparently not impressed, and the drought continued. In a rage, Zhang slapped the Dragon King's face many times. He then went to the Zhangzhuang Arsenal and fired cannon balls into the sky for hours, so as to vent his anger at Heaven. Nevertheless, it still did not rain....
#### **
STATE SALES OF OPIUM**
Zhang Zongchang decreed that opium could only be sold by the state, but an opportunist opened up a store in a newly built shopping center, calling it "Opium Quitting Center." But in fact it was anopium store, and every month this person presented a gift of "state sales tax on opium" to Zhang.
#### **
EDUCATIONAL BACKGROUND**
Once Zhang Zongchang held a meeting of high-ranking military officers in the governor's office, and these officers introduced themselves, one saying, "I graduated from X university," another saying, "I am attending Y university," Hard-pressed, Zhang Zongchang said, "I, Zhang Zongchang, am a graduate of the College of the Green Forest."*
#### **
DRAFTING SOLDIERS**
Zhang literally dragged young people from the streets to become his soldiers so that he could send them to the frontiers, using their flesh against the cannon balls of the enemy. Many students were dragged away, and only after negotiations, were released. In order to prevent such incidents, the schools issued each student a cloth tag with his name and the school's seal printed on it. In this way the students were distinguished from the common people.
#### **
CLEARING THE STREETS**
Whenever Zhang came out of his office, he would clear the streets, and all traffic was stopped. The main street in front of the governor's office was sprinkled with clean water. In front of this motorcade, he had the showy white Russian cavalry squad. Soldiers were stationed all along the streets, their rifles loaded with real bullets, their backs to the street. All precautions were taken against possible assassin....
_Translated by Clara Yu_
* The Green Forest was a term for the hideout of bandits.
## 80 **
THE GENERAL STRIKE**
_Unionization of China's urban workers began with the May Fourth Movement in 1919 and made considerable progress in the early 1920s, aided by organizers from the young Communist Party. There were fifty major strikes in 1921 and ninety-one in 1922. The first serious violence against strikers took place on February 7, 1923, when the soldiers of the warlord Wu Peifu attacked striking railway workers and killed sixty-five. During the following two years, anti-union repression became widespread. The incident that created the greatest uproar occurred on May 30, 1925, when the English police in the International Settlement in Shanghai shot at a group of demonstrators, killing ten. A general strike was then organized, which involved 150,000 workers, merchants, and students and lasted three months. For over a year sympathizers throughout China contributed money, boycotted foreign goods, and staged strikes. In the meantime, the Communist Party had formed an alliance with the Nationalist Party to overthrow the warlords and establish a national government. Members of the Communist Party joined the Nationalist Party and tried to continue their labor union work within the framework of the alliance. For example, during the Northern Expedition, Communists aided the advance of Jiang Jieshi's army by organizing peasants and workers along the way. The alliance between the two parties was, however, fragile, since the Nationalists drew their strength from the bourgeoisie and landlords, whom the Communists opposed._
_Below is an account of a strike held in Shanghai during the Northern Expedition, organized by the Communist-led General Labor Union. The account appeared in a Communist Party newspaper, Guide Weekly,, shortly after the strike. It reveals the avowed principles of the labor union movement as well as the fragility of the alliance of the Nationalists and Communists. Less than three months after it was written, Jiang Jieshi ordered an attack on the unions and a purge of Communists from the Nationalist Party. For months thereafter, Communists were hunted down and killed. Not until 1936 would there again be any semblance of cooperation between the Nationalists and the Communists._
On February 19th the working class of Shanghai started a historic struggle which has unleashed the anger of the urban masses and launched the common people's fight for political power. A new page has been turned in the revolutionary history of China; a heroic record has been added to the history of the working class of the world.
The February 7th Movement of 1923 and the May 30th Movement of 1925 had different characteristics, a result of their historical and social causes. The heroic February 7th Incident demonstrated that the first struggles of the Chinese working class were struggles for political freedom under the rule of feudal warlords. The fierce May 30th Movement showed, in addition, that during a time of increasing nationalism, the working class was determined to revolt against imperialism. These two movements led to the Northern Expedition to eliminate the warlords. The unity formed by the Chinese working class was itself a political unity, and the principle that motivated the actions of the workers was "political power to the masses for the revolution."
Once the Northern Expedition had begun, the spirit of revolution shook every city and village. Since Shanghai is the most important city in our country, the workers there are the leaders of the entire working class, endowed with a natural responsibility in this historic, revolutionary struggle. Thus, it was among the working masses of Shanghai that the general strike broke out on February 19th. But this was no mere strike; it was a revolution. The initial stage lasted only five days; yet, since the workers went back to work, revolutionary activities have continued to increase. The following is a record of what happened in the initial stage of the revolution.
#### **
PRELUDE TO THE STRIKE**
On the eve of the February 19th strike, the victorious Northern Expedition forces had claimed control of the nearby province of Jejiang. Although the actual military victory was some distance away, it struck fear in the warlords controlling Shanghai. The uncertainty of their rule provided an opportunity for the masses to take revolutionary action, thus igniting the strike. This strike was a political, not an economic one; its purpose was to overthrow the rule of warlords Sun Chuanfang and Li Baozhang, establish the political power of Shanghai's revolutionary masses (including the workers), support the Northern Expedition, and expedite the victory of the national revolutionary war. For these reasons, the workers of Shanghai rose to lead all oppressed people in their revolutionary struggle, and the general strike began. Immediately before the February 19th strike, the central organization of the workers of Shanghai, the General Labor Union, held an assembly and issued the following order:
**Order for a General Strike**
To all worker-friends of Shanghai: The power of the people's revolution is increasing daily! The Northern Expedition is victorious, and Sun Chuanfang's resistance has collapsed. The masses must now rise and overthrow the forces of the warlords. The General Labor Union therefore declares a general strike for the entire city of Shanghai. Its purpose is to eliminate the remaining power of the warlords and demonstrate the strength of the revolutionary masses. As soon as you receive this order, go on strike. After the strike begins, obey the orders of the General Labor Union in an organized and orderly manner. Remember, do not go back to work until you are advised to do so.
Strike in support of the Northern Expedition!
Strike to overthrow Sun Chuanfang!
Long live the people's political power!
Long live the workers' freedom!
Long live the workers' unity!
_Issued by the General Labor Union of Shanghai on February 19th_
When the strike began, the General Labor Union issued a manifesto and seventeen economic and political demands:
#### **
Manifesto of the General Strike**
Our people's revolutionary movement has intensified since the May 30th Movement. The warlord Sun Chuanfang who controlled the Southeast has been defeated by the bravery of our revolutionary masses.
Shanghai belongs to the citizens of Shanghai, who have for decades been oppressed by the warlords. The imperialist powers have used Shanghai as their base to encroach on China and now they are continuing to menace our nationalist movement by military means. We citizens want to overthrow the dark rule of the warlords and to resist the advance of the imperialists. Ever since the May 30th Movement workers of Shanghai have been bravely struggling for our people's freedom and liberation. At this moment, the forces of Sun Chuanfang have been routed, but the imperialists are still threatening us with guns and cannons. If we do not destroy these dark, reactionary powers, our people will never see the dawn of freedom.
In order to destroy these dark, reactionary powers, the people must rise up and protest by going on strike in industry, in business, and in schools. Once the working class has begun its protest, the revolutionary masses must also take action to speed the elimination of the warlords and to assist in the victory of the Northern Expedition forces. For these reasons, this General Union now calls for all workers of Shanghai to begin demonstrating the power of the masses by organized, orderly means. We hereby declare a general strike, effective today. The following are the minimum political and economic demands we make for the workers of Shanghai:
1. Continued resistance against imperialism.
2. Elimination of the warlords' underhanded power politics.
3. Liquidation of all reactionary forces.
4. Establishment of a government that truly protects the welfare of the people.
5. Rights to hold meetings, to form associations, and to strike, as well as freedom of speech and freedom of the press.
6. Recognition of the labor union's rights to represent the workers.
7. Higher wages and a minimum wage for workers.
8. An end to inflation and protection of the livelihood of the workers.
9. An eight-hour work day.
10. Sundays and festivals are to be paid holidays, with double pay
for work on those days.
11. Hiring of the unemployed. No closing of factories on the pretext of strikes.
12. An end to employers' physically or verbally abusing workers, or reducing their wage
s at will.
13. An end to employers' firing workers without the consent of the labor union.
14. Compensation for work-related injuries and deaths.
15. Health care plans for the workers, and hal
f-pay when sick.
16. Equal wages for male and female workers. Improvements in the treatment of working women and children. Six weeks of maternity leave with full pay. No heavy physical labor for children.
17. Better working conditions in the factories. More doors, windows, skylights, and lavatories.
The above are the goals of the present action taken by the workers of Shanghai. We want to struggle side by side with the people of all classes in our society to destroy the remaining power of the warlords, and we hope the new government will accept these demands made by our workers.
_Issued by the General Labor Union of Shanghai on February 19th_
#### **
THE MASSIVE STRIKE**
The strike began at 6 A.M., February 19th.... Tallied according to different professions, the striking workers included the entire textile industry; the entire city communications service; salespersons belonging to the Commerce Union, and those who worked in such stores as Foremost, Peace, New, and Beautiful; gold-and silversmiths; makers of tea cases; tailors of Western-style clothing; makers of canvas, incense, tea, carpets, and pig-bristle products; workers at a dozen metal and machine works; crews of the Ancient line's Guangxi, Shanxi, Guang Shuntian, Gansu, and Ningbo ships; the Sun Bright line's Mt. Lu, Fortune, and Shangyang; the Peaceful line's Prosperity; and Mt. Zhou line's Mt. Zhou; also all the workers of the Commercial, Colorful, Lovely, Chinese Merchant, Black, and Stone Presses. The total number of striking workers exceeded 150,000.
On the second day of the strike (February 20th), the number of strikers rose sharply to a total of over 275,000. Most of the increase came from those professions that had been restrained by the capitalists on the first day or had not received the order to strike. Included were 60,000 workers from the silk factories of North Sluice; 40,000 workers in the construction business; 100,000 workers from businesses such as imports, soy sauce, rice, secondhand clothes, herb medicine, and fabrics. Five hundred workers in public transportation also joined in. The number of striking textile factories in the Sandy Crossing area increased to twenty-five, which added another 15,000 workers to the strike. The dock workers of Whangpoo and Sixteen Shops also numbered 10,000.... All in all, in these four days, more than 360,000 workers joined in the strike, making it the biggest not only in the history of Shanghai, but in the entire nation. It demonstrated the heightening of political consciousness and the rapidly developing organization of the Shanghai working class....
#### **
WHITE TERROR**
On the first day of the strike, Li Baozhang, Defense Commander of Shanghai and a henchman of Sun Chuanfang, struggled to retain power by lashing out at the masses. He immediately contacted the Labor Departments of the Concessions and instituted a reign of white terror.
Within six hours of the strike, bustling, prosperous Shanghai became lifeless. All the trolleys stopped running; no ships entered or departed; the doors of post offices were bolted; department stores were closed; all factories were shut down, their sirens echoing one another but unable to call in a single worker. All these developments made the police and military patrols on the streets tremble; the ruling class, terrified and enraged, began to strike back with massacres.
Those slaughtered—our front-line soldiers—were workers handing out strike literature on the streets. The martyrs of the first day were two workers, Cai Jianxun and Shi Arong, from the metal and machine works of South City. They were arrested for distributing strike literature and were immediately beheaded. On the second day of the strike, a worker selling trolley tickets was shot at the West Gate for giving out leaflets about the strike. Two of the students who made public speeches at Cao Family Crossing were arrested and beheaded immediately. At the old West Gate, citizens who were reading strike literature were killed by the Big Sword Brigade. One head was hung from a telephone pole, and two bodies were left lying on the streets. Two workers, one from Lucky Life Iron Factory and the other from Heroic Tobacco Factory, walked past a group of policemen and annoyed them by their presence. They were arrested and shot. In addition, many people disappeared without a trace, perhaps having been murdered or arrested. The total number of casualties must have been over one hundred....
#### **
THE WARLORDS' MASSACRE POLICY AND THE RIGHT WING OF THE NATIONALIST PARTY**
Who were the ringleaders of the massacre? Who were the masterminds behind the white terror? The answer is the Western Hills Conference group—the right-wing faction of the Nationalist Party.
The headquarters of these rightists was situated at 44 Dragon Road in the French Concession. The recently established mad-dog _Jiangnan Evening News_ was the mouthpiece of their organization. The leaders of this right-wing group were none other than those denounced by Sun Yatsen and expelled from the Nationalist Party: Zhang Ji, Zhou Lu, Xie Chi, and so on. Right after the general strike began, Zhu Zheng and company advised Li Baozhang (who held 2000 dollars' worth of stock in the _Jiangnan Evening News)_ that "the only thing for you to do now is to resist the Party's forces in the front and kill workers in the rear." Thus the savage warlord Li Baozhang was assured of protection by the Nationalist Party and provided with a policy of terror against the strikers.
We are not libeling the rightists of the Nationalist Party when we say that they are responsible for the massacre. It is a fact supported by the words of the _Jiangnan Evening News._ Before the strike began, the paper had already predicted that the masses would be sacrificed. After the massacre had been carried out, the paper made a great deal of noise, accusing the Communists of sacrificing the masses. When the massacre aroused the anger of the citizens of Shanghai, the paper reported it, and at the same time advised Li Baozhang to change his "kill on sight" policy. Undoubtedly, the right-wing Nationalists are the instigators of the massacre; they are the reactionaries, the counterrevolutionaries, and therefore enemies of the people.
#### **
THE STRUGGLE FOR ARMS**
The killings under the white terror naturally provoked the red terror of the revolution. An eye for an eye, a terror for a terror: this is the condition in which revolutions begin, and this was the condition for the Shanghai masses—workers and ordinary citizens alike—on February 21st, the third day of the strike.
When the time for a revolution is ripe, a general strike will directly lead to mass riots; when premature, the masses will continue their struggle for arms. When the weapons are in the hands of the warlords, white terror results; when the masses get hold of the weapons, armed revolutionary struggle explodes. This is a lesson in Marxism-Leninism, a lesson to be learned by the working class of Shanghai.
Having no weapons, the Shanghai workers had to snatch them out of their enemies' hands. The white terror that followed the strike made the working masses determined to struggle for arms. Beginning on the evening of the 21st, workers of the various regions began fighting the police and soldiers. On the 22nd, sailors who opposed the warlords' massacre policy and sympathized with the workers' movement opened unauthorized artillery fire on the Gaochangmiao Arsenal. That evening, heated battles broke out in South City and North Sluice, in which workers and citizens attempted to seize weapons. They were not completely successful because not everyone joined in and because the enemy still struggled to retain power. However, the cannonade made the enemy officers and soldiers run for shelter in the Concessions. On the 22nd, during their attacks on the defense lines and sentries of the police and military forces, workers of various regions succeeded in acquiring quite a few weapons; they also shot and killed a police captain while returning fire. Such was the first heroic effort to wrest weapons from armed enemies with our bare hands. These actions continued into the evening of the 23rd in the North Sluice and South City regions. The workers raided several police stations and were engaged in battles for hours. The stalemate came to an end when the masses retreated safely, the police not daring to chase after them. All these events show that armed revolutionary struggle has begun in Shanghai....
#### **
FIGHTING FOR POLITICAL POWER**
What was the purpose of the Shanghai workers' general strike and armed struggle? The rightists, who do not understand the situation of the revolution and are afraid of the power of the working class, suspect that the workers of Shanghai want to form a labor government. This is incorrect. The present aim of the Shanghai workers is to form not a labor government, but a citizens' government, a democratic government under the Republic. However, the fight of the workers is a fight for political power.
In this revolution of an oppressed people in a semicolonial state, in this revolution of Shanghai's citizens against the rule of imperialists and warlords, the struggle of the workers bred the struggle of the citizens; the revolt of the workers led to the revolt of the citizens; the political power of the workers ensured the political power of the citizens. Therefore, the slogan of the Shanghai workers was "to establish a representative government." Again, the purpose of the Shanghai workers' general strike and armed struggle was to take over political power and to lead all oppressed Shanghai citizens to form a democratic government belonging to them.
On the fourth day of the strike, when armed struggle broke out and the navymen suddenly opened artillery fire on Gaochangmiao, the unity of the armed forces and the workers in revolution was demonstrated, and the necessity and possibility for soldiers and workers to seize political power was proved....
#### **
THE REVOLUTIONARY JUSTICE OF THE MASSES**
In terms of history, the most significant events of the five-day general strike are the armed struggle and the beginning of the struggle for political power. Another action of the masses is worth noting, however, and that is their revolutionary justice.
On the 22nd, nearly 10,000 workers from Willow Landing gathered for a demonstration. A henchman by the nickname of "Little Trickster" had been discovered spying on the workers. As he had conspired with detectives and policemen and was responsible for the arrests of the workers' leaders, the people seized him and brought him before the dais to be judged by the masses. When the majority of the workers cried out "kill him," the chairman put the issue to a vote. A unanimous verdict was reached, and "Little Trickster" was executed on the spot.
This was a revolutionary judgment passed by the masses—terror answered with terror, counter-revolution met with revolution. By the verdict of the masses, a henchman of the industrial thieves was punished by death. Such is the law of the revolution. Certainly, the reactionaries and the counterrevolutionaries are opposed to such a verdict and call it a vicious act of the masses. But this was an eminently fair action; the enemy killed dozens of our people, we now only justly punished one. When power is in the hands of the revolutionary masses, the architect of this massacre, Li Baozhang, should also receive the same punishment.
#### **
RETURNING TO WORK IN ORDER TO ENLARGE THE STRUGGLE**
Up to this point, the mass action of the general strike had developed along two correct lines; first, taking over arms for the struggle, and second, fighting for the political power of the citizens. However, because the military power of the revolution still lagged far behind, the time was not yet ripe for the revolution and the masses suffered losses. While the organized political power was still intact, on the fifth day of the strike, the Shanghai General Labor Union called for all workers to return to work at 1 P.M. the next day (February 24th) in order to prepare for an even greater struggle.
On the morning of the 24th, the order to return to work was issued:
To all our worker-friends of Shanghai: When this Union ordered the general strike, 400,000 organized workers responded. Within a few hours, our coordinated actions shook the warlords' power, and the bustling city of Shanghai turned into a battlefield of revolution. This was the first time since the May 30th Movement that all Shanghai workers have been engaged in such a great and honorable struggle. During the five-day strike, our citizens rose in revolt and the revolutionary navymen attacked our enemies—a great symbol of the alliance of workers and soldiers. Our strength is now known to our enemies. The Union, seeing that the struggle will be a long one, has decided not to fight alone, for fear of bearing excessive losses. For this reason, we command all our worker-friends to return to work as of 1 P.M., the 24th of this month. We must prepare for a greater struggle to come.
Long live the great strike of the workers of Shanghai!
Fight for more power!
Long live the Shanghai General Labor Union!
_Issued by the Shanghai General Labor Union, February 24th_
Declaration of the End of the Strike
To all the citizens of Shanghai: We, the working class, went on a general strike to protest tyrannical government and to show our support for the Northern Expedition. Our strike lasted five days, during which workers and citizens made great sacrifices. Now we are forced by various factors to declare a temporary end to the strike. Although the strike is halted for the moment, our struggle against the tyrannical rule of the warlords, our fight for our political power and for improvement in workers' lives will continue. During the strike, the citizens of Shanghai showed their sincere sympathy, for which we are grateful. Although we have taken the advice of businesses to return to work, we hope the revolutionary citizens of Shanghai will continue to join our fight against the dark powers, until we have completely overthrown tyranny.
Our call for returning to work is not a retreat, but a preparation for a greater struggle.
_Issued by the Shanghai General Labor Union, February 24th_
#### **
THE PROCESS OF CONTINUING THE STRUGGLE**
Once the order to return to work was issued, some workers went back even before noon. From noon until the next morning, more than 300,000 workers returned to their jobs. But the five-day strike had not been brought to a conclusion by any means.
All the workers and oppressed citizens of Shanghai are in the midst of a continuing struggle to gain victory. The general strike was by no means a failure. It produced results. The experience we gained and the lessons we learned during those five days—especially the solutions we found through struggle—exceeded the sum total of all lessons learned since the May 30th Movement. This is a critical moment in the history of the working class of Shanghai; it now has duties to fulfill.
The following slogans are the emerging political aims of the workers of Shanghai. They also outline the actions of the masses:
1. Down with Li Baozhang!
2. Drive out the Ji-Lu army!
3. Support the Northern Expedition!
4. Uphold the Republic!
5. Start mass uprisings; seize weapons!
6. Kill the reactionaries!
7. Avenge the dead!
8. Establish a representative government!
9. Get rid of foreign armies and reclaim the Concessions!
_Translated by Clara Yu_
## 81 **
FUNERAL PROCESSIONS**
_Funerals were important occasions in religious and social life from earliest times. Funeral processions served as great parades that entertained onlookers while symbolically reinforcing social distinctions and kinship connections. Special garments worn by the mourners revealed how closely they were related to the deceased. Also part of the processions were emblems of the rank and accomplishment of the family._
_Below is an account of two funeral processions written in 1924 by Gu jiegang (1893-1980), a prominent historian and intellectual. Unlike earlier ritual texts which merely state the rules or expectations for funerals, Gu's account gives a full description of two processions as they were actually organized. Gu's theme is the changes in funeral practices caused by the overthrow of the old gentry class with its codes of ritual and the consequent increasing importance of money in establishing social status. It should be pointed out, however, that such critiques were not new to the twentieth century. As early as the Han, writers lamented how funerals had become occasions for the display of wealth, and that those who could not afford lavish preparations felt their social status to be jeopardized._
The city of Suzhou has always been known for impressive and elaborate ceremonies, but nowadays this display of wealth and luxury has taken on a different character. In the past, the right to conduct lavish ceremonies was strictly reserved for the gentry and official classes, whereas now it has been taken over by the wealthy merchant class. Any novelty will soon become the fashion after the social elite has adopted it. Previously, elaborate ceremonies sometimes made life difficult for exalted households, but now that the class system has been overthrown, the painful task of keeping up with one's neighbors falls on everybody.
There are numerous occasions for lavish and elaborate ceremonies, the most important of which are weddings and funerals because they represent the greatest events in a person's life. A marriage celebration may be embellished to impress people, but its lavishness can never compare with a funeral. Marriages are affairs arranged by the older generation for the younger. If they are conducted with frugality, people may laugh, but they will not scold or criticize. Besides, parents often have more than one child and cannot afford to put on an elaborate show for each one. If they did not give their younger children the same lavish weddings, they would appear to be partial. Funeral ceremonies, on the other hand, are quite different because these are affairs conducted by the younger generation for their elders. If the arrangements are too simple, older relatives will make critical remarks, and sons will be accused of unfilial behavior and face the disapproval of society. Moreover, when there are many sons in a family, the responsibility and cost for one funeral can be shared by all the brothers. As more people naturally means more resources, they can be more free with their money.
The burial aspect of a funeral is not given much attention because cemeteries are located outside of the city where few onlookers are present. The most elaborate part of a funeral is the procession because it passes through city streets and avenues where spectators gather. For this reason, preparation for the funeral procession is the single greatest task for the bereaved family; it is also an important occasion for those who are eager to watch a good show. Before the procession takes place, news of it has already spread to every corner of the city: "On such and such a day, a procession from the House of _____ will pass through such and such streets." People with nothing to do wait along those city streets.
When a procession is well planned and lives up to the expectations of the crowd, there are words of praise from the spectators, such as, "This family certainly lives up to its reputation!" The sons, wearing mourning clothes and surrounded by mourning curtains, are comforted when they hear such words. However, if the procession is not outstanding or if it compares poorly with another one held that day, people ridicule it, saying things like, "Do they think this is good enough for us to watch?" Then all the preparations and all the money are wasted. Not only are their expenses and efforts in vain, but the family will long after be branded with an unfavorable reputation. When their name is mentioned, people will say, "Oh, how those sons slighted their parents!" or "That family has no face!"
In Beijing, a funeral procession of a middle-class family includes just the casket. Sons and male relatives walk ahead of it and female relatives and friends walk behind. This, after all, is the idea behind a funeral procession. People who are slightly better off hire young boys dressed in traditional costumes and musicians to lead the procession. It is believed that the dead person still has consciousness and feelings and his soul must be coaxed by the music to follow the procession. This is not an unreasonable explanation for the musicians' presence. But this kind of funeral procession is not seen in Suzhou. People here feel that it would not only cause one to lose face but also invite ridicule and criticism. Having no procession at all would almost be better. Therefore, under the cover of darkness, when everyone is sound asleep, a family hires a few coolies to carry the casket onto a boat and row it via canals to the city gate. At daybreak, when the gate opens, the casket is carried to the burial ground. This practice is called "burying the dead secretly," and is not condemned by the people of Suzhou who sympathize with families in difficulty. But those families who conduct a funeral procession through the streets must meet the current standard of extravagance. The streets of Suzhou are very narrow, so a funeral procession can cause quite a traffic jam; the longer the procession, the worse the traffic problem. But spectators do not mind it at all; they even complain when the traffic congestion is over too soon. It seems that people no longer regard funeral processions as funeral processions, but as parades in religious festivals.
In my childhood I took part in funeral processions of family friends. At that time, the processions were not long and mourning guests riding on horseback were a rare sight. Today, few guests are willing to walk; almost all of them ride horses. Furthermore, the items in a procession change constantly with new things added almost every day. How do we explain this phenomenon? In the past, the items in a procession were determined by a person's rank in office, and he could not make additions wantonly. But now that tradition has been overturned, and the people of Suzhou have been greatly influenced by the Shanghai merchants' "spirit of extravagance." And once things begin to change, they never stop.
About five or six years ago, there were two funeral processions to Suzhou from Shanghai which people have not yet forgotten. One was that of Mr. Sheng Xuanhuai, the other that of Mr. Xi Eming. Mr. Sheng was on the board of directors of Shanghai Coal and Gas Company. He owned a resort in Suzhou (the noted Liu Gardens outside of Yan Gate). After his death, his family was supposed to spend 100,000 dollars to send his casket in a boat procession to his garden here. I was not present in Suzhou at the time so I have no first-hand knowledge of just how exciting that occasion was, but according to many people, it was something never experienced before, a once-in-a-lifetime thrill. Mr. Xi was a paint manufacturer in Shanghai. After World War I broke out, the supply route for European paint was cut off; the price of paint soared sky-high, and paint manufacturers became enormously wealthy. But Mr. Xi died before he could enjoy his newfound wealth. His family felt very sorry about it and conducted a particularly lavish funeral for him, hoping his soul would rest in peace. Ever since then, elaborate and lavish processions have become a common practice in our city.
Two years ago, within three months, our family held two funerals. I still have the accounts for both processions. One was for my sister who died in Hangzhou. After her casket was settled in the funeral home there, her soul tablet was brought home to Suzhou. The other funeral was for my grandmother. The procession began at our house and ended in a funeral home two li away. I must declare right away that our family is not one that flaunts its wealth, but our position required us to meet the current standard of lavishness. Our two processions were rated slightly above average. After the reader has finished these accounts, I hope he does not accuse us of being too extravagant. Perhaps he can imagine the pride and joy of those rich families who can extravagantly flaunt their wealth, and at the same time the pain and anxieties of those families who are in financial difficulties but still must keep up appearances.
#### **
I. The procession for "bringing home the soul tablet" (sister)**
1. oblong paper lantern, hanging from a pole
2. placard demanding silence and reverence (carried over the shoulder)
3. placard demanding people to clear the way
4. gongs
5. regimental insignia of the Manchu dynasty
6. picture of a dragon on a placard
7. placard on which is written the official rank of the deceased
8. melon-shaped paper decorations hanging from a pole
9. military band (brass instruments and drums)
10. ten embroidered banners
11. seven Daoist priests
12. _
papier-mache_ float to fetch the soul (all floats carried by men)
13. pavilion-shaped float made with pine needles
14. seven Buddhist monks
15. parasol made with pine needles
16. small pavilion-shaped float carrying a picture of the deceased
17. ten silk umbrellas
18. brass musicians
19. glass lantern
20. paper effigies of spirit deities
21. male relatives and friends
22. picture of a tiger on a placard
23. cymbals
24. large parasol
25. large fan
26. kerosene lantern
27. large parasol for a rider on horseback
28. Ding stallion of a high-ranking Manchu regiment (decked out with military ornament)
29. name of the lineage on a placard
30. small paper lantern
31. sedan chair carrying the soul tablet
32. accompanying sedan chairs for female mourners and guests
#### **II. Funeral procession (grandmother)**
1. a load of coins to buy passage on the road
2. horse to clear the way
3. gentleman's horse
4. six long horn players
5. stallions from Chong regiment (decked with military ornaments)
6. stallions from Biao regiment (decked with military ornaments)
7. oblong paper lantern with the lady's rank written on it
8. two pairs of yellow placards
9. nine pairs of tinfoil placards
10. six-man military band
11. umbrella for a rider on horseback
12. horse of high-ranking Manchu official
13. yellow parasol
14. a staff with feathers tied on it (the higher the rank, the more feathers)
15. dragon staff
16. palace-style fan
17. palace-style lantern
18. six swinging censers
19. yellow pavilion-shaped float carrying a large board on which is written the lady's rank, conferred by the emperor
The above completes the first part of the procession. All the items after 5 are used to set off the pavilion float (19). Since the honor was conferred by the emperor, the float is accompanied by a palace fan, palace lantern, and other paraphernalia associated with him. Items 5, 6, and 9 were associated with the office of the Manchu military governor and were originally used in military ceremonies. During the Qing dynasty an official had to hold a rank of three or higher before permission was given by the military governor to include these items to glorify the pavilion float (19) in his funeral procession. The office of the military governor is now abolished, and it would seem that his power has been taken over by the funeral directors.
20. effigies of two spirits who clear the way
21. effigies of the four guardians of the Buddhist temple
21. pavilion-shaped float carrying a soul banner
23. oblong paper lantern
24. placard demanding silence and reverence
25. Manchu regimental insignia
26. placard demanding that people clear the way
27. gongs
28. placard on which is written the official rank of the deceased
29. melon-shaped paper ornaments on a pole
30. picture of a dragon on a placard
31. embroidered banner
32. nine musicians
33. pavilion-shaped float carrying incense burner
34. silk ribbons tied to a staff
35. nine Daoist priests
36. pavilion-shaped float carrying offerings of food and drink
37. five pairs of silk-covered placards
38. eight riders on horseback (not in mourning clothes)
39. ten-man orchestra
40. picture of deceased on a large placard (to be placed at grave site)
41. silk parasol
41. nine Chan monks
43. open sedan chair
44. four placards with the word "libation" on them
45. five pairs of placards with the word "libation" written on them
46. elegiac couplets from friends (each couplet written on two long strips of white cloth tied to a bamboo pole)
47. drum player
48. pavilion-shaped float carrying elegies
49. ten paper umbrellas with "Amitabha Buddha" written on them
50. woodwind musicians in ancient costumes
51. picture of the deceased in an open sedan chair
52. male guests
53. picture of a tiger on a placard
54. cymbals
55. the titles of the deceased on a placard
56. eight riders (in mourning clothes)
57. large parasol
58. large fan
59. Western-style lantern (square glass lantern)
60. umbrella for rider
61. horse of high-ranking Manchu official
62. string musicians
63. young boy
64. young novice carrying the streamers which harbor the soul
65. glass lantern
66. sedan chair for the soul tablet, decorated with baskets of real and artificial flowers
This completes the second part of the procession. The important items are 22, 51, and 66. Effigies of the four guardians (21) were suggested by our family accountant, but my family felt that since it was something new and not widely used, we should eliminate it. Perhaps it has by now become a necessary and popular item. The guests (52) used to walk in the procession, but nowadays they no longer do so. (In recent years, many guests even ride rickshaws.)
67. numerous placards, each exhibiting an official title the deceased once held
68. decorative placard
69. managers of the procession
70. brass players
71. a strip of white cloth stretched between two bamboo poles
72. Western-style lantern (square glass lantern)
73. umbrella for rider
74. paper lantern
75. gong and wooden clappers
76. riderless horse
77. casket on a bier, carried by thirty-two people
78. white sedan chair
79. sedan chair with a white top
80. sedan chair for female relatives and guests
Of the above items, the most important is, of course, the casket (77).
Just take a look! In a funeral procession the important items should be the casket (77), sedan chair for the soul (66), and the pavilion-shaped float with the soul banner (22). In nine out of ten cases, the certificate of rank (19) is a forgery. The picture of the deceased in the sedan chair (51) must be carried back home again after the burial; therefore it does not count. The white cloth (71), white sedan chair (78), guests (52), and guest sedan chairs (80) are also necessary. They add up to seven items only. In actuality, the procession was blown up twelve times its necessary size—eighty items in all! We must attribute this "something growing out of nothing" phenomenon to the innovativeness and creativity of our citizens.
When I have some spare time, I would like very much to look into the origins of each of these items—which were the earliest in existence and which were later additions. Elderly persons have told me that years ago a funeral procession consisted of only the casket, personal honors of the deceased, and six or seven other things such as the gongs, parasols, musicians, large fan, and a brass band. They had a special term for this basic unit, but I have forgotten it. The processions I saw in my childhood consisted of this basic unit and a few additional items: the spirit to clear the way, placard demanding silence and reverence, and Buddhist monks and Daoist priests. The military band and woodwind players were added on just within the last ten years or so. Drummers were included even later. The soft and sweet sound of the woodwinds and the clamorous sounds of drums are ridiculously incompatible. The feathered staff and the dragon staff were originally used in temple ceremonies. They were carried in parades during religious holidays, festivals, and fairs, but now they are used as the vanguard for the pavilion-shaped float carrying the rank of the deceased (19). It seems things have gotten more and more out of hand. People have included stilts, floats, treasure chests, and the four professions (fisherman, woodcutter, farmer, scholar) to their processions today.
My family did not wish to flaunt its wealth and only wanted to "do the right thing"; therefore we did not include anything new. But the items we did include make me sad. I have always wanted to read the descriptions of imperial funerals written in our dynastic histories and compare them with the ones of today to find out whether the emperors of old were as extravagant in death as the commoners of today. I have not done this, but I dare to predict that the extravagance of people today far surpasses that of the emperors. They were checked by rules of ceremony, and our extravagance has been analyzed and determined by thousands of spectators.
How much did a funeral procession cost? Unfortunately I do not have an exact figure. But our family accountant made an estimate of my grandmother's funeral procession, and I have kept his figures, which are as follows:
1. labor fee for craftsm
en to make placards,
floats, etc. 60.00
2. material cost for pla
cards, floats, silk,
cloth, etc. 60.00
3. payment for sedan cha
ir carriers and their
meals 2.00
4. musicians playing lon
g horns 8.00
5. Chung stallions 9.60
6. Biao stallions 6.40
7. Daoist priests 3.00
8. Chan monks 3.50
9. Buddhist monks 3.00
10. orchestra 9.00
11. drummers 7.00
12. woodwind players 6.00
13. string players 3.00
14. military band 5.00
15. manager of the funera
l 35.00
16. manager of the proces
sion 15.00
17. manager for pavilions
and lanterns 15.00
18. grooms 5.00
19. forty-eight horses 48.00
20. assistants 3.00
21. [deleted in the origi
nal] 4.50
22. twenty-six hired hand
s to carry placards,
etc. 30.00
23. rented sedan chairs 15.00
24. temporary altar on th
e road 3.00
25. cost of white cloth 3.00
The estimated cost was 370 dollars. If we include the other expenses of the funeral, the total cost was between four and five hundred dollars. Our house was located less than two _li_ from the funeral home, yet we spent between four and five hundred dollars just to send the casket there. This indeed is too wasteful. But when you think about it, you really cannot say that it was too extravagant. The two processions of the Sheng and Xi families started from Shanghai and covered a distance that could be traveled in one and a half hours by train; yet they used more than 100,000 dollars. My family's total expense was only one-third of one percent of that. In comparison, our frugality could be considered exemplary.
At this point, my curiosity is once again aroused. I believe that families like the Shengs and Xis should make their funeral expenses accessible to the public. That would be interesting indeed! I for one would not even know how to begin planning a procession that would cost even one one-hundredth of what theirs did. Extravagance like theirs can make a person boil with rage or sigh with envy. The people who watched your funerals years ago are now dead. Your wealth probably is exhausted. Why don't you make your accounts public so students of local customs can have more research materials?
_Translated by Nancy Gibbs_
## 82 **
MY CHILDREN**
_Until the twentieth century, discussion of parent-child relations was placed within the framework of the concept of filial piety and what a child owed its parents. Twentieth-century authors were open to new views of childhood and willing to discuss their feelings toward their children with new openness. The following essay about his children was written by Zhu Ziqing (1898-1948). Zhu came from a gentry family and attended Beijing University, graduating in 1920. Thereafter he taught literature at several middle schools and universities. He also wrote poetry, criticism, essays, and sketches, which brought him considerable fame as a writer._
I am now already the father of five. Thinking of the metaphor that Ye Shengtao* likes to quote about the snail that carries a house on its back makes me feel uncomfortable. Recently one of my relatives teased me, saying, "You are getting 'skinned'!" That disturbed me even more. Ten years ago when I had just married, I read Hu Shi's _Sundry Notes_ † where he says that many famous men never got married. He also quotes Bacon to the effect that whoever has taken a wife has his life "set." That startled me as if awakening me from a dream, but my family had married me off and I had had nothing to say about it. What could I do? Once I had a wife, along came five children, a heavy burden for my two shoulders; I really wonder how I can go on. Not only is my life "set" but I also worry about how the children will grow up.
Being an egotist through and through, I am not much as a husband, even less as a father. Of course, "Esteem children and grandchildren" and "Youth is the basic unit" are philosophical and ethical principles which I recognize. Once you have become a father, I know, you cannot just shut your eyes and ignore the rights of the children. Unfortunately, many of my ideas remain mere theory; in actual fact, I cope with the situation in the old-fashioned traditional way, savage in style, just like any ordinary father. Only now when I am almost middle-aged do I realize a little of my own brutality, and when I think of the corporal punishment and scolding the children have had to endure, I am at a loss to find excuses. Like touching an old scar, it still hurts to think of it. Once, reading a translation of Arishima Takeo's "With the Young,"* I was moved to tears by his noble and deeply sincere attitude. Last year my father enquired about Ajiu, who was then still with me at White Horse Lake, saying in his letter, "Since I never neglected you, I wish you would also not neglect him." I thought this remark very touching. Why am I not capable of my father's loving kindness? I will never forget how he looked after me. Human nature may really be polarized; I am certainly inconsistent, swinging back and forth like a pendulum.
You have probably read Lu Xun's "The Happy Family." Mine is indeed such a happy group. At our daily lunches and dinners, two tidal waves seem to be descending on us. First, the children keep running to and fro between the dining room and the kitchen to check on things, urging Mother or me to give out the order to serve food. The hurried patter of many little feet, accompanied by much hilarity and shouting, lasts until that order is given. Then the running and shouting resume as the order is transmitted by many mouths until it reaches the maid in the kitchen. Then back again they rush for the fight for stools: one shouts "I want to sit here"; the other complains "Brother won't let me sit"; brother retorts "Sister hit me"; whereupon I have to assume the role of peace-maker. At times, though, they become so adamant that I cannot stand it. I start shouting and, if that does not settle it, I may lose my temper, and down comes my heavy hand on someone. Then finally, after a few tears, all will find their seats and order will be restored. Next the arguments will break out about large bowls versus small bowls, red chop-sticks versus black ones, rice or gruel, tea or soup, fish or meat, bean curd or carrots, with mutual accusations of dipping too often into the meat and vegetable dishes. Mother, as usual, tries to calm everyone down, but with little obvious effect. Then my rather irascible nature will not be able to stand it any longer and, of course, I will apply the old-fashioned method, thereby managing to subdue them instantly. More tears, but finally everyone will be busy with bowls and chopsticks, some wiping tears from reddened eyes. When the meal is over and they leave their seats, off they go helter-skelter, leaving behind a mess of food droppings, rice, sauce, bones, crumbs, and a jumble of chopsticks and spoons in the pattern of a colorful map.
Apart from eating, the children's main pursuit is play. The big ones come up with big ideas and the small ones with small ideas, and no one will go along with the others' wishes. Then the quarrels start again, and either the big ones bully the small ones, or the small ones manage to browbeat the big ones; anyhow, the victimized party will personally bring his or her complaint to Mother or me. Most likely I will again apply the old-fashioned method of settling the argument, but sometimes I just pay no attention. The most annoying are the fights for toys. Even if both have similar toys, one insists on the other's, and no one will give up anything he has. In a situation like this, inevitably tears will have to flow from someone's eyes. Not all of this happens every day, but a good measure of it does. If I want to read a book or write something at home, I can guarantee that my attention will be diverted several times every hour, or I will be forced to get up once or twice. On rainy days or Sundays, when most of the children are home, it has happened that I could not read even one line or write one word. I often tell my wife, "All day our home is like a battlefield with large armies in motion." This goes on not only during the daytime, but even at night when there is the commotion of babies being fed or the sick being tended to.
I was only nineteen the year I married. I was twenty-one when we had Ajiu, twenty-three when we had Acai. At that time I was like a wild horse that could not stand saddle, reins, and bridle. I knew I should not run away from it and yet, unconsciously, I tried to. Thinking back to those days, I see that I really gave the two children a hard time; my acts of violence were unpardonable. When Ajiu was only two and a half years old, we lived on the school ground at Hangzhou. Seemingly for no reason, this child was crying all the time and was also very wary of strangers. When he was not near Mother, or when he saw a stranger, he would start bawling his head off. Since many people lived around us, I could not let him disturb the whole neighborhood, but we also could not avoid having many visitors. I was most annoyed by his behavior. Once I purposely got Mother out of the room, closed the door, put the boy on the floor and gave him a good spanking. Even now, when we talk about it, Mother finds it unpardonable. She says my hands are too harsh. After all, the child was only two and a half. In recent years I have often felt sad at the thought of that incident. Once it also happened with Acai in Taizhou. She was even smaller, just past a year, hardly able to walk, possibly because she was very much attached to her mother. I put her in a corner and let her cry and yell for three or four minutes. It made her sick for a few days, and Mother said it was really a heartless thing to do. But my sufferings were genuine too.
Once I wrote Ye Shengtao that my plight due to the children sometimes got to be unbearable and gave rise to thoughts of suicide. Although in saying this I was merely venting my anger, I really have been in this mood sometimes. Later, with more children, and having to bear my suffering for some time, I found the sharp edges of my youth had become blunted and added age had increased my rational judgment. I became more tolerant, recognizing that in the past I really had been "anything but a perfect father," as I wrote to another friend. However, I still believe that my children in their early years were much more of an annoyance than other people's. I think it may have been mainly due to our ineptness at bringing them up. Yet if we invariably scolded them and had them take all the blame for what should have been our responsibility, it was certainly a shameful cruelty on our part.
Yet I must admit there was also happiness in the true sense. As anyone will tell you, the little ones are always adorable, those captivating little mites and little darlings. Amao is now five months old. When you touch her chin or make faces, she will open her toothless mouth and give out a gurgling laugh. Her smile is like a flower unfolding. She does not like to be inside for long and if she is, she cries out loudly. Mother often says, "The little girl wants to take a walk; like a bird, she has to flit away once in a while."
Runer was three just last month; a clumsy one, he cannot yet speak well. He can only say three or four-word sentences with no regard for grammar and a blurred pronunciation, getting every word out only with great effort. It always makes us laugh. When he wants to say _hao_ [good], it comes out like [small]. If you ask him, "Are you well?" he will reply "small" or "not small." We often make him say these words for the fun of it, and it seems he now suspects as much and has recently begun to say a correct _hao_ , especially when we purposely want him to say _xiao_. He has an enamel cup which we bought for about ten cents. The maid had told him, "This is ten cents." All he remembered were two words "ten cents" and he therefore used to call his cup "ten cents," sometimes abbreviated to "cents." When that maid left, the term had to be translated for the new one. If he is embarrassed or sees a stranger, he has a way of staring openmouthed with a silly smile; we call him a silly boy in our native dialect. He is a little fatty, with short legs, funny to look at when he waddles along, and if he hurries, he is quite a sight. Sometimes he imitates me, clasping his hands behind him and walking with a swinging gait. He will then laugh at himself and also make us laugh.
His big sister Acai is over seven years old and goes to elementary school. At the table she prattles along breathlessly with stories of her schoolmates or their parents, whether anybody wants to listen or not. She always ends with a "Dad, do you know them?" or "Dad, did you know that?" Since Mother does not allow her to talk while eating, she always addresses herself to me. She is always full of questions. After the movies, she asks whether the people on the screen are real, and if so, why they don't talk. The same with photographs. Somebody must have told her that soldiers beat up people, which prompted her to ask, "Are soldiers human beings? Why do they beat people?" Recently, probably because her teacher made certain remarks, she came home and asked, "Whose side is Zhang Zuolin on?* Are Jiang Jieshi's soldiers helping us?" Endless questions of this type are used to pester me every day, and often they back me into a corner for want of an answer. When she plays with Runer, they make an incongruous pair, one big and one small, and there is constant quarreling and crying. But sometimes they seem to get along. For instance, one might hide under the bed and the other try to squeeze in in pursuit. Then out they come, one after the other, from this bed to that. All one hears is their laughter, shouting and panting, as Mother would say, just like little dogs. Now in Beijing there are only these three children with us since, when we came north last year, Grandmother took Ajiu and Zhuaner back to stay at Yangzhou for the time being.
Ajiu loves books; he likes to read _Water Margin, The Journey to the West, Heroes of the Sword, Little Friend,_ and so on. He reads whenever he has a spare moment, sitting or lying down. The only book he dislikes is _The Dream of the Red Chamber,_ which, he says, has no flavor; and indeed a ten-year-old can hardly be expected to appreciate its flavor.
Last year we had to leave behind two of the children. Since Ajiu was a bigger boy and since Zhuanger had always been with Grandmother, we left them behind in Shanghai. I remember very clearly the morning of our parting. I brought Ajiu from the hotel at Two Stream Bridge to where Mother and Zhuanger were staying with some friends. Mother had told me to buy something to eat for them, so at Sima Street I went into a restaurant. Ajiu wanted some smoked fish, which I bought for him along with some cookies for Zhuanger. Then we went by streetcar to Haining Street. When we got off, I noticed an expression of apprehension and discomfort on his face. I had to hurry back to the hotel to prepare things for the journey and could say only one or two words to the children. Zhuanger looked at me silently while Ajiu turned to say something to Grandmother. I looked back once, then left, feeling myself the target of their recriminatory glances. Mother later told me that Ajiu had said behind my back, "I know Father prefers little sister and won't take me to Beijing," but this was really not doing me justice. He also pleaded, "At summer vacation time, you must come and pick me up," which we promised to do.
Now it is already the second summer and the children are still left waiting in faraway Yangzhou. Do they hate us or miss us? Mother has never stopped longing for her two children. Often she has wept secretly, but what could I do? Just thinking of the old anonymous poem, "It's the lot of the poor to live with constant reunions and separations," saddened me no end. Zhuanger has become even more of a stranger to me, but last year when leaving White Horse Lake, she spoke up in her crude Hangzhou dialect (at that time she had never been in Yangzhou) and her especially sharp voice: "I want to go to Beijing." What did she know of Beijing? She was just repeating what she had heard from the big children. But still, remembering how she said it makes me terribly sad. It was not unusual for these two children to be separated from me, and they had also been separated from Mother once, but this time it has been too long. How can their little hearts endure such loneliness?
Most of my friends love children. Shaogu once wrote to reproach me for some of my attitudes. He said that children's noises are something to be cherished. How could anyone hate them as I had said? He said he really could not understand me. Feng Zikai* wrote an article for his _Viewing China,_ which is all "amiable talk from a most kindhearted man." Ye Shengtao often talked about his worries too, such as what middle school to send the children to after they finished elementary school. He brought this topic up with me two or three times. Those friends made me feel ashamed of my own attitude. Recently, however, I have grown more aware of my responsibilities. I think, first of all, I must get all my children together. Next, I must give them strength. I have personally witnessed the case of a man who, although very fond of his children, grossly neglected them by not providing good educations for them. Not that he was spoiling them in any way; it was merely that he lacked the patience to take good care of them. As a result, they will never amount to much. I think if I go on like I have, my children will be in even greater danger. I must make plans, must let them gradually know what it takes to become a good human being. But do I want them to become like me? Once at White Horse Lake where I was teaching lower middle school, I had asked Xia Mianzun this question, to be considered from the standpoint of the teacher-pupil relationship. He answered unhesitatingly, "Of course!" Recently, I came to talk with Yu Pingbo* about raising children and he had a clever answer: "In any case, do not make them worse than we are." Yes, indeed, raising them to be not worse than we are, that would do! Likeness to oneself need not be of any concern. Profession, world view, and so on—let them figure that out for themselves. Whatever they decide for themselves, they will value. Merely to guide them and help them develop themselves seems the most enlightened path to follow.
Yutong once said: "Only if we have our children graduate from universities can we say that we have fulfilled our parental duties." S. K. disagreed: "Consider also in this context your own economic ability and the children's capabilities and goals. If they graduate from middle school and cannot, or will not, go on to higher studies, let them do something else; even becoming workers, for instance, would not be improper at all." Of course, a person's social value and success do not altogether depend on his school education. By insisting that our children be university educated, we only follow our personal prejudices. I cannot decide these issues now, especially since the times are so unstable. How can one possibly foresee the future? It is a good thing the children are still small; we can wait and see what happens. All that we can do at present is to give them basic strength, breadth of mind, and good judgment. Since they are still children, it is of course too early to talk about high and far-off objectives; we should rather start out slowly from what is near at hand and basic. This, quite naturally, will proceed from the way I am. "It is up to each individual to solve for himself the mysteries of life!" Be it glory, misfortune or an undistinguished fate that awaits them, let each exert himself to the utmost of his strength. I only hope that with all these reflections I will from now on do well as a father; that would satisfy me completely. The call of the "madman" to "rescue the children"* is a frightening warning to all of us!
_Translated by Ernst Wolff_
## 83 **
THE LIFE OF BEGGARS**
_For centuries beggars and street entertainers were a common feature of large cities. "The Attractions of the Capital"(selection 41) briefly described a number of hustlers and entertainers who sought money on the streets of Hangzhou in the Song dynasty. Below is a description of the beggars active in Beijing in the 1930s from a book on the social life of the area. Although the existence of hundreds or even thousands of beggars in a large city like Beijing can hardly be taken as a sign of prosperity, in this author's view the beggars themselves were not in desperate straits and their presence enlivened life in the city._
In Beijing, begging for a living is an old and time-honored profession. Born into this tradition and never having opportunities for education or employment, old and young beggars alike firmly believe that begging is their only way to make a living. "Aggressiveness in begging and strength in numbers" is the byword of the beggars of China, and Beijing is the city where their guild originated and flourished. According to older beggars, a certain emperor was once reduced to begging before he became successful. Later, as an exalted emperor, he bestowed his blessings on the beggars and granted them special permission to beg at every door, elect a leader, and establish a guild in every city. While there is no evidence to substantiate their story, the guild regards it as a trustworthy historical record because it increases its own importance. I shall now, after a careful study, present my findings about the way of life and the different styles of the beggars in Beijing.
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THE LEADER OF THE BEGGARS' GUILD AND HIS POWER**
There is a beggars' guild in Beijing which has all the beggars in the city under the control of its leader and his few trusted subordinates. This guild is a highly structured organization in which rank and status are closely observed and its influence is extensive. Not only must the local beggars show absolute obedience to the leader's orders, but any beggar coming from outside the city must pay a courtesy call on him in order to get permission to beg in the streets. This registration ceremony is referred to as "paying courtesy to the leader." The leader of the guild is appointed for life and lives in a fairly comfortable style. After he dies his successor is selected by the guild members from among those with the highest standing and prestige in the organization. Then the rest of the beggars are ranked approximately by age, the oldest called "Brother Number One," the next, "Brother Number Two," "Brother Number Three," and so on. Children are called "apprentices." The leader of the guild has the power to command and mediate. For example, if two beggars have been quarreling over territory, the leader mediates and they must accept his decision. When the townspeople hold weddings or birthday celebrations, the leader pays them a visit asking for donations on behalf of all the beggars. When a beggar becomes sick or dies, the leader must buy medicine and have him cared for or collect money for his burial and report his death to the authorities.
#### **DONATIONS RECEIVED DURING CELEBRATIONS**
Soliciting for donations on festive occasions has become customary for the beggars. When a household celebrates a wedding or a birthday, the leader of the beggars' guild comes and extends his congratulations, whereupon the family manager usually gives him money, ranging from forty cents to one dollar. A family holding a birthday celebration generally gives more money than one celebrating a marriage because filial sons holding a birthday celebration for their parents do not want beggars to loiter about their front door saying un-lucky things. After the leader gets money, he posts a notice on the front door of the house: "This exalted household is having a celebration and our brothers are not to disturb them." Beggars who recognize this slip of paper shun the place the way small devils keep away from [the devil catcher] Master Jiang. If a family refuses to donate, a crowd of beggars soon creates disturbances at their front door and one never knows what embarrassing thing they might do next.
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FORMS OF ADDRESS AND TYPES OF CRYING**
When begging on the streets, the beggars must call out to different types of people with different forms of address such as, "big master," "great master," "honorable master," "madame," "your ladyship," "young master," "sir," "young lady," "honorable proprietor," "honorable official." They must appraise a person on the spot, determine his status, and address him with the appropriate title. How to do this is a required skill for all the beggars in Beijing, one earnestly passed on from master to apprentice. Two types of beggars must also be trained to cry properly, those who cry and run about the streets, and those who beg sitting in one fixed place. Women and children must weep with correct pitch and rhythm. One often sees them crouching on the side of the road wailing and chanting with tears in their voices, touching people's hearts with their words; or one sees women wailing while walking down the streets, dragging young children behind them. When they are given money, they stop their pitiful crying and pour out their gratitude. Male beggars must shout wildly or exhibit their deformities and injuries. All these techniques must be studied and mastered. After a day of begging with them, the income gained can be quite impressive.
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THE MASTERY OF SKILLS**
Some beggars learn a variety of skills when they are young, such as balancing tricks, juggling, sword dancing, and magic. These skills are not taught by the guild leaders but by special masters, even professional entertainers and boxers who are looking for extra income. As long as the beggars pay for their lessons and the lessons do not interfere with begging, they are free to engage teachers for these skills. A skilled beggar makes more money than the wailing, chanting, and singing kind.
Beggars also carry a variety of utensils such as bamboo baskets and glazed bowls for holding money, rice bags and iron pots for holding food, and canes for chasing dogs away and self-defense. Sometimes people give beggars old clothes that are still in fair condition, which they then wear under the tattered jackets which show their destitution. For the skilled beggar, other items are necessary, such as musical instruments, gongs, drums, wooden clappers, theatrical swords, daggers, lances, and various equipment for animal acts.
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HOSTELS FOR BEGGARS**
Outside of Beijing's Chaoyang Gate, in the region south of Tianqiao, there are many hostels for beggars. Users are charged one copper cash per night and must leave in the morning. In the winter months, most of these hostels provide heat in a large room called the "fire room." Wood is burned in a hole dug in the middle of the floor which everyone sits around for warmth. The customers are old and experienced beggars who are idle during the cold weather. Among them there is usually someone who teaches "The Falling of Lotus Petals" and other traditional begging songs. Most young beggars use this opportunity to accept a master. Sometimes when the weather is so cold no one goes outside, the hostel's cook will make a large pot of porridge for all to eat. There is a charge for this, but a day's stay is only five copper cash. Male and female beggars all share the same room, and no one dares take off shoes or clothes while sleeping because they will be gone the next morning. According to my research, Beijing has nine of these hostels, an institution which does not exist in the warmer and milder south.
#### **
TRADITIONAL BEGGING SONGS**
The older beggars pass on to their disciples not only skills for survival but also a variety of songs and rhymes. Lucky phrases are skillfully worked into the lyrics of begging songs. The lyrics are memorized but can be easily changed to meet different circumstances. When a beggar encounters someone who refuses to give anything, he can instantly change the lyric to mock the man and make him feel uneasy. I have jotted down some of the most common lyrics:
Well-wishing songs: "Turtle crawls to your door; your wealth will soon soar." "Madame gave me a couple of coins; madame will live a thousand years." "Old master you are most kind; this year you'll get a thousand gold pieces." "Madame took pity upon me; sons and grandsons you'll soon have."
Unpleasant verses: "If you don't give me money, I won't survive this year." "Don't give me money? I don't care! Save your money for your coffin!" "If you won't give, I won't ask. We'll see how you feel when your son dies!"
The well-wishing songs must be sung with a sad but strong voice to evoke people's sympathy and make them give voluntarily. Generally, families holding celebrations do not refuse beggars because no one wants to hear their curses at such a time.
The beggars in Beijing all refer to their profession as "living off the streets" for the obvious reason that they spend their entire lives in streets and alleys. Because of the economic decline of villages in the region in recent years, the number of beggars in Beijing has increased sharply. Everywhere one hears loud wailing and lamenting and sees strange and unusual tricks and gimmicks. I have listed them as follows:
1. _Sword slappers._ The beggars hold two long broad swords. Baring their chest, they slap the blades on it, breathe in deeply, then let out a loud grunt. This type is found most frequently during temple festivals and other holidays. A sword slapping beggar first addresses himself to a passerby, grunts, and then slaps himself with his swords. He continues to do so until his flesh is red and swollen and covered with speckles of blood. He is quite pitiful to look at.
2. _Brick slappers._ These beggars sit in the middle of the street slapping their bare chests and backs with a brick until their upper torso is covered with blood. This, too, is horrifying to see. These beggars grunt and shout just like the sword slappers. The above two types of beggars are not allowed to walk about but must remain seated in one place.
3. _Walking brick slappers._ These beggars walk down the streets while slapping a brick against their breasts, crying, "Master, madame, have mercy on the blind and deformed." Then they let out a pathetic sigh and hit themselves with the brick. As they repeat the crying and chanting, the brick serves as a percussion instrument setting the rhythm for the melodic wailing.
4. _Street criers._ These beggars, carrying willow staffs and baskets, roam the city streets and lament. They are mostly old and weak and do not hurt themselves, but their income is much less than the types already mentioned. The last two types of beggars are allowed to walk the city streets, but they are never permitted to knock on people's doors.
5. _Head nailers._ These beggars hold a few long nails between their lips and carry bricks. Each beggar penetrates the skin of his head with a sharp nail so it stands on the top of his head. Without saying a word he begs at doors. If he is given money right away, he leaves immediately; if not, he taps the nail into his head with the brick causing a crackling noise. Usually the nail is stuck into a tumor or a wart; when it is driven in deeper, blood drips down his face, creating a horrible sight. Once he bleeds, he usually will not leave until given a generous sum of money. This type of beggar is supposed to beg on one side of the street only.
6. _Head cutters._ These beggars carry a sickle and get intoxicated before begging at doors. If not given money, one of these beggars takes the sickle between his thumb and forefinger until just a few millimeters of blade show, then passes the blade over his head until blood oozes out. He then falls to the ground and does not get up until the person gives generously.
7. _Treasure counters._ These are the most commonly seen beggars in Beijing and can be divided into three types.
The first holds two beef shoulder bones from which dangle bells and colored ribbons. He begs and sings while keeping time by clapping the bones together and jingling the bells.
The second carries a big piece of bamboo in his right hand and a small one in his left. Scraping them against each other, he sings and begs.
The third type wears a colorful cap with a pom-pom on top. He holds two blue ceramic bowls in his hands and knocks them against each other to make a tinkling sound as he begs and sings. Some of these beggars wear rouge and powder and look very disgusting. I have recorded some of their songs: "I've begged here and I've begged there. When you eat dinner I'll be right here." "Shopkeeper, you'll soon be rich. When you eat your dinner, you'll see me." "Shopkeeper, don't get mad; the sooner you give, the sooner I'll leave."
8. _Sack carriers._ These beggars carry cloth sacks on their backs and beg from door to door. They must address people as "uncle" and "aunt" only and not as "master" and "madame"; otherwise it is a violation of which they can be expelled from the guild.
9. _Falling lotus petals._ Two beggars, wearing colorful clothes and caps, paint their faces with rouge and powder and carry bamboo staffs with holes drilled into each segment and filled with a few copper cash. While begging, they sing and dance, swinging their arms and legs, spinning around, and jumping up and down as if they were mad. Those who do not have colorful clothes often make do with ordinary rags.
10. _Jade drummers._ These beggars have long bamboo cylinders covered with tightly stretched skin, which they strike as they sing a slow and melodious song.
11. _Frame balancers._ These beggars balance a chopstick on the tip of their nose and place a small cup on the top of the chopstick. Thus balanced, they beg from door to door.
12. _Eel threaders._ These beggars carry an iron hook and pass it through a hole previously punctured in their noses. Until paid, they continue to stand at someone's front door, pushing the hook back and forth.
13. _Nodding phoenixes._ These beggars puncture a hole through the bridge of their noses and push a thick needle through it. Then they balance a small bowl on one end of the needle. Rocking and singing, they go door to door.
14. _Frozen meat._ Beggars in the North often use their children to get money. In extremely cold weather, they strip the youngsters and place them near shops and stalls to arouse sympathy from passersby and shopkeepers. These children become accustomed to such inhumane treatment; some even develop resistance to very cold weather. These beggars must remain in one fixed place.
15. _Snake charmers._ As North China is cold and harsh, only small green snakes are kept by snake charmers who carry them in bamboo cages and go from door to door to offer entertainment. These beggars are well versed in the art of handling snakes and also offer their services to capture snakes or sell snake skins and gall bladders for their restorative powers. During religious festivals, they catch water snakes and sell them to devout old ladies who later turn them loose. The next day they recapture them from the water and sell them again, turning an impressive profit.
I shall now list various ways deformed and invalid beggars can beg. They are not allowed to beg from door to door but must remain on the streets. Going down the streets, shouting pitiable cries, they try to arouse sympathy from passersby to make them give of their own free will.
16. _Sunset beggars._ Blind beggars aided by walking sticks who call out to passersby and collect money in a straw hat.
17. _Light gropers._ Blind beggars who squat on the street and grope their way around slowly while begging.
18. _One-eyed dragons._ One-eyed beggars who lean on a staff and pretend to be totally blind though actually able to see quite well.
19. _Rollers._ Beggars with totally disabled hands and feet who lie in mud rolling and howling. They are accompanied by other beggars who take care of them and collect the money. This type of beggar has the biggest income.
20. _Wall starers._ Beggars with disabled legs who pad their knees and hips with cotton and move about the street on their hands and knees.
21. _Wooden hands._ Beggars with paralyzed legs who hold two wood blocks and move about the street, dragging their bodies behind them.
22. _Moving carts._ Paralyzed beggars who lie on wooden carts pushed and dragged by two companions. Wailing and crying, they pass through the streets, and passersby can throw money into the moving cart.
23. _Rock carriers._ Male beggars who carry invalid females on their back, moaning and lamenting, through the city streets.
_Translated by Nancy Gibbs_
* 1894-1988, a leading writer and editor.
† Hu Shi (1891-1962), leading philosopher and writer.
* D. 1923, Japanese author and social idealist.
* Zhang Zuolin (1873-1928) was the warlord in Manchuria.
* 1898-1975, artist and essayist.
* 1900-1990, poet and scholar.
* In Lu Xun's story "Diary of a Madman."
## 84 **GENERALISSIMO JIANG ON NATIONAL IDENTITY**
_Among the ideas originally from the West, nationalism proved particularly potent. In the early twentieth century, Chinese intellectuals and political leaders thought that ideas of national identity and destiny then reshaping European politics could help China. Revolutionaries called for the overthrow of the Manchus on the grounds that they were alien. Sun Yatsen (1866-1925) made national self-determination one of his "Three People's Principles." China could not be strong until it rid itself of imperialist encroachments and was reconstituted as the nation of the Chinese people._
_Nationalist principles as formulated by Sun were a central part of the ideology of the Nationalist Party (Guomindang), led after 1928 by Jiang Jieshi (Chiang Kai-shek, 1887-1975). During this period the gravest threat to China's national autonomy came from Japan, which occupied Manchuria in 1931 and started a full-scale invasion in 1937._
_Below are two speeches in which Jiang dealt with issues of national identity. They were both delivered to meetings of high-level party committees, the first in January 1939, near the beginning of the war, and the second soon after Japan had surrendered in August 1945. In the first Jiang appeals to anti-imperialist sentiments to arouse determination to defeat Japan. In the second he considers what these principles might mean for a postwar China. If the Japanese should not rule parts of China, was it right for the Chinese to rule lands occupied by Tibetans, Mongols, or other nationalities? When were ethnic groups nationalities?_
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CHINA CANNOT BE CONQUERED**
Comrades, this assembly meets as we enter upon the second stage in our War of Resistance. It is, therefore, an especially significant session which lays heavy responsibilities upon us. As I have repeatedly pointed out, our war may be divided into two periods. During the first period, which ended with the fall of Canton and Wuhan, we tried to wear down the enemy's strength and at the same time protect our rear so that solid foundations might be laid for the second period of protracted resistance.... We are fighting this war for our own national existence and for freedom to follow the course of national revolution laid down for us in the Three Principles of the People. We are fighting an enemy who would deny us not only our freedom but our very life, an enemy with whom we cannot compromise without bringing utter ruin upon our nation. Only resistance can preserve us from national slavery. Only resistance can save the world from the collapse of international morality and the breakdown of all guarantees of peace. Dr. Sun Yatsen devoted his life to the movement for the salvation of his country and at the same time of the world. All that he planned and achieved our enemy would throw to the winds....
Japan has failed to realize the mighty power of our national resistance, the irresistible growth of our national spirit, and the true significance of our national history. The Japanese blindly hold that China can be tricked and subdued as she was by the Khitans and the Jin at the time of the Song dynasty, by the Mongols of the Yuan dynasty, and by the Manchus of the Qing dynasty. They do not understand the reasons for China's subjection in those times. They do not realize that it was the weakness of a few officials which brought about the submission of the government, a thing that should not be confused with the surrender of a whole nation. Today the Japanese cry, "Build a new order in East Asia," and expect in a short time to rule over all China. They forget that it has taken them more than forty years, a huge army, and vast expenditures to get even a tenuous hold upon our Northeastern Provinces. They refuse to take warning from past experiences, and now foolishly overstretch themselves to conquer the whole of China. Again they will fail.
Japan fails because she does not understand the characteristics of our nation, the force of the Three Principles enunciated by Dr. Sun Yatsen, the temper of our government, the signs of the times, and China's revolutionary military strategy and tactics. When Napoleon was attacking Imperial Russia, the strategy of all-front and prolonged resistance was not known. But even with his remarkable military genius and huge armies Napoleon was not able to avert defeat. How can Japan possibly succeed against republican China with its new and fervent national spirit? United against a common enemy and under the guidance of the national government, our people have been able to carry out modern revolutionary military tactics, and no armed force can subdue us....
Comrades, after eighteen months as the responsible commander-in-chief of our fighting forces, I have reached the following solemn conclusion. I commend it to your special consideration. You should instruct our people to take lessons from the annals of the Song and Ming dynasties. The fall of these two dynasties was not caused by outside enemies with a superior force, but by a dispirited and cowardly minority in the governing class and the society of the time. Today the morale of our people is excellent; the foundation of our revolution is deep and strong; and the Three Principles of the People give us a charter of liberty in harmony with the spirit of the modern age. If we do not destroy ourselves, no outside force can destroy us.... In more than five thousand years our nationality has never been really conquered and has most certainly never been exterminated. Furthermore, the dynastic downfalls were due to the cowardice, ignorance, lack of integrity, and selfishness of a small number of corrupt officials. The happiness and welfare of the common people did not concern them. During those despotic regimes a great gap existed between the government authorities and the common people. There were no ways by which the authorities could mobilize the power of resistance residing in the people. Yet, as a matter of fact, the spirit of the nation as a whole did not suffer from outside oppression and the people steadily opposed aggression. After an interval of two or three hundred years, the aggressors would be driven out and the nation's territory would be recovered.
Our present government, which is republican in form and revolutionary in spirit and which fights for the welfare of the nation and the people, has a far greater chance of expelling the invader. Our government is fully aware of its responsibilities and intends to complete the revolution and carry out the Three Principles of the People. It has no fear of bullying aggressors. Our resistance is a united effort of government and people. Sunzi says, "A virtuous government has the support of the people; it can command life or death from the people without exciting fear or complaint." Concord between government and people is the first essential to victory.
In our present struggle against Japan we have been able to live up to this high principle. The hearts of our people are absolutely united. Under the guidance of the government even the old and the weak, the women and the children, are conscious of the necessity of defending themselves against the enemy and of obeying implicitly the orders of the high command. Indeed, their spirit is such that they are willing to lay down their lives without a murmur. No one will barter his national birthright for slavery to Japan. The barbarism of the Japanese has everywhere aroused the spirit voiced in our ancient saying, "Prefer death to disgrace." Judging from the history of the past and the national consciousness and strong morale of our people today, China cannot be conquered.
From the geographical point of view, our country possesses natural advantages for defense. Our ancestors, two thousand years ago, took advantage of the mountainous terrain in constructing the Great Wall. From east to west our country extends through more than sixty-five degrees of longitude. From north to south it includes the climates of the frigid, temperate, and torrid zones. In any discussion of military success or failure we have always considered topography and climate of great importance. River, mountains, and deserts abound in our interior and in the west; arctic cold alternates with tropical heat. Invaders in the past have succeeded only in holding a part of our country for a limited time. They have never permanently controlled the whole of our country for a long time. Even in the Yuan and Qing dynasties, when the strongest forces attempted to conquer us, they were able to occupy only certain strategic points and the spirit of resistance among the people was not crushed. Today a nation of only seventy million people thinks it can absorb a nation of six times its population and with a far older history and civilization. What a mad dream! Topography and climate are again combining against China's invaders. No weapon in the world will be effective against this combination, reinforced by the firm determination and mighty strength of our people. Geographically, our country cannot be conquered.
China is the only nation in the Far East with an independent cultural achievement. This is borne out by history. Chinese civilization has been adopted by other peoples, but no alien civilization has ever succeeded in replacing China's own. China's civilization is imbued with a special spirit. I need not amplify this point. It is only necessary to recall the heroic behavior of our people in face of the enemy to realize the deep roots of our civilization. Japan is now trying with her mongrel civilization, of neither the East nor the West, to destroy our national spirit. But she has met with repeated failures in the occupied areas. If we are united at heart, and if we struggle with determination, the spirit of our people will be further strengthened. This resistance will infuse into our civilization a new splendor and power. Our civilization and our national national spirit can never be conquered or destroyed.
Economically we have the advantage. Modern wars usually arise out of economic conflicts and the outcome is determined by the economic strength and resources of the belligerents. China is essentially an agricultural country. Aggression descended upon us while we were in the period of national reconstruction. At first this seemed a major crisis, yet during the eighteen months of hostilities our financial structure has not been seriously injured, our currency has remained steady, and the livelihood of the people in the rear has been little affected. Owing to the excellent harvests in several provinces last year and the campaign of thrift, there are signs of plenty among our people. This is possible because we are an agricultural nation and strong in endurance, whereas industrial nations suffer more quickly from the consequences of war....
Since the invasion of Manchuria in 1931 we have seen clearly that the only road upon which all mankind can march together is the road of justice and righteousness. A nation that aspires to become strong and independent cannot allow itself to be checked by temporary hardships and sacrifices. In the course of time it is bound to earn the sympathy and cooperation of other just nations. The international developments of the past seven years have fully borne out our judgment. We claim no prescience; we have only maintained the position held by our revolutionary leader, Dr. Sun Yatsen: to save our country is also to save the world. Our judgment has been guided by this principle.
Dr. Sun often said that after China had recovered her independent national status she would have a large responsibility to the world. In his addresses on nationalism and on other occasions, Dr. Sun frequently declared, "China is the pillar of the Far East and the largest country in Asia; when China is strong, her four neighbors will be safe and on cordial terms with each other, and the surrounding peoples can retain their independence and share peace and happiness." Dr. Sun pointed out also that "China has never attempted by economic weapons to oppress other peoples. China's aspirations for peace were fully evolved even at the time of the Han dynasty." We do not oppress the weak and we do not bow before tyranny. We favor mutual assistance and we seek to strengthen ourselves. Dr. Sun further observed, "China had been strong for several thousand years without affecting the existence of Korea; but Korea was annexed after Japan had been strong for only twenty years. China's traditional policy has been to aid the weak and to support the falling, to live and to let live. Our national revolution is reinforcing our own historic love of justice and peace and is hastening the advent of enduring security and happiness for all mankind...."
Comrades, you must know that before our resistance began our country was regarded by the world as weaker than a third-rate power. Nevertheless, we succeeded in holding Japan, a first-class power, for more than a year and a half without being overcome. We must be ready to encounter more difficulties but we need no longer be frightened by our brutal enemy. Having entered this second period of resistance we believe that the military operations will daily turn in our favor. The only question is whether we have the strength of will to continue resistance, and whether our unity and determination will increase with every day of the struggle....
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NATIONAL INDEPENDENCE AND EQUALITY AMONG PEOPLES**
Japan has been defeated and is surrendering. The forces of violent aggression have been completely crushed by the concerted efforts of the United Nations. At the end of the First World War, Dr. Sun Yatsen said that nations working together for the good of all would certainly succeed while individuals or nations working for their own selfish ends would inevitably fail. The truth embodied in Dr. Sun's frank words has been abundantly confirmed by the recent war with its even greater sacrifices.
At this great turning point in history, the national government should make clear to the people of China and of the whole world the main objectives in its policy of realizing national independence and completing the national revolution.... The aim of our national revolution is twofold. In our relations with other nations we seek national independence and freedom. Within the nation we seek equality for all ethnic groups. For fifty years we faced the ever-growing menace of Japanese aggression; national armed resistance began when we had no other alternative. Therefore the main emphasis of our national revolutionary movement was upon consolidating the strength of all our ethnic groups. We knew that we must unite in resisting foreign aggression if we were to attain national independence and freedom.
We had three most important goals and the attainment of these constituted our most urgent task. First, we had to regain our sovereign rights in the northeastern provinces and reestablish territorial and administrative integrity there. Second, we had to recover Formosa (Taiwan) and the Pescadores Islands. Third, we had to restore to Korea her independence and freedom. Should Korea not be given freedom, Formosa not be allowed to return to its mother country, and the territorial and administrative integrity of the Northeastern Provinces not be restored, all talk of national independence and freedom would be useless and the objectives of our armed resistance could not be achieved. These objectives follow the policies handed down to us by Dr. Sun Yatsen. They have been the leading aims in our armed resistance against Japan, which has meant for us the loss of millions of lives. During the war we had to unite all the ethnic groups within the nation and strive together to complete our threefold task. Only if this is done can we expect our country to be independent and make secure the political equality of all ethnic groups.
Japanese imperialism has been defeated and Japan is suing for peace... We may say that the international aspect of our principle of nationalism is approaching completion. Therefore, we must formulate definite policies and take positive action to realize the domestic phase of the same principle, that is, ensure equality for all the ethnic groups within the nation and thus fulfill the entire program of our national revolution. We must also ensure the permanency of the victorious peace which we have won at the sacrifice of countless lives and enormous losses in property.
Upon the basis of Dr. Sun Yatsen's teachings, I shall now state, as a representative of the Guomindang (Nationalist Party), our policy toward carrying out the principle of nationalism and safe-guarding world peace and national security. I shall first take up the nationality questions in Outer Mongolia and Tibet. Outer Mongolia and Tibet both have a long history. The ethnic groups in these two areas have always lived by themselves and are totally different from the ethnic groups inhabiting the border provinces which mix freely with other groups. Following the Guomindang reorganization in 1924, Outer Mongolia sent representatives to extend greetings and felicitations to our party. Dr. Sun Yatsen was at that time already treating them as members of a friendly neighboring country and as honored guests. Such facts are recorded in Dr. Sun Yatsen's teachings and are widely known. We have never regarded the people of Outer Mongolia as colonials or oppressed them as the Beijing government did. Ever since the inauguration of the national government we have maintained friendly relations not only with the Outer Mongolians but also with the Tibetans. Our people should realize that if we ignore the aspirations of these ethnic groups for freedom and restrain their urge for independence and self-government, it will not only be contrary to the spirit of our national revolution but will also tend to increase friction between ethnic groups and jeopardize our entire program of national reconstruction. This in turn will adversely affect world peace and security.
The ethnic group in Outer Mongolia had, in effect, declared its independence from the mother country as early as 1922 when the Beijing government was in existence. That was almost a quarter of a century ago. The world is undergoing rapid changes and this is a propitious time for renewing old friendships. Therefore, we should, in accordance with our revolutionary principles and the Guomindang's consistent policy, recognize, with bold determination and through legal procedure, the independence of Outer Mongolia and establish friendly relations with it. We must seek a satisfactory solution of this question. If we fail, happy relations between China and Mongolia will be impossible and not only our own domestic tranquillity but also the peace of the world will be seriously jeopardized.
I must here point out three fundamental points in the realization of our principle of nationalism. First, the Chinese government and people should resolve with noble, sincere, and firm determination never to imitate the way of Japan toward Korea. We should honestly aid all ethnic groups which have given evidence of their capacity for self-government and have shown a spirit of independence. We should help them achieve national independence through self-determination, freedom, and equality on the Asian continent in the bright light of total victory. For fifty years, the national revolution of the Guomindang, as it overthrew the Manchu government and resisted Japan, has been a movement not only for China's own freedom and equality, but also for the liberation and independence of Korea. From today, we shall, in this same spirit and together with all Allied nations concerned, fully respect the principle of Korean independence and equality and the position that Korea will soon attain.
Second, if frontier ethnic groups situated in regions outside the provinces have the capacity for self-government and a strong determination to attain independence, and are politically and economically ready for both, our government should, in a friendly spirit, voluntarily help them to realize their freedom and forever treat them as brotherly nations, as equals of China. We should entertain no ill will or prejudices against them because of their choice to leave the mother country. Our frontier ethnic groups should, in a friendly spirit and through legal channels, make known their wishes to the government of their mother country. In this way, they may be able to realize their aspirations. They should not defy the mother country and stir up mutual hatred.
Third, we should accord the large and small ethnic groups inside the provinces legal and political equality, and unhindered economic and religious freedom, so that a warm community spirit and friendly collaboration may develop among all the groups.
As regards the political status of Tibet, the Sixth National Guomindang Congress decided to grant it a very high degree of autonomy, to aid its political advancement, and to improve the living conditions of the Tibetans. I solemnly declare that if the Tibetans should at this time express a wish for self-government, our government would, in conformity with our sincere tradition, accord it a very high degree of autonomy. If in the future they fulfill the economic requirement for independence, the national government will, as in the case of Outer Mongolia, help them to gain that status. But Tibet must give proof that it can consolidate its independent position and protect its continuity so as not to become another Korea.
Finding a solution for the ethnic problems of Outer Mongolia and Tibet is a very great task of our national revolution. It will be a touchstone of the success of our principle of nationalism. We should be ready to assume responsibility for a solution. I hope that all the Chinese people, in accordance with our revolutionary principles and spirit of national independence, assist the government in finding an answer to these questions. For world peace and security as well as for the solidarity and reconstruction of our own nation, we must deal with the world's national questions in conformity with the spirit of the Atlantic Charter and the Three Principles of the People....
The world war that has just ended was an unprecedented conflict in human history. All the United Nations hope that this horrible war will be the last war. China has fought the longest and suffered the most. Our hope for peace is therefore the most ardent. Any measure that will strengthen our national unity and promote international peace will receive our strongest support.
In collaboration with our allies, we shall strive to bring about friendly relations between all free and independent nations, ensure the continuance of peace and prevent the reemergence of power politics. We should see to it particularly that the peoples of the world do not again suffer from inequality, the want of freedom, scarcity, and fear. If we keep this in mind, we shall see how supremely important it is that the principles of national equality and national independence be everywhere realized. The national government, guided by its own vital principles and its consistent revolutionary policy, will complete the unfinished phase of the principle of nationalism as peace dawns upon the world. This is one of our fondest hopes and I am sure our allies will understand. World peace will thus be guaranteed and our national security be made certain. Let our people with one heart and one mind strive toward this goal. National revival and reconstruction will then become a living reality and the millions of our officers and soldiers and people who gave their lives in eight years of war will rest in peace knowing that they have not sacrificed in vain, and the truth of Dr. Sun's words pronounced after the First World War will be fully verified.
## PART VIII
**THE PEOPLE'S REPUBLIC**
The war with Japan, lasting from 1937 to 1945, produced massive social disorder. Much of east and south China was occupied and everywhere the economy was severely strained. With the defeat of the Japanese by allied forces, civil war between the Nationalist government and the Communist Red Army resumed. Although starting with only a fourth as many soldiers, in less than two years of actual fighting the Communist forces were victorious. On October 1, 1949, the establishment of the People's Republic of China was proclaimed. Under the leadership of Mao Zedong (1893-1976) and the Communist Party, the new government promptly set about reorganizing nearly all aspects of Chinese life. Foreign intervention within China was drastically curtailed, first by a Chinese alliance with the Soviet Union against the former imperialist powers, and then by the rejection of Soviet influence by the end of the 1950s.
During the initial decade of Communist leadership, profound social and economic changes were initiated. The old rural landowning elite was eliminated through a land reform program that took land from landlords to redistribute. Not only were many landlords killed, but for decades to come those classified as belonging to landlord families were subject to discrimination. The possible emergence of a new landlord class was prevented by the full collectivization of agriculture, accomplished by the end of 1956. Also during these early years, the power of the urban-based capitalists who had gained influence in the Republican period was under-mined by the socialization of industry.
The socialization of agriculture and industry was intended not only to reduce social and economic inequalities but also make possible faster economic nomic growth, for the new leaders were as intent as the Nationalists before them to make China strong and powerful. Despite the poverty of China's economic base, significant improvements in the living conditions of the bulk of the population were made possible by a more equitable distribution of the limited resources available. And measures such as improvement in the transportation of grain and increased political control of markets mitigated the ancient scourge of famine. Social services, including basic health care and primary education, were extended to the vast peasantry, who still constitute three-fourths of the population.
Very quickly the state and the Communist Party came to play larger roles in the lives of ordinary people than any earlier government had. What farmers would produce, where and how their children would be educated, what they might read in books and newspapers, where they could live or travel, all came increasingly under political control. The appointment of state and party cadres down to the commune level facilitated this, as did enhanced political control of communications, transportation, and marketing. In addition, the government pushed repeated campaigns to mobilize the masses both to assure popular support for new policies being introduced and also to maximize labor power.
Many previous social cleavages and sources of diversity were overcome in the 1950s and 1960s. Use of a standard dialect based on North Chinese pronunciation was successfully promoted. And because class distinctions were sharply diminished and education more widespread, the former division between elite and popular cultures significantly narrowed. In the countryside, new collective institutions drastically limited the social significance of kinship relationships. In the 1960s and 1970s graduates of urban high schools were sent by the million to live in the countryside, in part to control urban unemployment but also to undermine the distinction between mental and manual laborers. Yet the difference between city and countryside may actually have widened, as cities benefited more from industrialization and social welfare programs, and a strict household registration system kept rural residents from moving to cities in search of a better life. And despite Mao's intentions, the party cadres, who controlled the government, factories, schools, and communes, became a privileged elite.
Since 1949 the pace and even direction of change has repeatedly been altered by shifts in political policies. The emphasis to be placed on heavy industry, on local self-reliance, on birth control, on uprooting old habits like forced marriages, on unmasking counterrevolutionaries have all been influenced by political struggles. The most highly politicized period was the Great Proletarian Cultural Revolution, initiated by Mao in 1966. It led to a decade in which "class struggle" against revisionists and counter-revolutionaries was continually promoted. Those previously in authority—teachers, cadres, managers—were humiliated, often brutally, and later many were sent out to the countryside for "reeducation." During this decade political considerations were promoted over economic ones even in the countryside; peasants, for instance, were not allowed to raise pigs or chickens for fear of being labeled "capitalist roaders." During these years, China was largely isolated from the outside world, maintaining good relations only with Albania.
After Mao died in 1976, and particularly after Deng Xiaoping gained ascendance from 1978 onward, the policies of the Cultural Revolution were repudiated. Agriculture was largely de-collectivized and to promote modernization of industry, foreign investment was encouraged. Contact with the outside world greatly expanded as Chinese were sent abroad to study and tourists invited to visit China. As television became commonplace, ordinary Chinese learned much more about life elsewhere and began to make new demands on their government for improvements in their standards of living and more choice in their daily lives.
In recent years many people who have left China for the West have written revealing memoirs of their experiences, writing with a candor that has generally not been possible for authors in China. No excerpts from these writings are included here, however, because they were written for outsiders, not for other Chinese. It is still important for us to read and analyze what the Chinese have written for each other, to see the assumptions they make and arguments they use. The sorts of pieces that could be published have varied from year to year, in line with political shifts. In all periods there has been a plethora of propagandistic writings, meant to instill the "revolutionary" attitudes the Party espoused by providing positive models, fictional or nonfictional. More informative, often, are accounts in the press of undesirable behavior reported so that it could be condemned. Hardest to find are first-person accounts in which people believably describe their own feelings and actions. Each of these sorts of writings must be read with a critical eye and an awareness of the political pressures on the writer. Both positive and negative examples often seem too exaggerated, too black and white. Self-criticisms, petitions, even letters to editors should often be read as tactical political acts and not simply as candid expression of inner feelings.
## 85 **
THE COMMUNIST PARTY**
_Founded in 1921 at a meeting of fourteen delegates from six cells, the Chinese Communist Party grew to 300,000 members by 1933, 1.2 million members by 1945, and 4.5 million members by 1949. To achieve its goal of overthrowing the existing government and establishing a socialist state, the party had to build a command structure capable of decisive leadership, a body of cadres to carry out their decisions, and an army able to fight the better-equipped Nationalists. From 1934 until his death in 1976, Mao Zedong occupied the highest leadership role in the party. Much of the credit for building the party into an effective revolutionary organization should, however, go to Liu Shaoqi (1898-1969), like Mao from Hu'nan and a member of the party since the 1920s._
_The selection below is from a speech Liu gave in 1937 to representatives of party organizations then operating underground in "white" areas. In his address he stressed the importance of party members' accepting discipline and preserving secrecy. Even after the Chinese Communist Party defeated the Nationalists and shifted its central tasks to managing the state and economy, the organizational practices developed during wartime remained important._
_Through the 1940s, 1950s, and 1960s, Liu Shaoqi was one of the handful of top leaders, and he served as president of the People's Republic of China from 1959 to 1968. During the Cultural Revolution, however, he was branded the chief "capitalist roader" and "China's Khrushchev" and he died from mistreatment in 1969._
While providing more favorable conditions for the party to develop and carry out its work, the establishment of Guomindang-Communist cooperation will considerably increase the possibilities for the bourgeoisie to exert its influence upon the party and undermine it from within. In order to maintain the party's independence, purity, and unity, we should (1) raise the requirements for those who wish to join the party and place them on probation for a period of time (workers may be excepted); (2) provide for intensive education of party members in political theory; (3) tighten party discipline while extending democracy within the party; (4) select party cadres carefully; and (5) pay closer attention to the right deviation of tailism. The requirements for party membership mentioned here may be less strict in party organizations working underground.
In the restoration and expansion of party organizations in some places we must depend on backbone members and cadres who are trustworthy and absolutely true to the party. On no account should these people be transferred wilfully. A clear distinction should be drawn between inner-party work and open mass work. Stricter secrecy should be enforced regarding all innerparty work and organizational matters, which should not be made known to all our comrades, particularly those working in the open. Party organs should be very small, and unnecessary organizations and official titles should be abolished. Their contacts with other quarters, especially with comrades working openly, should be established with finesse. Although this is a very difficult task, it is a most important aspect of underground work. These small, underground leading organs must be preserved even when the situation permits overt action. In cases when greater overt action becomes possible, it will suffice for the mass organizations and comrades who work in the open to take part in public activities.
With regard to the party's underground work, we should have foresight, persistence, and patience and we must not allow the slightest impetuosity or negligence because, with the situation changing, what seems unimportant today may become very important tomorrow. So, what we do today should be subordinate to what we do tomorrow. In the past, many of our comrades simply did not have a long-range perspective or patience. They were afflicted with an intolerable impetuosity and were much too negligent. Even today, they do not take into account the present circumstances and still less the future situation when assigning tasks and carrying them out. They recruit party members in public, launch revolutionary emulation drives, initiate shock campaigns, and transfer cadres and reshuffle party organizations at will. From now on, we must cease to criticize our comrades arbitrarily as "fearing death" or "vacillating," for this encourages adventurist sentiments. The hurry-scurry disorder in the underground organs should also be stopped.
If something goes wrong in our underground organizations, they should suspend operation. When a situation grows tense, the staff should leave the place for a while if possible. Without considerable assurance of security, no work should be embarked upon. It doesn't matter if the work is not well done. What really matters is that the organizations must under no circumstances be destroyed. We must be particularly careful to establish solid underground leading organs which will not vacillate under any storm and stress. We must take firm disciplinary measures against those comrades who violate the principles of underground work.
We shall be in a position to deal with enemy agents provided we properly coordinate our open and underground work and provided the underground organizations carry out their work in an orderly way without negligence or recklessness. Enemy agents can still sneak into our party. So in addition to carefully selecting our members, we should try to prevent these agents from doing very serious harm to us, chiefly by properly coordinating our open and underground work.
Where conditions permit, inner-party democracy should be extended. For instance, the leading organs should frequently communicate with the rank and file, ask them for criticisms of their leaders and offer guidance through discussion with them. We should not only formally adopt some democratic procedures but, much more importantly, we should advocate a democratic spirit in our work. The leading organs should carefully consider the opinions of all comrades and respect the rights they are entitled to. Leading members do not have any privileges inside the party and so must not take pride in their leading status and become conceited. They should submit to the majority, subject themselves to discipline, accept criticisms from their subordinates, listen attentively to the reports from below and make detailed explanations to the comrades concerned. They should regard themselves as ordinary people, treat other comrades as equals and brothers, and handle dle problems impartially. This is the democratic spirit which all our cadres should possess, the spirit in which to remold themselves and with which to educate other comrades. This is the democracy that is needed inside the party.
Instances of commandism and punitiveness still abound in the party. Our comrades, failing to solve problems thoroughly from a political angle and according to principles, have instead resorted to organizational and disciplinary measures. (Some of them are unable to solve any problem without resorting to the latter.) Moreover, they are too mechanical and absolute in their methods of leadership. This is a kind of extremely undemocratic practice. All problems should be solved from a political angle and according to principles, and only then will organizational and disciplinary measures be warranted. Discipline is necessary in the party and should be tightened, but it should not be used except as a last resort.
To tighten discipline means to heighten our comrades' sense of the need to subordinate themselves to the majority and to the party organization; it does not mean that the leading organs should make frequent use of disciplinary measures to punish our comrades. On the contrary, the more the leading organs resort to such punishment, the more obvious the poor state of our discipline is. By party discipline we do not mean that within the party comrades are forbidden to express opinions differing from those of the leading organs but that they submit themselves to the majority in action and carry out the leading organs' decisions despite differences of opinion. Such ironclad discipline in our party makes it extremely difficult for the enemy agents to undermine us. But punitiveness and commandism are aids to them.
The party's collective leadership can be established only on the basis of democracy. And it can be considered truly collective only when it incorporates the experience and the useful ideas of all the comrades. Democratic centralism and the system of individual responsibility should go hand in hand. Decisions on major issues should be made democratically, although individuals must hold the responsibility for executing these decisions. Executive organs should carry out their work in an orderly way and should be governed by discipline, while leaders should supervise and check up on this work.
The true democratic spirit is inseparable from the communist morality of selflessness; its opposite is selfishness. Conceit, ostentation, and individualistic heroism are manifestations of selfish thinking. People who think this way seek to lord it over others and are unwilling to play second fiddle; they want the right to order others about but do not want to take orders; they criticize, attack, and abuse others at will but do not allow others to criticize them; they want others to submit to their "decisions" but they themselves refuse to obey the decisions of the party organization; they consider others' violations of the principle of centralism to be breaches of discipline but deny that their own violations of the democratic principle are likewise disciplinary breaches; and they seek only their own promotion and even do so at the expense of others. These are remnants in the party of the ideology characteristic of the old society and are contrary to the spirit of democracy.
The extension of democracy in the party requires, in the first place, that our cadres should have a keen understanding of it and set an example by their own actions before they can train our comrades and the masses to practice democracy. In the past, party members and cadres were afraid to speak lest they should make mistakes and be held responsible for them. This stemmed from a lack of democracy in the party. Instead of employing persuasion and education to encourage our comrades in their work at the lower levels, we often struggle with and attack them in order to get the work done. This is not a democratic approach. It has made our comrades afraid to speak and to act for fear of setting off a struggle. Struggle is only necessary in dealing with those who persist in their mistakes and refuse to study and mend their ways. Even then, the purpose is to educate.
It was wrong to wilfully attack our comrades during ideological struggles, label them as opportunists, and dismiss them from their work because they expressed differing views. The result of this practice has been that a lot of comrades who held different views dared not express them. This only served to conceal differences on political issues and on issues of principle so that the differences could not be thrashed out. And it only led to superficial unity in the party and impaired real political and ideological unity established on principles. Instead of lessening opposition between our comrades and the leading organs, it intensified such opposition. Therefore, rather than helping the leaders, the comrades were always finding fault with them, thus giving rise to further unprincipled struggle. The seeming absence of differences of opinion is not always a good thing.
When we say that we should not attack our comrades wilfully in ideological struggles, we do not mean that we should deny the existence of divergent views on political issues and on issues of principle among our comrades. On the contrary, it is really to resolve such differences that we want our comrades to express their views fully. Most of the differences can be eliminated through persuasion and discussion. In the future, we must be particularly careful about expelling comrades because of their different views on political issues and on issues of principle. We should do so only when they violate organizational discipline and do not make amends.
All work and change depend on our cadres. Therefore, the question of the cadres is a crucial one in the party. The party's central task is to train large numbers of cadres and assign them to the various fronts. The local organizations should pay special attention to the selection of cadres for training. In his conclusion, Comrade Mao Zedong put forward the criteria for the kind of cadres we require at present. He said they must be versed in Marxism-Leninism, politically farsighted, competent in work, full of the spirit of self-sacrifice, capable of tackling problems on their own, steadfast in the midst of difficulties, loyal and devoted in serving the nation, the class, and the party, and free from selfishness and individualistic heroism. Every one of our cadres should aspire to measure up to these criteria.
To bring our present and future cadres up to these criteria will entail arduous efforts both by the party and the cadres themselves. We should not use these criteria to test them and to dismiss those who are not yet up to the criteria. It is obvious that our cadres have various shortcomings, political as well as in competence, thinking, and ideology, and some are even tainted with the bad habits of the old society. But our purpose is to remold them and raise them to the required standard, not to destroy them. This is extremely hard work, but it can be done because we are going to remold the whole of mankind. We should regularly examine our cadres, assign them appropriate jobs and tasks to which they are equal, and help them in their work. The leading organs in many places have made mistakes in this respect and should correct them.
The promotion of new cadres is an important matter at present, but they can be promoted only by stages. We should not casually boost them into very high positions, as we did in the past, for it only serves to overwhelm them. In North China, breaches in harmony and cooperation between veteran and new cadres have already cropped up. This merits our attention. Both veteran and new cadres have their own strong points as well as their shortcomings. They should learn from and respect each other, so that each can adopt the other's strong points, offset his own weaknesses, and help to improve collective leadership.
Party members who join mass organizations should set up leading party groups. But these party groups must be skillful in carrying out their work. A leading party group should absolutely accept the leadership of the party headquarters at the corresponding level and the leadership of the party groups at higher levels. The party headquarters should be prudent and considerate when giving leadership to party groups. They should discuss all matters with the comrades of the groups and should refrain from mechanically making decisions on all minor issues. This does not mean that they should not give them leadership on specific matters; rather, it means that their leadership should be dynamic.
The disorderly and unsystematic style of work of our comrades should change. They should attend to the central tasks and work in an orderly way according to the priorities at different stages. All our comrades have an ardent revolutionary spirit which, however, should be combined with a truly down-to-earth spirit, so that they can effectively push forward their work and the revolution. Once they have a clear understanding of a specific task, they should have the determination to buckle down and carry it to completion. Only with the integration of the revolutionary and the practical spirit can the addiction to empty talk be eliminated and bureaucratism be overcome.
There should be a complete change in our propaganda work, even though we have achieved a lot of successes in this respect lately. In the past, some of our comrades often failed to distinguish propaganda slogans from action slogans, inner-party education from public-oriented propaganda, slogans for the party from those for the masses, and party propaganda from the appeals of the masses. They often used such slogans as "Get armed to support the Soviet Union" and "Get armed to wage the national revolutionary war" when mobilizing the masses for action. They added to strike demands the call to "Drive the Japanese aggressors out of China." It often happened that they published articles on inner-party problems in publications distributed in general circulation, in which they declared that such and such organizations or actions were led by the party. Moreover, our propaganda has been persistently formalistic, mechanical, trivial, or exaggerated, and without due regard to facts or to its audience. Our documents, too, have always been stereotyped. All these things must be eradicated. From now on, the party's theoretical study and propaganda will take on even greater importance and should be conducted systematically through all possible public channels, such as seminars and publishing institutions....
By arming our minds with Marxism-Leninism, we can overcome all our past mistakes and lead the millions of the masses to defeat Japanese imperialism and liberate China.
## 86 **
LAND REFORM**
_From the early 1930s until 1952, when the Communist party gained control of rural areas, it redistributed land. Each village would be visited by a team of party cadres who would organize committees of poor peasants and supervise the classification of the inhabitants into five categories: landlords (those who lived off the rents of their lands); rich peasants (those who rented out some land but worked the rest themselves); middle peasants (those who worked their own land without the help of tenants or hired hands); poor peasants (tenants and owners of small plots who also rented or worked for wages); and hired hands (those with no land who worked for wages). In periods when more radical courses were taken, not only landlords but also rich peasants and even some middle peasants would have their land confiscated and redistributed. They would also be publicly criticized and punished for their past offenses. Executions of landlords were not uncommon. During the war with japan and after 1948, more moderate measures were generally followed both in expropriation of land and humiliation of landowners. This revolution in landholding fundamentally altered China's power structure. The landowning elite was eliminated, the source of its income and influence abolished. Much of the power landowners had previously wielded in local affairs was taken over by peasants who became local cadres and dealt with the higher levels of the state and party structure._
_Changing the attitudes of deference and submission which had previously characterized most poor peasants required considerable organizational talent and skill on the part of Communist cadres. Below is a fictional and probably idealized description of how a group of peasants learned "to stand up" and assert their rights against a landlord. It is part of the novel Sun Shines over the Sanggan River, written in 1948 by Ding Ling (pen name of Jiang Bingzhi, 1907-1985), the first prominent woman author in China. A writer since the 1920s, in 1932 Ding Ling became a member of the Communist party and in 1936, after several years imprisonment by the Nationalists, she joined the Communist base in Yan'an. She participated in land reform in several villages in North China during one of its more radical phases in 1946-47, an experience that provided her with the basis for this novel. As an example of "socialist literature," this story was meant to be edifying and help shape a new way of thinking, but it also conveys a sense of some of the social realities of the period._
_Already in the Yan'an period, Ding Ling was subject to criticism for raising issues concerning women's status in the Communist movement. During the Anti-Rightist campaign in 1957, she was more severely criticized, removed from all her posts, and sent to a remote village in Manchuria. When the Cultural Revolution broke out, she became a target of local Red Guards and spent several years in solitary confinement. Rehabilitated in 1978, she was able to travel to the United States in 1981. She died in 1985._
The nine of them swept like a gust of wind up to Landlord Jiang's door. Guo was the first one through the big gate with the others close behind. There was no one in the courtyard. From the north room came the sound of furniture being moved. Guo dashed up the steps and burst in. Jiang was standing in the middle of the room. From the way the poor tenants had come rushing in, he guessed they were after the title deeds, but he was not afraid of them. Calmly he said, "Did the Peasants' Association tell you to come? Well, ask for anything you want! I understand the situation because, remember, I've been with the Eighth Route Army too. Only be sure to get everything straight yourselves; don't let other people cheat you! Young Wang, are you here too?"
The others were speechless. Only Guo spoke up loudly, "We understand the whole situation too, Jiang! We've come to settle accounts for all these years!"
"Settle what accounts?" Jiang began indignantly. But noting the expressions on their faces and hearing steps in the courtyard, he immediately changed his tone. "You and I both know there's going to be land reform in the village. That's good! I have a fair amount of land, more than I can cultivate myself, and I told the cadres long ago that I had decided to make a gift of it. Let everyone have land to farm and food to eat! That's only fair!"
Hearing that Jiang was going to make a present of the land, Wang lost his head and demanded testily, "What about the title deeds?"
In response, Jiang opened a drawer and took out a package, saying, "I got this ready a long time ago. I was just thinking of sending it to the Peasants' Association, but now you've come along at just the right time. There are twelve sheets here for 53.3 _mu_ of land—all pretty good land, too. I'm young and can take hard work, so it doesn't hurt me to give away so much. Wang, your five mu are included. Take that to the Peasants' Association. If you think it's still too little, tell them Jiang says he can give some more. After all, I'm the village head. I ought to set an example for others!"
"Jiang! What are you up to...?" Before Guo could finish, Wang snatched the package and ran out, and the others, seeing him running away with title deeds, took off after him. The crowd outside could not imagine what had happened. As they got sight of Wang and the others rushing through the gate, Zheng hurried over and asked, "What are you doing? What's the idea?"
Wang held his hand up, unable to contain his excitement, restless as a cock after a fight, unable to speak. Another tenant next to him shouted, "We've got them! We've got the title deeds! As soon as we went in, he handed them over!" There was nervousness rather than delight in his voice. By then Comrades Wen and Yang and the others had arrived. Thinking that the tenants had been frightened and had turned back, they asked at once how things had gone. Young Wang was clutching the package firmly in childlike excitement.
"Didn't you say anything?" asked Comrade Wen. Did you just take his title deeds and leave without saying anything?"
They looked at him quizzically, wondering what as wrong. Comrade Wen explained, "We want to settle accounts with him; we don't want him to give land away. That land is ours! What right does he have to say he'll give it away? We don't want _his_ land. What we want is our _own land._ It doesn't do any good for you to run off with the title deeds without settling accounts. He'll just say we're unreasonable then, won't he?"
When the inexperienced tenants heard this, they realized, "You're right! We went to ask for what he owes us! How did he manage to shut us up so quickly? It was all the fault of that good-for-nothing boy, Wang. As soon as he ran out, everyone followed. Let's go back! Come on!"
"What about Guo? Has he gone home?" They suddenly realized he was still alone in Landlord Jiang's house. Nobody had seen him come out. "Come on!" With renewed courage, the group reversed direction and hurried back.
When Wang and the others had rushed out, leaving him behind, Guo had become anxious and called after them, "We haven't settled our scores yet. What are you running off for?" But no one had heard him. Just as he was nearing his wits' end, Jiang's wife darted in from the inner room, looked him up and down once disdainfully, then said to Jiang in her syrupy voice, "Really, what a gang of thieves! Did they take all the title deeds away?"
Guo whirled around and glared at her, saying, "Who are you calling names? Who's a thief?"
The woman's long, disheveled hair framed a small, pale face. The bridge of her nose was pinched a purple red. Her upper lip was very short, revealing a row of irregular teeth which were all the more noticeable because two of them had gold crowns. Still ignoring Guo, she walked around him as if he were so much dirt and scolded Jiang, "You idiot! You let them take all the land that you had paid for. You hadn't stolen it, had you? Couldn't you reason with them? Communizing, communizing! Well, all your property has been communized now. I suppose if they tell you to share your women, you'll do that too! Let's see how you like being a cuckold tomorrow!"
"Dammit!" yelled Jiang. "Shut your stinking mouth!" He knew it was no use giving her a wink. Turning impatiently to Guo, he yelled, "What are you still hanging around here for? I gave away your ten _mu_ of land too. Why don't you go home?"
"We haven't settled scores yet," said Guo quietly. He knew the tenants had said that they had come to settle accounts but, now that he was left all alone, he felt tongue-tied. How he detested that woman! But hit her? He could not raise his hand. Leave? He did not want to show weakness. He was not afraid of Landlord Jiang, but he felt awkward. Just then, he caught sight of Wang and the others coming back. Feeling as happy as a released prisoner, he could not help shouting, "Wang!"
Wang marched straight into the room, brushing past Guo, threw the title deeds onto a table, and bellowed, "Who wants you to give away your land? It's our land that we want, now!" Then he winked at Guo, looking very confident.
Immediately, Guo knew what to do. Drawing himself up to his full height, he said, "Okay, Jiang, we won't count earlier scores. Just since the Japanese came. You say how much that land of yours has yielded, and we won't bother with the rent reductions we were supposed to get. Let's just say I should take half the yield. In that case, you made me pay every year about a picul and a half more than I should have. Then there was the grain tax I paid for you for nine years at compound interest! How much do you think you ought to repay me? And then, there's the wages you owe me. You kept making me do this, that, and the other for you. That's got to be counted too."
A shout came from behind him: "Hey, Jiang! I didn't farm your land for five or six years for nothing either!"
By this time many other villagers, hearing the tenants were settling scores with Landlord Jiang over his rent, had come to watch the excitement. Seeing Jiang caught off guard inside, they joined the attack through the window, shouting, "The bastard! When he was ward chief he made us pay taxes and do his bidding as army porters, sending our men to Dangshan and Hongshan, and some of them never came back. We want his life in exchange!"
When the tenants saw the crowd outside, they grew bolder. The three old ones had not meant to say anything originally, but now they joined in the shouting too. One of them cursed: "You rogue, Jiang! Do you remember New Year's Eve the year before last when you brought guards to my house and took away all my pots and pans, just because I was three pecks of rent behind? On what charge was my property confiscated? On New Year's Day we didn't even have a mouthful of gruel to eat at home. Old and young alike were crying. You heartless brute!"
Outside the shouting grew even more menacing: "Beat the dog to death! Shoot him!"
Seeing that things were going badly, his wife hid herself inside, afraid of being beaten. Jiang was in a rage but dared not act tough anymore, thinking, "Damn! Now I'm in for it. Discretion is the better part of valor." He was afraid to think, "All right, let them shoot!" But his mind was in turmoil. He thought of Landlord Zhen Wu who had been beaten by the peasants. Making up his mind, he ran inside, brought out another red package, bowed to the ground before them all and, with a glum look, entreated them, "Good masters, I've let all my neighbors down. Please be generous. I really owe too much to each of you. I can't possibly repay. The only thing to do is take the land as payment. These are my title deeds. They're all here, a hundred and twenty-seven _mu._ If you'll all be generous, I'll be a good citizen from now on...."
Now that he was humbled and all the title deeds had been produced, the crowd began to subside, for they had not planned any further settlement. Reluctantly, they took the title deeds, saying: "All right, we'll work it out and see. If there's too much, we'll give some back; but if there's not enough, you'll have to think of a way to make it up. Let's go!" Those inside and those in the yard all started leaving together. The trampling of feet could be heard, interspersed with some curses which, however, were filled with satisfaction. Jiang went into the courtyard to look dejectedly after their retreating figures. He gazed at the gray sky and sighed involuntarily. Inside, his wife burst into bitter wailing.
The disposition of Landlord Jiang's land was entrusted to the nine tenants who had taken his title deeds to the Peasants' Association. This was something they had never hoped for even in their wildest dreams. The nine of them crowded into Guo's house, and the Peasants' Association sent Han to help them write an account. They did not know how to begin, feeling merely that they had to find an outlet for their pent-up emotions. Their lives during the last three days had changed too drastically, especially in the case of the three old men, one of whom said, "Ah, the day before yesterday when the Peasants' Association asked me to describe all the hardships I've had in my life, I thought, in all these scores of years, has one single good thing ever happened to me? Happiness no sooner reaches me than it turns to sorrow. That year when my wife had given birth and people came to congratulate me on being a father, I thought, 'Eh, why make all this fuss? She's lying in bed waiting for me to go and borrow some millet to make gruel.' All day I tried in vain to borrow some, so the next day I took some bedding to pawn for three pints of rice.... Another year I owed Landlord Jiang one picul and eight pecks for rent and he was pressing me for it. We didn't even have husks at home, but I was afraid of him—if he grew angry, he could send you off as a porter for the army. There was nothing I could do, so I sold my eldest girl. Ah, why worry about her? At least she found a way to live. I didn't cry; in fact, I felt pleased for her sake—anyhow, I had nothing to say about it. I had already stopped being human; I couldn't feel like a man. So I didn't say a word. When the Association told me to go for the title deeds, I was afraid. I'm old. Why make enemies for the young folks? But I didn't dare say I wouldn't go, so I followed along with the rest. My, who could have believed that the world really has changed! Just think, Jiang's twenty-odd acres of land are in our hands now! Who could have imagined it? I know I ought to be pleased but, strangely enough, I actually feel sad, remembering all my past troubles."
Another said, "I always used to think that I was indebted to Landlord Jiang, that I must have owed him something in an earlier life as well as in this one, making it impossible to ever pay him all back. But yesterday when everybody reckoned things up like that, why, I've cultivated his land for him for six years, paying eight piculs rent a year, while he didn't lift a finger except to use his abacus! Six eights are forty-eight piculs, plus compound interest. With that, I could have bought fifty _mu,_ not fifteen! We were poor, too poor ever to rise to our feet. Our children and grandchildren had to work like animals just because the landlords lived on our rent. The more we provided them with, the tighter they held on to us. But we're not beasts after all, we're men! Why should we live like horses in harness, working without stopping until our hair is white! Now at last we see things clearly. Ah, our sons and grandsons won't be ground down like our generation!"
"We've got Jiang's land in our hands," said the third old man. "But he's still the village head. There are still people who're afraid of him, who have to obey him. This time we've got to take the job away from him! Another thing: he's not the only rich person who's exploited us. It's no good unless we overthrow them all. So, I say this is only the beginning."
"Jiang usually gives himself airs," said another. "Look how he tried to browbeat us when we went in, and then how he suddenly went soft, like wax by the fire, cringing and scraping. I think it was just because there were so many of us. There's strength in numbers, and he knows we've got powerful support with the Eighth Route Army and the Communists backing us up!"...
On returning to the Peasants' Association the previous day, Comrades Wen, Yang, and Zhang had talked things over with the others and decided to divide up Landlord Jiang's land first. Since, at the moment, it was not possible to hold a mass meeting to elect a committee for dividing up the land, it was decided that the tenants should make a preliminary division, to be discussed by the masses later, in order to heighten the villagers' enthusiasm and increase their confidence. Accordingly, these nine men were chosen as a temporary land division committee.
When this news spread, many villagers grew excited. Group after group went to the cooperative to lodge complaints with the Peasants' Association against Jiang, demanding to go and settle scores with him too. They asked for his property to be confiscated, saying he had no right to go on living in such a good house. It was a house he had built when he was ward chief, built with the people's sweat and blood! And why should he be allowed to store so much grain? He had a double wall full of grain. Everybody knew there was a narrow lane at the back of his house where he stored it. Why should he be allowed to keep so many clothes in his wardrobe, now that so many people had nothing to wear? They raised pandemonium, and some pushed their way into Landlord Jiang's house while he was busy pulling all the strings he could, calling on the cadres, hoping they would leave him a little more land. When the villagers saw he was out and about, they were afraid the cadres would be deceived and listen to him. Then even more of them went to find Comrades Yang and Wen and ask to have all Jiang's property moved out. Wen, who was afraid of going too far and was unthinkingly clinging to a few "policies," felt that such an act would be beyond the scope of land reform. He wanted to have nothing to do with it and even urged the villagers to hold off. But the people refused to leave, some wanting to move the things out themselves. When the militia arrived, they sneered at them, "What are you doing here? Have you come to keep an eye on us?"
Comrade Yang had a long talk with Comrade Wen and finally won his consent to have all of Jiang's movable property temporarily confiscated by the Peasants' Association. Wen realized that as matters stood, some action must be taken, so he turned the matter over to the Association.
Zheng headed the unit that pasted up notices telling of the property being sealed and giving orders to seal up all chests, containers, and unoccupied rooms, leaving only one bedroom and kitchen for Jiang to use for the time being. But crowds of people, still doubtful, followed to watch and said, "We won't touch a thing, only watch. It's all right now that the Association is taking charge. As long as you are not keeping these things for Jiang we approve."
Standing to one side, they made suggestions and supervised the work, until finally even the containers of oil and salt for daily use were all sealed up. Jiang had returned by then and, bowing repeatedly to them all, begged them not to seal up so much. His wife, her eyes red from weeping, sat sullenly on the millstone in the courtyard. Seeing her, someone suggested that the millstone be sealed up, but another answered, "They can't move it very far, so there's no need to seal it up!"
## 87 **
HU FENG AND MAO ZEDONG**
_In the 1930s and 1940s many intellectuals and writers were attracted to Marxism and to the Communist party, seeing in them possibilities for a new and more just society. The party, and particularly Mao Zedong, always had misgivings about the loyalty and real motives of such intellectuals. In his 1942 "Talk at the Yan'an Forum on Literature and Art," Mao established a militant tone for the party's policies toward writers and artists: they were to integrate themselves with ordinary people, and their work had to serve the needs of the revolution. Liberal notions of art for art's sake had no place in Mao's scheme._
_Mao repeatedly reiterated these principles in the early 1950s, and in 1955 made an example of Hu Feng (pen name of Zhang Gufei, 1903-1985), a leading editor and literary critic. Although an avowed Marxist and a member of the League of Leftist Writers since the early 1930s, compared to Mao, Hu was a liberal who defended the freedom of the writer to express his individual feelings and thoughts. In 1954 Hu published a criticism of the stultifying effect of official requirements that writers write upbeat stories about workers and peasants and deemphasize any signs of backwardness. He wanted more autonomy for writers and more avenues for publication._
_The attack on Hu was led by an old foe, Zhou Yang, and orchestrated by Mao. Hu's letters to his friends and followers were seized and used as evidence against them. Mao took a personal hand in preparing a series of People's Daily articles that published Hu's letters and denounced him for his bourgeois values and counterrevolutionary activity. Mao's editorial comments were not attributed to him when they were first published, but the Quotations from Chairman Mao issued during the Cultural Revolution included quite a few passages from them, and they were also later included in Mao's Selected Works._
_The selection below consists of two parts, first some of the letters from Hu Feng to his friends that were published as evidence of his counterrevolutionary activities, then some of Mao's editorial comments. After these appeared Hu Feng was tried in secret on charges of being a counterrevolutionary and sentenced to prison, where he continued to fight, staging hunger strikes, asking for a press conference, and demanding legal counsel, until finally he suffered a nervous breakdown. He was rehabilitated in 1979._
#### **
HU FENG'S LETTERS**
_Chongqing, November 1, 1944_
To Shu Wu:
Yesterday I finished a quick reading of the book _Philosophy of Mankind_ and felt as if I had fought my way through a great battle and been rewarded with some new ideas....
The book seems to say much too little about individualism, which is merely touched on in conjunction with collectivism. This shows caution, yet dwelling on that topic would have been the only way in which to make the volume truly worthwhile. How criticism and censure have made their effects felt!...
There should be a chapter on the exalted position of the mind, too. This would bring out the independence and power of ideas and show the spirit of sacrifice. It should be the climax of the entire volume, serving as a death blow to the materialistic ideas of these rascals.
_Chongqing, July 29, 1945_
To Shu Wu:
The only thing that matters now is that our magazine has been completely encircled.... I have suffered quite a lot because of this magazine. I have thought the matter over a thousand times already. Fighting individual battles will not solve anything; eventually we shall be overwhelmed. I really do not know what to do. There seems to be only one way out; if we make concessions, then the periodical may be saved. On the other hand, if we must make concessions, then why publish it at all?
_Beijing, May 30, 1949_
To Lu Ling:
The world of literature and art is enshrouded by an atmosphere of great melancholy. Many seem to be in shackles, although everybody hopes for the best. Many are like the unhappy little daughters-in-law in our old Chinese family system, who are always fearful of beating that may come at any moment but who must go on living....
_Beijing, January 12, 1950_
To Lu Ling:
Victory will be ours, although the road may not be an easy one, and more intensive and vigorous efforts must yet be made. It is not too pessimistic to estimate that it will take five years.
As for our little magazine, let us continue to improve it. We must not see it as a major battleground in any sense; but we must remember that if we so much as cough, someone will take note of it and criticize us.
_Beijing, March 15, 1950_
To Shu Wu:
In Shanghai the field of literature is dominated by several big names, so we can hardly publish any books or periodicals there. Also, in Beijing the field is much too crowded. Both in Wuhan and Hunan, where the pattern set in Hong Kong is being followed, there seems to be a great deal of confusion. The Northeast, however, is free from such pressure, or at least, if pressure is there, it must be extremely weak. Besides, Tianjin is nearby, where the literary movement is prospering. With Lu Li and his associates taking charge of literary matters there, prospects for the future are indeed bright.
_Shanghai, September 12, 1950_
To Zhang Zhongxiao:
The circumstances are now such that many among the reading public, cut off from each other, have become blinded. First of all, with "public opinion" standardized, the average reader finds it difficult to discern what is right. Second, the great majority of readers live in organized groups in a suffocating atmosphere of pressure. Third, in matters of literature and art, the easiest way out is allegiance to "mechanism."
Yet in spite of these conditions, the seeds of opposition are found everywhere; people are clamoring for something better. This makes it difficult for the "leaders" to exert pressure, although they feel pressure itself is absolutely necessary.
What will the final outcome be? I wonder if some signs will be visible in half a year's time. It is important that the reading public speak up, as well as those under pressure or oppression. Slowly we shall see whether a chink can be found. As it is, all the magazines are under close supervision. If this barrier cannot be torn down, we shall all die of suffocation.
_Shanghai, August 24, 1950_
To Geng Yong:
It is a good idea to send your letter back to them every time it is returned; this will create a problem for them. But did you change your last name last time? It would, of course, be best if you had used another name, although if you did not the last time, you should not do so now. Furthermore, in the composition of the letter you must be analytical and lucid, bearing in mind that, besides factionalism, they are also hampered by incompetence. The most important thing is that your letter possess the power to convince the readers, although in all probability, it will not be published by the journal.
_Shanghai, August 22, 1951_
To Zhang Zhongxiao:
I wanted to write, and so I took a look at Mao's "Talk at the Yan'an Forum on Literature and Art." After reading it I had no urge to write any more. Let me tell you a few of my views concerning that essay.
The struggle between writers and their adversaries in the creative process is indicative, I think, of the difference between genuine and false realism. Yet all he said in this regard was "Observe, practice, study, and analyze." How pacifying and simplistic!
His views on utilitarianism only serve to throttle true criticism and choke off what is new. What he says in the three sections on "exposing" and "praising" is not correct. It represents an understanding only of form and a mechanical way of looking at things. I detest ideas like "exposing" and "lauding."... I feel that the words should be "suffering" and "joy," "seeking" and "vain hope." I also feel that there is no room in realism for vulgar expressions of his kind.
The section that touches on Lu Xun's essays is not correct. Lu Xun's essays are like sharp implements for unearthing new ideas in real life. It is a misconception of Lu Xun to take them merely as "battle weapons of satire needed at the time because of domination by dark influences and consequently no freedom of speech."
Other points could also be mentioned, but these are the important ones, the ones I felt deeply to be wrong. The whole booklet may be described as nonrealism! It might have been useful in the old days at Yan'an, but it is no longer of use, in my opinion. As it is, it now is a deadly weapon. No wonder its adherents worship it like a totem....
I really cannot imagine what is in the minds of those guidance experts who conceive of this booklet as embodying the most "complete" literary and art principles and who have studiously imparted this belief to others.
_Shanghai, June 26, 1952_
To Lu Ling:
First, in dealing with Gun Yi [apparently a code name for Zhou Yang], no matter whether he uses hard or soft tactics, our attitude toward him should be good-natured, and we should try to soften his blows. We must have respect for hard facts. We cannot risk taking the offensive haphazardly, nor should we retreat too readily. This is important. We must let him realize that, while he can use us, he cannot bully us.
Second, there are three ways open to us: (1) to hold on to that periodical and concentrate our attack on it; (2) to make known our criticisms at once; or (3) to record our views but put them aside for the moment and wait for developments. Let us wait for actual developments before deciding on anything. At one of the small group meetings you might explore how to deal with that periodical. At any rate, we should certainly be getting preparations under way.
Shanghai, May 30, 1952
To Lu Yuan:
In the reform campaign, the important thing is to speak in praise of the leadership and undertake a self-review. Except for those within the same discussion group, it would not be wise in the discussions to touch on anybody not immediately concerned. Before Liberation, each person fended for himself; since Liberation, each is supposed to work under the leader of his or her own group. There cannot be too close a relationship between any two people....
If an individual must give his views at all, he should give only his impressions.... If we are asked what influences have affected us, we might mention the good influences, such as our desire to go among the masses to reform ourselves. In fact, have we not already asked for such an opportunity? As for the bad influences which have affected others, that is their business....
_Shanghai, March 17, 1952_
To Lu Ling:
Dian has been told by the director that the time is ripe to discuss my case. Please verify this when Boshan comes around. If true, then there will be some fun. I rather suspect that the honorable Qiao's "indisposition" is an excuse to take time off to study my case. At the moment I am undecided whether or not to ask for a hearing to present my views in person.
Beijing, November 7, 1954
To Fang Ran and Ji Fang:
The developments here deserve watching. Today the Second Augmented Meeting of the Federation of Literary and Art Circles was held. Speaking to the assembly, I pointed out that the problems of the _Gazette_ are not unique, rather that they manifest the inclinations of those in leadership positions. I cited cases to prove that from its very first and second volumes it had already shown the following trends: In outlook, it capitulated to the capitalist class and at the same time discriminated against young and revolutionary writers who did not side with it. In the field of ideology, it developed sociological concepts of the common and vulgar sort and bowed to formalism in the matter of style. I further pointed out that in the past few years it had gone steadily downhill. By saying this, I meant to divert the meeting from the case concerning the periodical to a review of the situation as whole.
I have not finished my speech yet. At the next meeting, Xu will speak and will make his denunciation.
I had at first hoped that you people would take part in the review. But now I would like you at least to speed up the writing of your article. Be sure to paint a clear picture of persecution based on factionalism, at the same time pointedly bringing out the capitalist character of their ideology.
####
HU FENG'S SPEECH TO THE FEDERATION OF LITERARY AND ART CIRCLES, BEIJING, NOVEMBER 11, 1954
Armed with sociological ideas of the common and vulgar sort, the commentators and critics became arrogant. They would not look upon writers as their comrades-in-arms or as comrade-workers. They would appear at times as political tutors, at times as tactical lecturers, and, worst of all, at times as petty judges about to render their verdicts. In short, one was forced to write according to their prescribed formulas and their rules. Their attitude toward creative productions was one of extreme rigidity and cruelty. They paid no attention to the conditions of the individual writers or to the requirements of creative production, nor did they care about the real contents of their own productions or look into the matter of objectivity. Developed to the extreme, all of this subjected the writer to a formula to demarcate class status. It rendered writers practically helpless and made it imperative that even the slightest details in their works conform to the directions and distorted interpretations of the commentators and critics....
_The Literary Gazette_ has been published for five years. Why is it that only now questions are being raised about it?... It did not passively suppress free discussion. On the contrary, it resorted to active means, such as criticizing others to avoid being criticized or having to make a self-criticism.
During the past five years various literary reform campaigns have been undertaken: The "Three-Anti," the "Five-Anti," and many other campaigns of ideological reform within the party. Yet all along, the _Gazette_ has been remolding the general populace without reforming itself, behaving as if it had no mistakes or defects of any kind at all.
Secondly, shouldn't the _Literary Gazette_ be closely attuned to the general public? Obviously it should. Yet from the very beginning, it had adopted an attitude of despising and keeping away those readers who did not side with its views, and particularly those opposed to them. It organized a correspondent's network composed of readers who favor its views and circulated among this restricted group a publication known as the "Internal Circular for Correspondents." This circular is a means by which the _Gazette_ issues orders and directives to its correspondents to organize and guide attacks against other people.... The correspondents are encouraged to write letters, to convene group discussion meetings, to prepare articles, and generally to create the impression of a popular front. If they do all of these things obediently, they are rewarded. If they bring up mildly opposing views, they are criticized for being questionable in ideology. If their offenses prove to be serious, they are no longer allowed to serve as correspondents and are banished from that privileged group.
And what exactly is the result? A sense of blind obedience is fostered among the general populace with consequent adverse effects.... Some of the correspondents form a small privileged group while the _Literary Gazette_ itself operates in the position of the big boss, having under its control those correspondents purporting to give it popular support.
_Beijing, December 13, 1954_
To Fang Ran:
I presume you have seen all of the articles and literature published. The waste involved in this matter must have been enormous.... Blinded by illusions which were too optimistic, we have tended toward adventurism without making a concrete analysis of actual conditions. For this I must bear the main responsibility.
_Beijing, January 26, 1955_
To Ji Zhifang and Ren Min:
It has been a long time since I wrote you last. I hope you are both well. There are now new developments in the situation. Please take the things that have come to pass and those that will shortly transpire in a cool-headed manner and with silent reserve. Do no act hastily or take part in discussions since this will only make things worse. I hope you will also stop our sympathizers from doing anything. Do not write any letters or articles expressing your views. This is no time for discussions. We are under criticism and censure.
You are in the teaching profession, so it is best that you do not get involved. If it is absolutely necessary, just give a few of your criticisms of me....
_Beijing, February 8, 1955_
To Zhang Zhongxiao:
Do not feel sad and by all means stay calm. There are many things we must put up with. We must find renewal through forbearance, for the sake of our enterprise and more important things to come. Hence, at the coming meeting do not be hesitant. Speak out in criticism of Hu Feng and others. As for Hu, he is quite willing to write articles criticizing himself if those above wish it. It does not matter, for the masses will be able to determine how much he is in the wrong and how much he is in the right.
#### **
HU FENG'S SELF-CRITICISM**
In the course of the current campaign criticizing capitalist ideology, I have begun to realize my serious errors. Their fundamental cause has been my thinking that the revolution of the bourgeoisie and its stand were synonymous with those of the working class. I glossed over the differences in principle between them. These errors have been exemplified in ideology by my confining myself to the narrow viewpoint of realism instead of adhering to political principles; by my distorting and disregarding the viewpoints of the working class; by my contradicting Marxist principles with respect to certain fundamental issues; and by my disobeying the line advocated by Chairman Mao in the fields of art and literature. They are exemplified in my way of doing things; in my attitude of refusing for a long time to undergo thought reform; in my advocating individual heroism of the sort which results in praising oneself all the time; in my giving vent to narrow factional sentiments; in my utter lack of the spirit of self-criticism; and in my tendency to deviate from the masses and collectivization. Because of my attitude of considering myself to be right all the time, I persisted in my errors and disregarded the criticisms of my comrades as well as their wishes and expectations. As a result, not only did I avoid correcting my errors but I continued in them and allowed them to grow.
#### **MAO'S EDITORIAL COMMENTS PUBLISHED MAY 24, 1955**
In the past, it was said that they were a group of simple cultural people. This is wrong because they have worked their way into political, military, economic, cultural, and educational establishments. In the past it was said they were like a bunch of revolutionaries equipped with torches and sticks. This is wrong because most of them have serious problems. Their basic ranks are made up either of imperialist-Guomindang secret agents, or of reactionary army officers, or of renegades to the Communist party. A counterrevolutionary faction hidden within the revolutionary camp, an underground independent kingdom, has been formed with these people as the leading group.
During the period when there are still classes and class struggles at home and in the international arena, the working class and the masses of the people who have seized state power must suppress the resistance of all counterrevolutionary classes, groups, and individuals against the revolution, ban their restoration activities, and forbid all counterrevolutionary ends.
From [Hu Feng's letters] above, we can see the following: (1) Since liberation, the anti-party, anti-people conspiratorial activities of the Hu Feng clique became progressively more organized and more extensive; their attacks on the party and party-led cultural policies became fiercer. (2) Like all other counterrevolutionaries, they always adopt secret or two-faced tactics in their campaigns. (3) Because their conspiracy was exposed, the Hu Feng clique is not able to retreat under pressure, but this sort of reactionary clique whose hatred for the party, the people, and the revolution has reached such a crazy degree have not truly laid down its weapons, but is plotting to continue using two-faced tactics to preserve their strength and wait for an opportune time to stage a comeback. This is clearly demonstrated by the fact that Hu Feng uses such phrases as "By being patient you can seek a second life," or "Everything is for the cause, for the distant future" to encourage members of his clique. Like other open or hidden counterrevolutionaries, members of the counterrevolutionary Hu Feng clique put their hope in the reestablishment of a counterrevolutionary government and the overthrow of the people's revolutionary government. They see this as the opportune moment they are waiting for.
#### **
MAO'S COMMENTS PUBLISHED JUNE 10, 1955**
Those who represent the exploiting classes usually, when in a predicament, resort to the tactics of attack as a means of defense so that they can stay alive today and even flourish tomorrow. They throw in your face rumors which they have conjured up out of thin air, or they pick on a few superficialities as a means of countering the essence of a matter, or they sing the praises of one group of people to attack another, or they seize on an incident as an opportunity for "making a breakthrough at some point" and putting us in a difficult position. In short, they are always considering what tactics to use against us and "spying out the land" in order to employ their tactics successfully.... As members of a revolutionary party, we must be alive to these tricks of theirs and in order to defeat them must study their tactics. We must not behave like bookish scholars and oversimplify the complications of the class struggle.
#### **
MAO'S INTRODUCTION TO A SEPARATE BOOK REPRINTING THE HU FENG LETTERS**
Counterrevolutionaries and those with counterrevolutionary sentiments will find much that they like in the correspondence of the Hu Feng clique. Hu Feng and his clique are indeed spokesmen for all counterrevolutionary classes, groups, and individuals, and the curses they hurl at the revolution and the tactics they use in their activities will be appreciated by all those counterrevolutionaries who can get hold of this book, for which they can derive some counterrevolutionary education about class struggle. Nevertheless, this will in no way save them from their doom. Like all the counterrevolutionary writings of their backers, the imperialists and Jiang Jieshi's Guomindang, which were directed against the Chinese people, these writings of the Hu Feng elements are records not of success but of failure. They did not save their own clique from destruction.
The masses of the people are very much in need of this material. How do counterrevolutionaries employ their double-dealing tactics? How do they succeed in deceiving us by their false appearances, while furtively doing the things we least expect? All this is unknown to thousands upon thousands of well-intentioned people. On this account, many counterrevolutionaries have wormed their way into our ranks. The eyes of our people are not keen, they are not adept at distinguishing good people from bad types. When people operate in normal conditions, we know how to tell the bad from the good, but we are not adept at seeing through those who operate in unusual conditions. The Hu Feng elements are counterrevolutionaries who put on a disguise to hide their true features and to give a false impression. But since they oppose the revolution, it is impossible for them to cover up their true features entirely. As for the leading spirits of the Hu Feng clique, they have had disputes with us on many occasions before and since Liberation. They are different in word and deed not only from Communists but also from vast numbers of nonparty revolutionaries and democrats. They were recently exposed to the full simply because we got hold of a mass of solid evidence against them. As for many of the individuals in the Hu Feng clique, they were able to deceive us because our party organizations, state organs, people's organizations, cultural and educational institutions or enterprises failed to make a strict examination of their records before admitting them. It was also because we were in a stormy period of revolution in the recent past and people of all sorts tried to get close to us as we emerged the victors; so inevitably the waters were muddied, the bad came mixed with the good, and we have not yet got around to sifting them thoroughly. Furthermore, success in spotting and clearing out bad elements depends on a combination of correct guidance from the leading organs with a high degree of political consciousness on the part of the masses, but in this regard our work in the past was not without shortcomings. These are all lessons for us.
We attach importance to the Hu Feng case because we want to use it to educate the masses of the people, and first those cadres who can read and also the intellectuals; to them we recommend this material for raising their level of political consciousness. The material is striking for its extreme sharpness and clarity. Counterrevolutionaries will naturally pay attention to it and revolutionary people even more so. If the masses of the revolutionary people learn something from this case and the material thereby increases their revolutionary ardor and their ability to discriminate, we shall have all sorts of hidden counterrevolutionaries gradually uncovered.
## 88 **
A NEW YOUNG MAN ARRIVES AT THE ORGANIZATION DEPARTMENT**
_From the time of victory in 1949, Mao worried that the revolutionary fervor of party members would wane, that they would lose touch with the people and become authoritarian bureaucrats. In 1956-57 he launched a campaign to expose the party to the criticism of intellectuals under the slogan "Let a Hundred Flowers Bloom." Although most intellectuals were cautious at first, once criticism started to pour forth, it soon became a torrent. At this point Mao and other party leaders abruptly changed the policy of toleration and launched an attack on the critics for harboring rightist ideology._
_The following excerpt is from a story by the young writer, Wang Meng (b. 1934), published in People's Literature in 1956. During the "Hundred Flowers" period, it was widely discussed. Wang's mockery of this one sleepy and inefficient party office earned the praise of many who were troubled by bureaucratic abuses, but it also elicited considerable hostility from officials unaccustomed to this manner of criticism. During the anti-rightist phase, Wang Meng was criticized for sentimentality and despondency, traits said to be characteristic of bourgeois intellectuals with few ties to the masses. Labeled a rightist, Wang Meng was sent off to the far northwest, living in a Uighur village until he was rehabilitated in 1978. He served as minister of culture from 1986 until dismissed in 1989 after the Tiananmen crackdown._
The fourth day that Lin Zhen [the new young party member] was at the district headquarters, he went to the Donghua Gunny Sack Factory to look into the conditions of party recruitment work during the first quarter of the year. Before going, he looked over the relevant documents and read a small volume entitled "How to Carry Out an Investigation Study." He repeatedly asked Han Changxin for advice and carefully and elaborately wrote out an outline for himself. Then he mounted the bicycle supplied to him and rapidly rode out toward the gunny sack factory.
The guard at the factory entrance, as soon as he heard Lin was a party committee cadre, did not even ask him to sign his name but trustingly invited him to go on in. He walked through a large empty yard, past a huge open storage bin filled with hemp and a building which rumbled with the sound of machinery. Then, rather nervously, he knocked at the door of Wang Qingchuan, the factory director and concurrent party branch secretary. Receiving a reply of "Come in," he entered slowly, fearing that if he moved quickly he would display his lack of experience. He saw a fat-faced, thick-necked, short man playing chess with a slick-haired humpback. The short comrade lifted his head, playing with a chess piece, and after asking Lin whom he wanted to see, impatiently waved his hand and said, "Go over to the branch party office in the adjoining building and ask for Wei Heming; he's the organization committee member." Then he lowered his head once more and continued with the chess game.
Lin Zhen found the ruddy-faced Wei Heming and began questioning from his outline, "In the first quarter of the year how many persons did you recruit?"
"One and a half," Wei replied harshly and abruptly.
"What's this 'half'?"
"One person was passed, but the district committee has already delayed two months in approving him."
Lin Zhen took out a notebook and noted this down. Then he continued, "How was the recruitment work carried out? What experiences did you have?"
"The procedure was the same as before—as laid down in the party constitution."
Lin Zhen looked at the person sitting opposite him. Why were his remarks as dry as week-old bread? Wei leaned his cheek on his hand and looked away as if he were thinking of something else.
"What were the results of your recruitment work?" Lin asked.
"I just told you," Wei replied, in a manner which showed he hoped to end the discussion quickly.
Lin Zhen did not know what to ask next. He had spent a whole afternoon preparing an outline and now after talking for five minutes he had used it all up. He was quite embarrassed.
At this moment the door was pushed open by a forceful hand. The short comrade came in and snapped at Wei, "Do you know what was in that letter that just came?"
Wei dully nodded his head. The short comrade paced back and forth and then, standing with legs apart in the middle of the floor, said, "You've got to think of a way out! The question of quality was raised last year. How is it you have to wait until the contractor writes a letter to the ministry of textiles? It is shameful if in the high tide of socialism our production cannot gradually be raised!"
Wei Heming coldly looked at the short man's face and said, "Who are you talking about?"
"I am talking about all of you!" The short man waved his hand, including Lin Zhen in his gesture.
Wei Heming was trying to keep his anger under control and looked quite frightening. His face turned even redder and standing up he asked, "And you? You don't have any responsibility?"
"Naturally I am responsible." The short comrade calmed down. "I am responsible to the higher levels. No matter how they deal with me, I've got to take it. You are responsible to me. After all, who made you production chief? Be careful...." Finishing, he looked threateningly at Wei Heming and then left.
Wei sat down, opened up all the buttons on his cotton jacket and took a deep breath. When Lin Zhen asked who that man was, Wei sarcastically replied, "You don't know him? He's the factory director, Wang Qingchuan."
Then Wei told Lin in detail all about Wang Qingchuan. Originally, Wang worked in some central ministry but as punishment for some involvement with a woman, he was assigned to this factory as deputy factory manager in 1951. In 1953 the factory manager was assigned elsewhere and Wang was promoted to that position. He never did anything but run around in circles, hide in his office, sign papers, and play chess. Every month at the union meeting, the party branch meeting, and the youth league meeting he would make a speech criticizing the workers for not carrying out mass competition well, for their indifference to quality, for their economistic ideology?.... Wei had not finished when Wang pushed open the door again. Looking at the watch on his left wrist he ordered: "Inform all responsible persons in the party, league, union, and administrative departments that there will be a meeting at 12:10 in the factory manager's office." Then, slamming the door, he left.
Wei Heming mumbled, "You see what sort of a person he is?"
Lin said, "Don't keep these complaints to yourself. Criticize him, tell the higher levels about all this. They cannot possibly condone this sort of factory manager."
Wei smiled and asked Lin, "Old Lin, you're new here, aren't you?"
"Old Lin" reddened.
Wei explained, "Criticism doesn't work. He generally does not join in such meetings; so where are you going to criticize him? If by chance he does join in and you express your views, he says, 'It's fine to put forth opinions, but you've got to have a firm grip on essentials and consider the time and place. Now we should not take up precious time put aside for discussing national tasks by giving vent to personal opinions.' Fine. So instead of taking up 'valuable time,' I went around to see him myself, and we have argued ourselves into this present situation."
"And how about informing the higher levels?"
"In 1954 I wrote letters to the ministry of textile industry and the district party headquarters. A man named Zhang from the ministry and Old Han from your office came around once to investigate. The conclusion of the investigation was that 'Bureaucratism is comparatively serious but most important is the manner of carrying out work; the tasks have been basically completed. It's only a question of shortcomings in the manner of completing them.' Afterwards Wang was criticized once, and they got hold of me to encourage the spirit of criticism from bottom to top, and that was the end of it. Wang was better for about a month. Then, he got nephritis. After he was cured he said he had become sick because of his hard work, and he became as he is now."
"Tell the upper levels again."
"Hmph. I don't know how many times I've talked with Han Changxin, but Old Han doesn't take any notice. On the contrary he lectures me on respect for authority and strengthening unity. Maybe I shouldn't think this, but I'm afraid we may have to wait until Wang embezzles funds or rapes a woman before the upper levels take any notice."
When Lin left the factory and mounted his bike again, the wheels turned round much more slowly than they had on his way to the factory. He frowned deeply. The first step in his work was filled with difficulties, but he also felt a kind of challenge—this was the time to show one's fighting spirit! He thought and thought, until his bike strayed into the express lane and he was stopped and scolded by a policeman.
After finishing lunch, Lin Zhen could not wait to go off to Han Changxin to report on the situation. Han was wearily leaning on the sofa, his big form looking heavy and clumsy. He took a box of matches out of his pocket and, choosing one stick, began picking his teeth.
While Lin poured forth a disconnected account of what he had seen and heard at the Gunny Sack Factory, Han tapped his toe on the floor and kept saying, "Yes, I know." Afterwards, he patted Lin on the shoulder and cheerily said, "If you didn't understand conditions the first time out, it's not important. The next time will be better."
"But I understand the situation regarding Wang Qingchuan," said Lin, opening his notebook.
Han closed the notebook and told him, "Right, I've known about this situation for a long time. The year before last the district committee told me to settle it, so I severely criticized him, pointing out his shortcomings. We talked for at least three or four hours...."
"But there weren't any results. Wei Heming said he was only better for one month."
"Even one month is something. Moreover, it certainly was not for only one month. Wei's ideology is questionable if as soon as he meets anyone he starts to tell all about his superior's faults...."
"Well, was what he said true or not?"
"It's hard to say. Naturally this ought to be solved. I've talked it over with the district committee assistant secretary, Comrade Li Zongqin."
"And what did the assistant secretary think?"
"He agreed with me that the problem of Wang Qingchuan ought to be solved and can be solved.... Only, you shouldn't go diving into it just like that."
"Do you mean me?"
"Yes. This is the first time you've gone to a factory, and you don't understand the entire situation. Your job isn't to solve the problem of Wang; in fact, to speak frankly, a more experienced cadre is needed for his problem. Besides, it isn't that we haven't considered the affair.... If you go jumping into this business, you won't get out for three months. Are you completely familiar with the first quarter's summary on party building? The upper levels are anxious to receive our report!"
Lin Zhen was silent. Han patted him on the shoulder again. "Don't be upset. There are three thousand party members in our district and a hundred-and-some-odd branches. Do you think you can know all of their problems as soon as you arrive?" He yawned, the pockmarks on his tired face standing out redly. "Ahhhh—I'd better take my afternoon nap."
"Then how should I go about investigating party recruitment work again?" Lin asked hopelessly.
Then Han Changxin again rose to pat his shoulder, but Lin involuntarily moved away. Han self-confidently said, "Tomorrow we will go together; I'll help you investigate. How about that?" Then he took Lin off with him to the dormitory.
The next day, Lin Zhen was very interested to see how Han would go about investigating conditions. Three years earlier when he was in the Beijing Normal School, he had gone off to observe teaching in practice. The teacher stood in front and lectured while Lin and the students listened. This time, Lin adopted the same attitude; opening his notebook, he prepared to note down carefully Han's modus operandi.
Han asked Wei Heming, "How many party members did you recruit?"
"One and a half."
"Not 'one and a half,' but two. I'm inquiring about your recruitment work, not about whether the district committee has approved them or not." Having corrected him, Han continued, "How did these two men complete their production quota?"
"Very well. One exceeded his by seven percent and the other by four percent. The factory wall newspaper shows..."
When he started to talk about production conditions, Wei seemed to take on a little more life, but Han interrupted him, "What shortcomings do they have?"
Wei thought for some time and then vaguely mentioned some defects. Han made him give some examples. After this Han again asked him about the party activists' completion of their quarter's production tasks, seeking figures and concrete examples. But when the manner in which advanced workers overcame difficulties and developed innovations came up, he showed no interest.
After they returned, Han quickly scribbled off a hand-written draft "Summary of Conditions Regarding Recruitment Work at the Gunny Sack Factory" whose details were as follows:"... During this quarter (January-March 1956) the gunny sack factory branch office basically carried through a positive and careful plan of recruiting new party members. In party building work it achieved definite results. Newly approved party members Zhu and Fan received the glorious encouragement of becoming Communist party members, strengthened their outlook as owners of their own tools, and in the first quarter exceeded their heavy production quotas by seven percent and four percent respectively. The great mass of positive workers within the party factory branch were influenced by the good example set by Zhu and Fan, and were stimulated by their decision to achieve acceptance into the party. They developed their positive attitude and creativity and magnificently completed or exceeded their production quotas for the quarter...." (Below was a series of figures and concrete examples.) "This proves: 1. party building work not only does not interfere with production work, but in fact greatly stimulates it. Any work method which uses as a pretext the urgency of production work to disregard party building is mistaken. 2.... But at the same time it must be pointed out that party building work in the gunny sack factory still has certain shortcomings... such as..."
Lin Zhen held the sheet of fine paper on which the "Summary of Conditions" was written and read it over and over. There was an instant when he doubted whether he had been to the gunny sack factory or whether the last time he had gone to the factory with Han he had fallen asleep. Why was it there were so many things he absolutely could not recall? He suspiciously asked Han, "What is the basis for all this?"
"Wei Heming's report that day."
"The production results were due to their party building work?" Lin began to stammer.
Han shook out the crease in his trousers and said, "Naturally."
"No, Wei didn't say that last time. They were able to raise production, but perhaps it was due to expanding competition, perhaps because the Youth League established a supervision post, but not necessarily because of the achievements of party building work...."
"Naturally, I don't deny that. Various factors all worked together. You cannot split them apart metaphysically in an analysis and say this is a result of X and that is a result of Y."
"Then if we were writing a summary of rat catching work during the first quarter could we also use these figures and examples?"
Han smiled broadly at Lin's inexperience and said, "You have to be somewhat flexible...."
"How do you know their production tasks were heavy?"
"Do you think there could be any factory now with light tasks?"
Lin was dumfounded....
Not long afterwards, Lin Zhen was the target of severe criticism in a party small group meeting. The situation developed as follows. During one of Lin's visits to the gunny sack factory, Wei Heming told him that because the quality standard set for the quarter had not been met, Wang Qingchuan had fiercely lectured the workers. The workers had their own views on this, and Wei planned to call a discussion group together, collect these views, and pass them on to the higher authorities. Lin approved of this method and thought that in this way the "ripening of conditions" could be hastened. Three days later Wang came into the district committee in a blind rage, looking for the assistant secretary, Li Zongqin. He complained that Wei Heming—with the support of Lin Zhen—had formed a faction to carry out anti-leadership activities and moreover, that the workers in the discussion group Wei directed were all suspect because of their backgrounds.... And at the very end, he requested that his own resignation be accepted. Li criticized a few of Wang's shortcomings and agreed to prevent Wei from convening his discussion group again. "As for Lin Zhen," he said to Wang, "we will give him some much deserved instruction."
In the criticism meeting, Han analyzed: "Comrade Lin Zhen did not discuss the issue with the leadership but on his own responsibility agreed to Wei's calling of a discussion group. This, to begin with, is a kind of unorganized, undisciplined behavior...."
Lin refused to concede and said, "Not requesting permission from the leadership was an error. But I do not understand why we not only fail to investigate spontaneously the views of the masses but on the contrary prevent the lower levels from putting forth their views!"
"Who says we won't investigate?" Han raised one leg. "We are completely in control of the situation at the gunny sack factory...."
"In control but making no effort to solve the problem; that's what's so painful! The party constitution says that party members must struggle against anything that works against the interests of the party...." Lin Zhen's face paled.
Experienced Liu Shiwu began to make his statement. He always made a point of entering at a discussion's most crucial point.
"Comrade Lin Zhen's enthusiasm is very praiseworthy, but for him to lecture the organization department cadres on the party constitution after having been here only a month is a little presumptuous. Lin believes that, by supporting criticism from the bottom up, he is doing a very fine thing, and his motive is no doubt very noble. But criticism from the bottom up must be initiated by the leadership. For example, let's ask Comrade Lin to think about the following: First, isn't it true that Wei Heming has a personal grudge against Wang Qingchuan? It would be very difficult to say otherwise. Then, for Wei so eagerly to call a discussion group together may have had a personal objective, couldn't it? I think that's not entirely impossible. Second, were there people in the discussion group whose backgrounds are in doubt and who may have ulterior motives? We've also got to consider that point. Third, can the convening of that kind of a meeting give the masses the impression that Wang is on the verge of being punished and thereby lead to confusion all around? And so on. As to Lin Zhen's ideological condition, I want to put forward very frankly a guess: a young man easily idealizes life; he believes life should be a certain way and then demands that it be that way. Those who do party work must consider the objective facts and whether life can be that way. Young people also easily overestimate themselves and aspire to too much. As soon as they go to a new work post they want to struggle against every shortcoming and be a 'Nastya' type of hero. This is a valuable and lofty idea but it is also a kind of vanity...."
Lin Zhen wavered for a moment as if he had received a blow. He bit down tightly on his lower lip to hold in his anger and pain. Screwing up his courage, he asked again: "But what about Wang Qingchuan?..."
Liu Shiwu jerked his head up and interrupted, "Tomorrow I will have a talk with him. You are not the only one with principles."
## 89 **
PENG DEHUAI'S CRITIQUE OF THE GREAT LEAP FORWARD**
_Despite the peasant origins of most of the cadres and Red Army soldiers who won the civil war, the leaders of the Communist party began their task of rebuilding the country on the standard Marxist premise that industrialization is necessary for socialism. Thus in the early 1950s much effort was devoted to Soviet-style economic planning to concentrate available resources for the development of heavy industry. Mao was never entirely happy with the power that technical experts gained in this process, and in 1957 he proposed an alternative to the Soviet model, a Great Leap Forward. In November 1957, in Moscow, he told the leaders of the international communist movement that China would surpass Great Britain in industrial output within fifteen years. Through the concerted hard work of hundreds of millions of people laboring together, China would transform itself from a poor nation to a mighty one._
_In 1958, in a wave of utopian enthusiasm, agricultural collectives were amalgamated into gigantic communes with expectations of huge increases in productivity. Throughout the country, communes, factories, schools, and other units set up "backyard steel furnaces" in order to double steel production. As workers were mobilized to work long hours on these and other large-scale projects, they spent little time at home or in normal farm work. In 1959, after the frenetic pace was relaxed, Peng Dehuai (1899-1974), the minister of defense and a military hero, offered measured criticisms of the Great Leap policies at a party meeting. Mao was affronted, vehemently countered the charges, and forced the party to choose between Peng and himself. Peng in the end was removed from his positions of authority. During the Cultural Revolution he received rough treatment at the hands of Red Guards, dying in 1974 after a lengthy period in solitary confinement._
_Within a couple of years, the Great Leap proved an economic disaster, and the three years from 1960 to 1962 are known as the Three Hard Years, when millions died of the effects of malnourishment._
Dear Chairman:
This Lushan Meeting is important. In the discussions in the Northwest Group, I commented on other speakers' remarks several times. Now I am stating, specially for your reference, a number of my views that I have not expressed fully at the group meetings. I may be as straightforward as Zhang Fei, but I possess only his roughness without his tact. Therefore, please consider whether what I am about to write is worth your attention, point out whatever is wrong, and give me your instructions.
#### **
A. The Achievements of the Great Leap Forward in 1958 Are Indisputable.**
According to figures verified by the State Planning Commission, total industrial and agricultural output value in 1958 increased 48.4 percent over 1957. The increase in industry was 66.1 percent, and that in agriculture and sideline production, 25 percent (it is certain that grain and cotton registered a 30 percent increase). State revenue rose 43.5 percent. Such a rate of increase is unprecedented in the world; it exceeds the established speed of socialist construction. In particular, the Great Leap Forward has basically proved the correctness of the General Line for building socialism with greater, quicker, better, and more economical results in a country like ours, hampered by a weak economic foundation and by backward technology and equipment. Not only is this a great success for China, it will also play a long-term positive role in the socialist camp.
But as we can see now, an excessive number of capital construction projects were hastily started in 1958. With part of the funds being dispersed, completion of some essential projects had to be postponed. This is a shortcoming, one caused mainly by lack of experience. Because we did not have a deep enough understanding, we came to be aware of it too late. So we continued with our Great Leap Forward in 1959 instead of putting on the brakes and slowing down our pace accordingly. As a result, imbalances were not corrected in time, and new temporary difficulties cropped up. But these projects are after all needed for national construction. They will gradually—in a year or two or a little longer—bring us returns. Gaps and weak links exist in production, making it impossible to put some projects to use. Also, the serious shortage of essential reserves of certain types of supplies makes it difficult to correct in time the disproportions and the newly created imbalances. These are the difficulties confronting us. In working out the plan for 1960, we should give it more serious consideration on a practical and reliable basis. Some capital construction projects started in 1958 or in the first half of 1959 which cannot be completed must be suspended with the utmost resolution. We have to give up one thing in order to gain another. Otherwise the serious disproportions will be prolonged, and it will be impossible to extricate ourselves from our passive position in certain fields, and that would hamper our speed in the effort to catch up with or surpass Britain in the next four years. Although the state planning commission has set guidelines on the proper balance, it has difficulty in making the final decision because of various reasons.
The people's communes which emerged in rural China in 1958 have great significance. They will free the peasants in our country from poverty, and have set the right path along which we can speed up the building of socialism and march towards communism. On the issue of ownership, there was some confusion at one time, causing shortcomings and mistakes in our practical work. Though this was a serious problem, the shortcomings and mistakes have been basically corrected and the confusion basically eliminated after a series of meetings were held in Wuchang, Zhengzhou and Shanghai. The people's communes are gradually shifting to the normal course of distribution according to work.
The problem of unemployment was solved during the Great Leap Forward in 1958. The quick solution of this problem was no small matter; it was a matter of great importance to a country like ours with an enormous population and a backward economy.
In the nationwide campaign for the production of iron and steel, too many small blast furnaces were built with a waste of material, money, and manpower. This, of course, was a rather big loss. On the other hand, through the campaign we have been able to conduct a preliminary geological survey across the country, train many technicians, temper the vast numbers of cadres and raise their level. Though we paid a steep tuition (we spent over 2,000 million yuan to subsidize the effort), there were gains as well as losses in this endeavor.
Considering the above-mentioned points alone, we can say that our achievements have been really great, but we also have quite a few profound lessons to learn. It would be to our benefit to make an earnest analysis.
#### **
B. How to Review the Experience and Lessons in Our Work.**
At this meeting, the participants are making many valuable suggestions in the discussions on the experience and lessons in our work last year. Our party's work will benefit greatly from these discussions. The party will be able to free itself from a passive position in some fields and take the initiative, acquire a better understanding of the laws governing the socialist economy, readjust the imbalances which always exist, and realize the correct meaning of achieving a rapid development.
In my view, some of the shortcomings and mistakes that emerged in the Great Leap Forward were unavoidable. All the revolutionary movements led by our party in the past thirty years or so have had some shortcomings accompanying their great achievements. These are the two aspects of the same question. The outstanding contradiction confronting us in construction is the tension in various fields caused by disproportions. Such a development has in essence affected the relationship between workers and peasants and between the various strata in the cities and the rural areas. Thus the contradiction takes on a political nature. It is the key link which affects our mobilization of the masses of people for continuing the leap forward.
There are many reasons for the shortcomings and mistakes in our work during the past period. The objective reason is that we are unfamiliar with socialist construction and do not have a comprehensive knowledge based on experience. We do not have a deep understanding of the law of planned and proportionate development of the socialist economy, and we have not implemented the principle of walking on two legs in various fields of work. In handling problems in economic construction, we are not as competent as we are in dealing with political problems like the shelling of Jinmen [Quemoy] and the putting down of the rebellion in Tibet. As for the objective situation, our country is in a backward state of being "poor and blank" (some of our people still do not have enough food, and last year each person was rationed six meters of cotton cloth, enough to make only a suit and two shorts) and the people are eager to change this situation. A second reason is the favorable international situation. These have been important factors contributing to our launching the Great Leap Forward. It was entirely necessary and correct for us to accelerate our construction work to try as soon as possible to put an end to poverty and backwardness and to create a more favorable international situation by taking this good opportunity and acting on the demands of the people.
A number of problems that have developed merit attention in regard to our way of thinking and style of work. The main problems are:
1. A growing tendency towards boasting and exaggeration on a fairly extensive scale. At the Beidaihe Meeting last year, the grain output was overestimated. This created a false impression and everyone thought that the food problem had been solved and that we could therefore go all out in industry. In iron and steel, production was affected with such extreme one-sided thinking that no serious study was conducted on equipment for steel making and rolling and ore crushing as well as for coal mining and other mineral ores and for making coke, on the source of pit-props, on transportation capacity, on the expansion of the labor force, on the increase in purchasing power, on the distribution of market commodities, etc. In sum, we did not have a balanced overall plan. It was also a lack of realistic thinking that gave rise to these errors. This, I am afraid, was the cause of a series of our problems.
The exaggeration trend has become so common in various areas and departments that reports of unbelievable miracles have appeared in newspapers and magazines to bring a great loss of prestige to the party. According to what was reported, it seemed that communism was just around the corner, and this turned the heads of many comrades. Extravagance and waste grew in the wake of reports of extra-large grain and cotton harvests and a doubling of iron and steel output. As a result, the autumn harvest was done in a slipshod manner, and costs were not taken into consideration. Though we were poor, we lived as if we were rich.
What is particularly serious in all this is that it was very hard for us to get to know the real situation for a fairly long period. We did not have a clear idea of the situation even at the time of the Wuchang Meeting and the meeting of secretaries of provincial and municipal party committees held in January this year. The tendency towards boasting and exaggeration has its social cause, which is worth studying. It also has to do with our practice of fixing production quotas without corresponding measures to meet them. Though Chairman Mao reminded the party last year of the need to combine soaring enthusiasm with a scientific approach and the principle of walking on two legs, it seems that his instructions have not been grasped by most leading comrades, and I am no exception.
2. Petty-bourgeois fanaticism which makes us vulnerable to "left" errors. In the Great Leap Forward of 1958,1, like many other comrades, was misled by the achievements of the Great Leap Forward and the zeal of the mass movement. As a result, some "left" tendencies developed in our heads. We were thinking of entering a communist society in one stride, and the idea of trying to be the first to do this gained an upper hand in our minds for a time. So we banished from our minds the mass line and the working style of seeking truth from facts, which had been cultivated by the party for a long time.
In our way of thinking, we have often muddled up the relationship between strategic goals and concrete measures, between long-term principles and immediate steps, between the whole situation and part of it, and between big collectives and small collectives. The Chairman's calls such as "strive for a high yield on a smaller area and bring in a big crop," "catch up with Britain in fifteen years," etc., are long-term strategic goals. But we have not studied them carefully and have not paid enough attention to the specific current conditions so as to arrange our work on a positive, safe, and reliable basis. Because they were raised at every level, some quotas, which could only be met after several or a dozen years, became targets to be fulfilled in one year or even a few months. By so doing, we divorced ourselves from reality and lost the support of the masses. For example, the law of exchange at equal values was negated and the slogan of "giving free meals to all" was raised much too early; in some areas, state monopoly purchase and marketing of grain was abolished for a time when the slogan of "eating as much as you like" was raised on the grounds of bumper harvests of grain. Some techniques were popularized hastily even before they were tested and approved. Some economic and scientific laws were rashly neglected. All this was a "left" deviation. In the eyes of comrades showing such a deviation, everything could be done by putting politics in command. They forgot that the aim of putting politics in command was to raise political consciousness in work, guarantee the increase in the quantity of products and improvement in their quality, and bring into play the enthusiasm and creativeness of the masses to speed up our economic construction. Putting politics in command cannot replace economic laws, let alone concrete measures in economic work. We must stress both putting politics in command and taking effective measures in economic work; we should not emphasize one thing at the expense of the other. Generally, correcting "left" tendencies is more difficult than eliminating "right" conservative ideas. This has been proved in the history of our party. During the latter half of last year, there seemed to be an atmosphere in which people paid attention to combating "right" conservative ideas but ignored the "left" tendencies of subjectivism. Thanks to a series of measures adopted after the Zhengzhou meetings held last winter, some "left" tendencies have been basically corrected. This is a great victory, which has educated comrades of the whole party without affecting their enthusiasm.
By now we have got a basically clear picture of the domestic situation. Particularly because of the recent meetings, most comrades within the party basically hold the same view. The present task for the whole party is to unite and keep up the effort. In my opinion, it will be very beneficial to review in a systematic way the achievements and lessons in our work since the latter half of last year to further educate the comrades of the whole party. The aim is to make a clear distinction between right and wrong and to raise our ideological level. Generally speaking, we should not go about trying to affix blame; this would be harmful to our unity and our cause. Basing ourselves on our experience and research since the latter half of last year, we can clarify some problems arising from unfamiliarity with the laws governing socialist construction. Other problems can also be grasped after a longer period of study and experiment. As for our way of thinking and work style, the profound lessons we are learning this time help us to realize the problems in them more easily. But we'll have to try very hard before they can be thoroughly rectified. Just as the Chairman has instructed us at the present meeting: "The achievements are great, the problems are many, the experience is abundant, and the future is bright." It is up to us to grasp the initiative. So long as the whole party is united and works hard, the conditions for continuing the leap forward are present. The plans for this year and next and for four more years will surely be fulfilled successfully. The aim of catching up with Britain in fifteen years can be basically achieved in four years, and we can surely surpass Britain in the output of some important products. Hence our great achievements and bright future.
With greetings,
_Peng Dehuai_
_July 14, 1959_
## 90 **
DEVELOPING AGRICULTURAL PRODUCTION**
_During the period when agriculture was collectivized, private ownership rights to land, tools, and draft animals were largely abolished. Except for the produce from small private plots, the income of a production team was distributed to households according to how many work points their members earned based on the number of hours they worked at tasks graded according to difficulty. A major task of local cadres was motivating the peasants in their brigade or team to work hard under this system. Enthusiasm for collective work flagged after the Great Leap Forward, but the party made concerted efforts to revive it in the following years. Below is an article from a December, 1965, People's Daily which describes some of the strategies followed by the cadres in one brigade in south China. It was written by the party secretary of a production brigade._
The task of guiding and stimulating agricultural production cannot be accomplished through administrative orders, nor through material incentives. The correct way is to place politics in command and begin by making a good job of ideological and political work. A review of what has happened with our brigade over the last several years will prove that the development of production depends in the last analysis on politics.
In the period from 1960 through the first half of 1961, our brigade cadres did not step up ideological and political work and did nothing to heighten the masses' class consciousness and enthusiasm for production. Instead, they kept commune members in line through various kinds of systems such as deducting work points or launching criticisms at meetings. As a result, many commune members did not know for whom they labored and displayed no initiative toward collective production. When the cadres were with them, they grudgingly forced themselves to work; when the cadres left, they relaxed. Consequently, their efficiency was very low and the quality of their work poor.
In the second half of 1961 the brigade cadres tried to promote production by means of material incentives. For instance, in order to quicken the speed of transplanting, anyone transplanting an extra 0.1 _mu_ of land was given a reward of a duck's egg or twenty cents in cash. On the surface, it looked as though many commune members had become very energetic and the transplanting quotas were exceeded every day. Actually, the quality of work was very poor. Production was not properly carried out, and due to expenditures for rewards in cash and in kind, in the end less income was distributed to the commune members. Thus, it will not do to rely on systems alone, and material incentives do not work.
Beginning in 1963, the brigade cadres found themselves helpless. Following a policy of laissezfaire, they relaxed their leadership. The results in terms of production became even worse.
Then in 1965, after the socialist education movement began, our leadership nucleus was strengthened and ideological and political work stepped up. The party branch of the brigade carefully armed all party members and cadres with the thought of Mao Zedong and organized youths and commune members to study the works of Chairman Mao, telling them the histories of individual villages and families as a part of their class education. After such study, many people raised their ideological consciousness and became more enthusiastic about production. Many commune members demanded that collective production be made successful, and set the pace by working energetically.
When the early crop was grown this year, as a prominent place was given to politics, the enthusiasm of the commune members was maximized. We achieved a harvest bigger than any ever seen before in history, with the average per _mu_ output 549 catties. Every household paid its debts and still had a higher income than before. There was something set aside, too, for stepping up capital construction on the farms.
The experience and lessons I have gained over the past several years have made me realize that in promoting production it is imperative to place politics in command and to start by properly carrying out political work among all the people. Commandism,* coercion, and sole dependence on material incentives do not contribute to successful production.
* "Commandism" refers to the behavior of cadres who give orders without paying attention to the thoughts of the masses.
## 91 **
LEI FENG, CHAIRMAN MAO'S GOOD FIGHTER**
_In traditional China, tales of individuals who exemplified extremely virtuous or self-sacrificing behavior formed a regular part of moral education. Young people were instructed in the tales about filial sons and steadfast women; adults enjoyed stories and plays in which characters were either paragons of virtue or totally evil. In contemporary China this method of moral instruction has continued, albeit with significant changes in the characteristics of the people to be admired._
_Of the many men and women held up for emulation in the last three decades, the one who has become best known undoubtedly is Lei Feng (1939-1962). The first of many campaigns to "learn from Lei Feng" was launched by Lin Biao in 1963. Lei Feng's life had the makings of a legend. He was born into a poor peasant family in Hunan, and his childhood was a series of tragedies. When he was five, his father died, having been pressed into service as a coolie by the Japanese army. The next year his elder brother, a child laborer in a factory, died of tuberculosis. Then his younger brother perished from typhoid fever and malnutrition. His mother took a job as a servant, but hanged herself after being raped by her employer, leaving Lei Feng an orphan at the age of eight. The bitterness of Lei Feng's past intensified his enthusiasm for the social reforms introduced in the People's Republic. As a worker and soldier he was exemplary in his adherence to revolutionary attitudes and spartan living, qualities China's leaders have encouraged for their value in combating selfishness and promoting industrialization._
_The following anecdotes about Lei Feng's sincerity, devotion, and good deeds come from a biography published in 1968._
When Lei Feng finished his studies in the senior primary school in 1956, a nationwide movement of agricultural collectivization was surging forward like a spring tide, and the industrialization of the country was being pushed forward on a large scale. Life with all its richness was beckoning to every young person, and many took up jobs in industry and agriculture after they left school. Like a fledgling bird Lei Feng was anxious to try his wings, so he took a job as a messenger in the local authority offices, dispatching letters and notices and helping to compile statistics, charts, and forms. Whenever there was some work which he thought he could do, he would always volunteer to do it, so everyone was pleased with his work and attitude.
Later, at the age of seventeen, Lei Feng was transferred to work in the party committee office of Wangzheng county, where he began a new life. During the day he worked hard and in the evening he attended a spare-time middle school run by the county government. "The party has rescued me from the depths of misery and enabled me to lead such a comfortable life," he often thought to himself. "How shall I repay its kindness?" He provided the answer by the excellent way he worked—taking good care of public property and making himself a driving force in the office for the sale of government bonds. It was not surprising that his comrades later cited him as a model worker.
Lei Feng worked under Zhang, secretary of the county party committee, a friendly and kind man to whom he became very attached.... Once, when he accompanied Zhang to a meeting, he saw a screw lying on the road. Thinking it a useless thing, he kicked it away. When Zhang turned round and saw what he had done, without saying a word he bent down, picked it up and put it in his pocket. Lei Feng was surprised. "What does a party secretary want with a screw?" he wondered. Several days later Lei Feng was about to send a letter to an agricultural machinery plant when Zhang handed him the screw and told him to send it to the workers there. "Ours is a poor country," he said. "We have to work hard to build it up. A screw is a small thing but a machine can't work if it is missing one. Remember, drops of water go to make a stream and grains of rice fill a bin." Lei Feng stared at the secretary with wide-open eyes. From that time on he never squandered a single cent and deposited all his savings in the bank....
In 1958 Lei Feng had begun to study Chairman Mao's writings regularly. He had made it a rule to study one hour every morning and in the evenings up to ten or eleven o'clock. Every spare moment at work in the coal yard of the Anshan Iron and Steel Company he would study Mao's _Selected Works._ After joining the army he had managed to complete volume three while boiling water for the amateur cultural troupe. Then the army leadership called on the men to "study Chairman Mao's works, follow his teachings, act in accordance with his instructions, and be his good soldiers." Lei Feng took this call to heart and wrote it down on the front covers of his copies of Chairman Mao's works. But where the authorities had asked the men to "study Chairman Mao's works," he added "every day" so that he would study them more diligently. Lei Feng's job as a driver often took him to various places, but wherever he went he always carried a satchel containing different essays by Chairman Mao, which he read at every opportunity. Soon his comrades described his satchel as a "mobile library."
About this time one of his comrades grumbled, "There's so much work to do we haven't got enough time for our personal affairs or even rest." Lei Feng did not agree, and to encourage himself to work and study even harder he wrote this passage in his diary, which he remembered from a book he had once read:
How do you put a screw into a piece of wood which is perfectly smooth and has no holes? You use force and screw it in. Then just as a screw has to be forced and screwed in, so when you study you should bore firmly into the subject.
It was with this spirit that Lei Feng was able to complete Chairman Mao's _Selected Works,_ from volume one to four. Among the many essays he read over and over were: "In Memory of Norman Bethune," "Serve the People," "Carry the Revolution Through to the End," "On Practice," and "On Contradiction." Some of the volumes were so worn that the edges of the pages were tattered and frayed, but he still kept reading them over and over again, and every time he read them he got something new out of them. As he read the essays he marked them in all kinds of ways, with lines and dots, with blue ink, and with red and blue pencil. He also made brief notes interpreting various passages. Once he came to this passage in the essay "Rectify the Party's Style of Work": "Every party member, every branch of work, every statement, and every action must proceed from the interests of the whole party; it is absolutely prohibited to violate this principle." He underlined this passage heavily with a red pencil and wrote in the margin: "Take this to heart!"
Lei Feng found an inexhaustible source of strength and wisdom in Chairman Mao's works, and he gradually came to understand the meaning of life, of revolution, and of the laws of social development. He learned how to treat one's enemy and one's comrades, and what attitude one should take toward work. He felt he could see things more and more clearly, that his vision of life was broadening, and that a big new world was opening up before him. Following the teachings of Chairman Mao, Lei Feng gradually became a dedicated proletarian fighter. This is what he wrote in his diary:
After having studied volumes one, two, three, and four of the _Selected Works,_ I feel most deeply that I know how to be a man and the purpose of my life.... I think one should live to make others live better.
Lei Feng studied Chairman Mao's works in three ways. He applied what he studied as he went along; he studied and applied creatively; and he used Chairman Mao's teachings to remold his ideology and guide his actions. Whenever he came across a difficult problem in his life, he would immediately turn to Chairman Mao's works to draw strength from them.
One day Lei Feng drove up to the barracks with a truckful of grain and the comrades came out to help him unload it. Among them was Old Wang who belonged to Lei Feng's squad and was known for his great strength. He could carry a sack of grain weighing more than two hundred catties and run fairly fast with it. As Lei Feng was small and unable to carry such a heavy load, he and another comrade stayed on the truck and passed the sacks down onto the shoulders of the rest of the men. When Old Wang's turn came, he leaned against the truck and teasingly said to Lei Feng, "If you're a better man than I am, why don't you come down and carry a sack?"
Lei Feng did not reply. Then Old Wang added, "Ah, I knew all along that you didn't have the guts to compete with me. Of course not—you're so small!"
"Stop trying to needle me," Lei Feng replied calmly. "We need people to carry the sacks and we also need people to hand them down from the truck. Let's see if you can carry as much as I can move. How about that?" Lei Feng had not meant to challenge him, but his pride had been hurt by Old Wang's cutting remarks about his size.
That night he reread the essay "In Memory of Norman Bethune" by Chairman Mao until he came to this passage:
We must all learn the spirit of absolute selflessness from him. With this spirit everyone can be very useful to the people. A man's ability may be great or small, but if he has this spirit, he is already noble-minded and pure, a man of moral integrity and above vulgar interests, a man who is of value to the people.
When he read the passage, everything seemed to fit into place and he began to see things in a new light. No longer did he have a feeling of wounded pride or a brooding sense of grievance. "Although I'm small, I'll do my best," he pledged, "to emulate Comrade Bethune's spirit of utter devotion to others without any thought of self."
A few days later the men decided to collect fodder in the mountains. Their plan was to set out after breakfast and return in the early evening, taking their lunch with them. After breakfast the thought suddenly crossed Old Wang's mind that it would be a nuisance taking lunch with him, so he ate his quickly before they set off. As soon as they were in the mountains the men set to work quickly and diligently, collecting grass and hay. At noon they sat on the mountain slope in twos and threes and began to eat their lunch. Lei Feng opened his lunch box and was about to eat when he saw Old Wang sitting by himself without any lunch. "He must have forgotten it or lost it on the way," Lei Feng thought to himself. Offering his own lunch he said, "Come on, take this." Old Wang looked at the lunch box, then at Lei Feng, shook his head, and refused to accept it. "Take it," Lei Feng said as he forced the lunch box into Old Wang's hand. "You'll be able to work better on it."
"If I take it, what are you going to do?" said Old Wang, handing it back.
"My stomach is a bit upset and I don't feel like eating," Lei Feng replied. Then he walked away pressing his hand against his stomach as if it hurt.
Holding the lunch box in his hand, Old Wang stared into space as Lei Feng slowly went away. Then he thought to himself, "Imagine, I actually said he's a small fellow and can't do anything big. I'm a big fellow all right, but I've never given my lunch away to anyone."...
Because Lei Feng earnestly studied Chairman Mao's writings, worked hard, remained loyal to the party and the revolutionary cause, and because he made strict demands on himself, he was given the honor of membership in the Chinese Communist Party on November 8, 1960. It was the greatest day in the twenty-two years of his life. With gratitude he wrote this in his diary:
November 8, 1960, 1 will never forget this day. This is the day when I had the honor of being made a member of the great Chinese Communist Party, thus realizing my highest ideal. Oh, how thrilled my heart is! It is beating wildly with joy. How great the party is! How great Chairman Mao is! Oh, Chairman Mao, it is you who have given me a new lease on life! When I was struggling in the fiery pit of hell and waiting for the dawn it was you who saved me, gave me food and clothing, and sent me to school! I finished my studies in the senior primary school, put on the red scarf, and then was given the honor of being admitted to the Communist Youth League. I took part in the nation's industrial construction and later became a soldier in the armed forces of the motherland. It was under your constant care and guidance that I, a former poor orphan, became a party member, a man with some knowledge and political consciousness.
Now that I have joined the party, I have become stronger and my vision has broadened. I am a party member and a servant of the people. For the freedom, emancipation, and happiness of mankind and the cause of the party and people, I am willing to climb the highest mountain and cross the widest river, to go through fire and water. Even at the risk of death I will remain forever loyal to the party....
In Lei Feng's company there was a man named Xiao Jiao who had enlisted at the same time as he. Xiao never complained about his work or drill, and his behavior was exemplary in every way. His only flaw was that he lagged behind in his studies, being particularly backward in arithmetic, which often gave him a headache. Gradually, however, he became resigned to the situation, a fact which soon began to worry Lei Feng. Once when Lei Feng was helping him with his arithmetic, Xiao said, "I've had little education. I can't get the hang of all these things—addition, subtraction, multiplication, and division."
Trying to boost his confidence, Lei Feng told him, "Nothing is too difficult if you have the will to do it. Where there's a will, there's a way. To a revolutionary no difficulty is too great to overcome." Later he got hold of a copy of an old newspaper which carried a story describing Chairman Mao's-concern for the education of soldiers. Showing it to Xiao he said, "Look, here's a story written just for you!"
"Just for me?" Xiao Jiao was puzzled.
"Listen to how really concerned Chairman Mao is about our studies!" Lei Feng said as he began to read the story, explaining it bit by bit in the hope that this would encourage his comrade. Xiao Jiao listened attentively, nodding his head from time to time. When Lei Feng had finished it, Xiao decided on the spot to buy some pencils and exercise books as soon as possible.
"You don't have to bother with those things," said Lei Feng, handing him a fountain pen and an exercise book which he had anticipated he would need.
Xiao Jiao was moved by Lei Feng's generosity but hesitated to accept the gifts. "If you give those things to me," he told Lei Feng, "what are you going to use?"
"Take them, I've got more," smiled Lei Feng. "If you want to be a part of the modernized Liberation Army, you must get an education."
Grateful to Lei Feng for his help and encouraged by the interest he had shown in him, Xiao Jiao began to study arithmetic with much more concentration and initiative. And whenever he came up against something he could not grasp, he would go to Lei Feng and ask him to explain it. Checking up on his progress, Lei Feng asked him a few days later to solve a number of arithmetical problems. Running his eye over them Xiao Jiao was sure they were easy. Then he took out his pen and got to work on them. A few minutes later he had answered all the questions correctly. Lei Feng's eyes lit up. "You've made marvelous progress," he said with a broad smile.
"But without your help I wouldn't have gotten anywhere," Xiao Jiao acknowledged....
## 92 **
HOUSING IN SHANGHAI**
_Before 1949 most urban residents lived in rented quarters owned by relatively wealthy landlords. Thereafter, the government gradually took over more and more of the apartment houses in the big cities, starting with those owned by the largest landlords. In Shanghai, by 1966 the government had charge of eighty percent of all dwelling units. Management of publicly owned housing, therefore, had come to require a large bureaucracy in charge of apartment assignment and building maintenance. The following article suggests some of the bureaucratic problems entailed in such a task. It was published in a Shanghai newspaper in November, 1965._
#### **
BOTH MAKE CONCESSION FOR MUTUAL ADVANTAGE**
The Northern Shanxi Road Housing Administration Office in Zhabei ward received a letter from resident Wu Dade of Tiantong Road. Both he and his wife were working. Wu said that besides his main home he had a room of eighteen square meters on the second floor of a house on Zhoujiazui Road in Hangjiu ward. In it he had to accommodate his elderly parents and two children. Every morning, his mother took the children by bus to his home on Tiantong Road, then sent them to school while she stayed to do household chores; in the evening, she took the children back to Zhoujiazui Road. Wu found it inconvenient to have two homes and wanted to have the whole family living together. The comrades of the housing and administration office introduced him to several families to arrange an exchange of houses, but nothing was accomplished because no one liked his.
At that time, a Zhang family, consisting of husband and wife and five children, lived in a room of only eleven square meters at Lane 346 on Qipu Road. They found their room too small and made a request to the Northern Shanxi Road Housing Administration Office for improvement in their living conditions. The housing administration personnel noted that as Zhang was working at a factory in Hangjiu ward, if Wu Dade's room on the Zhoujiazui Road were given to him, he could save time and money in going to work and at the same time improve his living conditions. This was an unusual opportunity and both parties were taken to see the houses.
When Zhang saw the room on the second floor and noted that it faced south, was dry and spacious, had both water and power supplied, was in a quiet neighborhood and close to his factory, and had reasonable rent, he was well pleased. Yet, when he thought that his own room was small and in a noisy front partition, he was worried that the other party night not want the exchange. Wu Dade's mother also went from the back door of her son's residence to see Zhang's room about ten houses away and was satisfied with its location. Making a tour inside, she saw the room was a front partition on the ground floor that saved the trouble of climbing upstairs. Its shortcoming was that it was rather noisy and had seven square meters less space. As she looked around, she thought to herself, "The house is close to my son's and on the ground floor, too. It saves me the trouble of traveling back and forth daily and makes it easy for all members of our family to look after one another. Better take it though it is small and somewhat noisy." She immediately expressed her willingness to accept the exchange.
A month or so had elapsed but Zhang still had failed to turn up to arrange with Grandma Wu for the exchange, even though she had asked for it several times. The truth was that Zhang's wife had lived on Qipu Road for many years. Although she thought her room too small and wanted to exchange it for a larger one, she was reluctant to leave the locality if she did not have to. She also did not like the new place because she was not used to living on the upper floor and thought the staircase too narrow. Therefore the matter was left unsettled. When Zhang's factory authorities learned this, they studied the matter with Zhang and his wife and advised them not to miss this excellent chance to exchange a small home for a larger one, which would solve the problem of overcrowding, provide a quiet place to sleep, and be close to the factory. They also pointed out that the willingness of the other party to make the exchange revealed their sincere attitude and correct thinking, so Zhang should also assume a correct attitude and be willing to give something for what he was gaining. To ask for a spacious, good, convenient, quiet, and totally ideal apartment was an unrealistic goal. Taking all of this into consideration, Zhang and his wife saw that their notions had been unrealistic and decided to make the exchange.
Now the two households have what they wanted after exchanging houses with each other.
_Translated by ]ane Chen_
## 93 **
RED GUARDS**
_The most turbulent period in the People's Republic's first four decades was the first three years of the Cultural Revolution. Begun by Mao Zedong in 1966, ostensibly as a campaign to produce a new socialist culture and give young people born under the new regime the experience of a revolution, the Cultural Revolution soon grew to much larger proportions than any previous campaign. The formation of the Red Guards played a key role in the course of the Cultural Revolution. Maoist leaders strongly encouraged middle school, high school, and college youth to organize themselves into Red Guard units. As Red Guards they would learn revolution and provide the Maoists with important allies in their combat with less radical leaders. In June, 1966, almost all schools and universities were closed as students devoted full time to Red Guard activities. That fall eight massive Red Guard rallies were held in Beijing, attracting, it is said, more than eight million youths._
_The four selections below each take up a distinct strand in the Red Guard experience. "Long Live the Revolutionary Rebel Spirit of the Proletariat!" is a passionate manifesto demanding that young people learn revolution by practice. "Red Guards in Nanning and Liuzhou Take to the Streets to Clean Up the Four Olds" is a newspaper article describing the enthusiasm Red Guards displayed for purging China of objects and habits that they judged to reflect feudal or bourgeois influences. "March Forward Valiantly Along the Road Pointed Out by Chairman Mao" is a report issued by eleven middle school Red Guard units. It recounts the experiences of one band of young people who marched to Beijing in emulation of the Red Army's legendary march from southeast to northwest China in 1934-35. Such activities were later encouraged by the government, eager to keep Red Guard traffic from completely overwhelming China's limited rail system. Massive nationwide travel by youth was unprecedented in Chinese society and contributed to the development of national, rather than local identity among the younger generation. All three of these pieces date from the summer and fall of 1966. "Factual Account of the September 11 Bloodshed" is from a Red Guard newspaper published during the following year, in September, 1967. It shows the violence that resulted as Red Guard factions fought against each other. To overcome this violence, the army was called in and Red Guard organizations were placed under the supervision of worker and soldier "Mao Zedong Thought Propaganda Teams." In late 1968 Red Guard units were disbanded and many of the former Red Guards were assigned to the countryside._
#### **LONG LIVE THE REVOLUTIONARY REBEL SPIRIT OF THE PROLETARIAT!**
Revolution is rebellion, and rebellion is the soul of Mao Zedong's thought. Daring to think, to speak, to act, to break through, and to make revolution—in a word, daring to rebel—is the most fundamental and most precious quality of proletarian revolutionaries; it is fundamental to the party spirit of the party of the proletariat! Not to rebel is revisionism, pure and simple! Revisionism has been in control of our school for seventeen years. If today we do not rise up in rebellion, when will we?
Now some of the people who were boldly opposing our rebellion have suddenly turned shy and coy, and have taken to incessant murmuring and nagging that we are too one-sided, too arrogant, too crude, and that we are going too far. All this is utter nonsense! If you are against us, please say so. Why be shy about it? Since we are bent on rebelling, the matter is no longer in your hands! Indeed we shall make the air thick with the pungent smell of gunpowder. All this talk about being "humane" and "all-sided"—let's have an end to it!
You say we are too one-sided? What kind of all-sidedness is it that suits you? It looks to us like a "two combining into one" all-sidedness, or eclecticism. You say we are too arrogant? "Arrogant" is just what we want to be. Chairman Mao says, "And those in high positions we counted as no more than the dust." We are bent on striking down not only the reactionaries in our school, but the reactionaries all over the world. Revolutionaries take it as their task to transform the world. How can we not be "arrogant"?
You say we are too crude? Crude is just what we want to be. How can we be soft and clinging towards revisionism or go in for great moderation? To be moderate toward the enemy is to be cruel to the revolution! You say we are going too far? Frankly, your "don't go too far" is reformism, it is "peaceful transition." And this is what your daydreams are about! Well, we are going to strike you down to the earth and keep you down!
There are some others who are scared to death of revolution, scared to death of rebellion. You sticklers for convention, you toadies are all curled up inside your revisionist shells. At the first whiff of rebellion, you become scared and nervous. A revolutionary is a "monkey king"* whose golden rod is might, whose supernatural powers are farreaching and whose magic is omnipotent precisely because he has the great and invincible thought of Mao Zedong. We are wielding our "golden rods," "displaying our supernatural powers" and using our "magic" in order to turn the old world upside down, smash it to pieces, create chaos, and make a tremendous mess—and the bigger the better! We must do this to the present revisionist middle school attached to Qinghua University. Create a big rebellion, rebel to the end! We are bent on creating a tremendous proletarian uproar, and on carving out a new proletarian world!
Long live the revolutionary rebel spirit of the proletariat!
#### **
RED GUARDS IN NANNING AND LIUZHOU TAKE TO THE STREETS TO CLEAN UP THE "FOUR OLDS"**
According to a _Guangxi Daily_ report, on August 23, Red Guards and revolutionary teachers and students in the city of Nanning, inspired by the revolutionary spirit of revolt shown by the Red Guards in the capital, and filled with great revolutionary pride, took to the streets to post revolutionary leaflets and big-character posters and carry out oral propaganda. Using the thought of Mao Zedong as a weapon, they violently attacked all old ideas, old culture, old customs, and old habits. They demanded that Nanning be built into a great school of Mao Zedong's thought.
A group of Red Guards in the Second Middle School in Nanning climbed up to a traffic policeman's stand and, through the medium of loudspeakers, read aloud to the people their Manifesto of Revolt: "Today, the clarion call for the Great Proletarian Cultural Revolution has been sounded, and the battle between the proletariat and the bourgeoisie has begun. We must promote the fearless spirit of the proletariat—the spirit of staining our bayonets with blood—and the revolt against feudalism, capitalism, and all demons and monsters. Backed by Chairman Mao and the Party Central Committee, this revolt is sure to succeed. Let the thought of Mao Zedong shine upon every corner...."
Revolutionary "young generals" of the Guangxi College of Arts formed four propaganda teams for the purpose of replacing bourgeois ideology with proletarian ideology and getting rid of the old to make way for the new. In no time they composed a revolutionary song entitled "Raise the Iron Broom of the Revolution," and sang it in the streets and shops. With revolutionary pride, they sang: "Sweep and break. Raise the iron broom of the revolution to sweep away the vestiges of feudalism, uproot the bourgeois ideology, hold aloft the red banner of the thought of Mao Zedong, establish proletarian and destroy bourgeois ideology, destroy a lot and build a lot, and construct a new socialist country." The masses around them sang with them.
Red Guards of the Guangxi Nationality College in a remote suburban area arrived in the morning at the Station for the Reception of the Masses operated according to the revolutionary rules. These Red Guards proposed to change the names of streets, places, and stores—such as People's Livelihood Road, People's Rights Road, Emperor Ridge, and White Dragon Bridge—into new names with revolutionary content. They proposed getting rid of all poisonous things in barber shops, tailor shops, and book-lending shops immediately. In shops that the Red Guards of the Nanning Ninth Middle School and revolutionary teachers and students visited, they were received warmly by the workers and employees, who were determined to respond to their revolutionary proposals.
The workers of the Handicraft Product Center of Nanning said, "We have long wanted to discard artistic products decorated with emperors, kings, generals, prime ministers, scholars, and beauties. Now that you have come to support us, we'll take immediate action." They immediately tucked away the carved standing screens and hanging screens and hung more portraits of Chairman Mao in the shop.
The workers of the New South Barber Shop at the suggestion of the Red Guards took down the pictures showing decadent bourgeois hair styles such as the "wave-type" and "big western style" and indicated that they would in future refuse to do such bizarre hair styles for their clients.
Fourteen Chinese and Western medicine shops under the Medical Company of Nanning held workers' forums one after the other and, after discussion, that same night adopted new signboards expressing revolutionary ideas.
The revolutionary masses of the city's cultural palace and museum listened to the broadcasts at eight o'clock in the morning and by nine had posted a big character poster at Prince Liu Park. They thought that the term "Prince Liu" reflected feudal bureaucratic ideas and was incompatible with the spirit of the times. They thought the name should be changed into "People's Park," so immediately wrote "People's" on a piece of paper and pasted it on top. This suggestion was warmly supported by the revolutionary masses passing by.
#### **
MARCH FORWARD VALIANTLY ALONG THE ROAD POINTED OUT BY CHAIRMAN MAO**
Our long march team was made up of eight boys and three girls averaging eighteen years of age. We started out from Bengbu on September 11, and crossed Anhui, Jiangsu, Shandong, and Hebei provinces. After forty-four days of walking we had covered a thousand kilometers and arrived in Beijing to be alongside our beloved leader Chairman Mao.
Chairman Mao has said, "Our policy must be made known not only to the leaders and to the cadres but also to the broad masses." Vice Chairman Lin Biao has said, "The whole country should become a great school of Mao Zedong's thought." As Red Guards of Mao Zedong's thought, it was our glorious duty to disseminate his ideas. We decided to organize our long march team to spread propaganda and to do our bit in the great cause of turning the whole country into a great school of Mao Zedong's thought.
At the same time, we knew we had never been tested in revolutionary struggles, even though we all come from railway workers' families and have been brought up under the red flag. In the Great Proletarian Cultural Revolution we learned that young people cannot become worthy successors to the proletarian revolutionary cause if they have not tempered themselves in the storm of class struggle, integrated themselves with the workers and peasants, and remolded their world outlook. The long march, we decided, was a good way of tempering and remolding ourselves.
These were the considerations that became decisive in our determination to undertake a long march. Before we left, we spent several days studying "The Orientation of the Youth Movement," "Serve the People," "In Memory of Norman Bethune," "The Foolish Old Man Who Removed the Mountains," and some other writings by Chairman Mao. We armed ourselves with Mao Zedong's thought; his teachings unified our ideas and increased our confidence and courage.
When the day for our departure arrived, we were all very excited. We made a pledge addressed to Chairman Mao: "Our most beloved leader Chairman Mao! The brilliance of your ideas is the light that guides us in heart and mind. We are resolved to fulfill your words, 'Be resolute, fear no sacrifice, and surmount every difficulty to win victory.' We shall not falter in getting to Beijing."...
To make a start is always difficult. The first day we walked twenty-seven kilometers. Many of our schoolmates suffered swollen feet and had to clench their teeth with each step they took. Even when we stopped and rested, our backs and feet really ached. A few of us debated about going back home; whether to go forward or retreat became a question of revolutionary determination. It was a crucial moment. To solve the problem, we studied a passage in Chairman Mao Zedong's works in which he says, "How should we judge whether a youth is a revolutionary?... There can only be one criterion, namely, whether or not he is willing to integrate himself with the broad masses of workers and peasants and does so in practice."
We took this as a mirror in which to examine our own ideas and decided that the purpose of our long march was to integrate ourselves with the masses, to learn from the workers, peasants, and soldiers, and to train ourselves as proletarian revolutionary successors who can truly stand all tests. "How shall we wage revolution if we can't even pass this first test?" we asked ourselves. "No! We must keep on. To go forward means victory!" In this way we applied Mao Zedong's ideas and prevailed over the vacillating muck in our minds. We all became more confident than ever.
We all carried knapsacks as well as gongs, drums, and study material. On the average we each carried a load of about fifteen kilograms. But we plucked up our courage and kept going, though the weather was very hot. At the time our clothes, and even our knapsacks, were soaked through with our perspiration.
We sang. At any difficult moment we all sang the wonderful lines from Chairman Mao's poem: "The Red Army fears not the trials of a distant march; to them a thousand mountains, ten thousand rivers are nothing"; and we also sang: "We count the myriad leagues we have come already; if we reach not the Great Wall, we are not true men!"
Each of us had a quotation from Chairman Mao Zedong written on a placard fixed to his knapsack. The one behind read it aloud in turn, and all of us took it up in chorus. It raised our spirits and helped to shore up our determination. For Chairman Mao's words brought to mind what the old Red Army did on its 12,500-kilometer Long March. It gave us fresh energy and the will to persist. Each step we took, we told ourselves, brought us a step closer to our great leader, Chairman Mao.
Our journey from Xuzhou to Hanchuan presented us with another difficult test. That day we arrived at a small place where we had planned to eat, only to find the public mess hall closed. We could have asked the peasants to cook a meal especially for us but decided not to, since we knew that they were busy with farm work. We put on our regular propaganda performance and walked on, very thirsty and hungry. The weather was broiling. We felt almost completely exhausted. But we read aloud Chairman Mao's statement: "Give full play to our style of fighting-courage in battle, no fear of sacrifice, no fear of fatigue, and continuous fighting." We recalled that the Chinese people were hungry every day before Liberation. When the old Red Army on the 12,500-kilometer Long March crossed snow-capped mountains and marshlands, they were reduced to boiling their leather belts and digging up roots for food. They often went hungry. What did it matter if we missed our meals for one day? It was an opportunity to show our determination. Our revolutionary predecessors endured hunger for the sake of those to come. If we now tempered ourselves we could make a better contribution to the Chinese and the world revolution, so that the great masses in the world would not go hungry. This was the gist of our talk and our thoughts, and so we no longer felt hungry. In fact, we marched on with greater vigor, and, as we walked, we beat our gongs and drums and sang revolutionary songs. That day we kept our average of four propaganda performances.
On the way we met a number of leading members of various institutions. With the best of intentions, they advised us to go to Beijing by train. We must have looked tired to them. Some of them even offered us train tickets, but, in every case, we refused. We felt that come what may, we would not give up our objective halfway. We persisted northward on foot to gain and exchange revolutionary experiences.
We Red Guards are reserves of the Chinese People's Liberation Army. We knew we had to follow its example, the finest example of adherence to Chairman Mao's teachings. The army feared no trials, strictly applied the Party's policies, and maintained high discipline. We consciously tried to emulate it during our long march by applying the three main rules of discipline and the eight points for attention which Chairman Mao himself formulated for the Chinese People's Liberation Army long ago.
None of us ever bought any sweets on the way or had any food other than our regular meals. We never wasted a grain of food and took great care of public property. We washed our own clothes, did our own mending, and cut one another's hair instead of going to a barber. In short, we were very thrifty in our way of living. We made a particular effort to temper ourselves by plain living, especially in the matter of food. The more we did so, we felt, the better we could remold our ideology. Guided by Mao Zedong's thought, we overcame one difficulty after another and successfully stood the test we had set ourselves—the first real test in our lives.
Chairman Mao said, "The Long March is a manifesto, a propaganda force, and a seeding machine." On our long march, too, a fundamental task was to spread Mao Zedong's ideas. And we persisted though we were often very tired. Altogether we gave some 120 performances in over a hundred villages and small railway stops. We estimate our total audience at more than ten thousand people. We also distributed four hundred pamphlets containing the decisions of the party central committee, speeches by party leaders, and editorials of the _People's Daily_ and ten thousand leaflets and posters with Mao Zedong's ideas.
Our first performances were, indeed, a test for us! Only three of us had any experience. We were afraid people would laugh at us, but we remembered Chairman Mao Zedong's words: "It is often not a matter of first learning and then doing, but of doing and then learning, for doing is itself learning." We decided we must "learn to swim by swimming," as the Chairman taught. There was plenty of enthusiasm once we arrived at our decision. We composed our items at odd rest moments and rehearsed them on the way, gradually mastering the art of putting on a show including choral singing, solo singing, ballad recital, dialogue, and singing combined with acting.
One evening we arrived at a village where the people asked us to put on a performance. It was just one kilometer from the railway station where we were to have a meal and rest. We had been walking most of the day and were very tired, and what is more, we had missed our lunch and were very hungry. What were we to do? We held a discussion and decided to give the performance. What were hunger and fatigue to us compared with the joy of meeting the people's wishes and disseminating Mao Zedong's thought!
We put down our knapsacks and performed whenever there was an audience. One day, we put on a show for three housewives. Our persistence in spreading Mao Zedong's thought insured us of a hearty welcome everywhere from the revolutionary masses. One old worker said to us very sincerely after watching us perform: "You are really good Red Guards of Chairman Mao! We of the older generation feel more assured with such good successors growing up."...
One young worker at a Dengxian railway station presented us with his most prized possession—a small plaster cast of Chairman Mao—together with a letter in which he wrote: "Though we are at different revolutionary posts, we are one and the same in our determination to give our very lives in defense of Chairman Mao and to carry the great proletarian cultural revolution through to the end. We shall safeguard our impregnable proletarian state whatever the cost. In presenting you with this likeness of our great leader Chairman Mao, I am sure it will give you infinite strength on your journey." These deeply felt words greatly moved us, and thereafter wherever we stayed, we placed the statue in the most conspicuous place. Indeed, it always gave us fresh strength....
At Fengtai station near Beijing, we went to see the nationally famous engine, the "Mao Zedong Special," and had a talk with members of the crew. It was a great experience, for they are fine students of Chairman Mao's works. What they told us opened our minds and made us all the more determined to study Chairman Mao's books and work for the revolution, and especially to study the three much-read articles and use them in remolding our ideology. We decided we would devote the whole of our lives to becoming truly reliable successors to the proletarian revolutionary cause.
All along the way the workers and peasants showed great concern for our well-being. Very often a railway worker's wife would insist on doing our washing and mending. Keeping close to the railway line all along our route, we had many indications of the deep class comradeship of the workers. It brought to mind the popular verse: "Great as are Heaven and earth, they are not as great as the good brought by the party. Dear to us as our parents are, they are not as dear as Chairman Mao. Fine and good as many things are, none is as fine as socialism. Deep as the deepest ocean is, it is not as deep as class comradeship." Our hearts were linked by this class comradeship with the hearts of these people whom we had not met before.
Our forty-four-day trek gave us the chance to learn how excellent traveling on foot is as a means to gain and exchange revolutionary experience. For it tempers your proletarian ideology, steels your willpower, and helps you to revolutionize your thinking. We learned a great many things we could not get from books and also gained personal experience of many things we had read about. In particular, we have deepened our understanding of the brilliant thought of Chairman Mao.
Of course, we have taken only the very first step in the 10,000 _-li_ long march that lies before us, the first step along the glorious road which Chairman Mao has shown us. We need to improve our creative study and application of Chairman Mao's works and to continue to temper and remold ourselves in the furnace of the great Cultural Revolution. We must revolutionize ourselves and become young militants who are really reliable successors to the cause of the proletarian revolution, for that is what Chairman Mao expects of us.
#### **
FACTUAL ACCOUNT OF THE SEPTEMBER 11 BLOODSHED**
The appalling September 11 bloodshed which shook the municipality took place after the signing of the September 1 Agreement and the announcement of the September 5 Order approved by Chairman Mao. This was not a mere accident; it was a bloody slaughter of the revolutionary rebels and revolutionary masses, instigated by the handful of bad leaders of the conservative organizations manipulated by the capitalist-roader authorities in the party. Its aims were to provoke large-scale violent struggle, to sabotage the implementation of the September 5 Order, to apply pressure on the Party Central Committee and the Guangzhou Military District Command, to interfere with the ongoing movement of supporting the army and cherishing the people, and to alter the direction of the struggle to criticize Tao Zhu [Mayor of Guangzhou]. It was a deathbed struggle waged by the bourgeois reactionaries. After this incident, the conservatives—manipulated by the capitalist-roaders in the party—cranked up the propaganda machines. They screamed "stop thief" while they themselves were the thieves. They confused right and wrong, wantonly started rumors, and vilified and attacked the revolutionary rebels in an attempt to cause trouble for other people and acquit themselves of their crimes of murder. How malicious their intentions were!
To rectify any misconceptions, we give below a comprehensive though brief account of the on-the-spot investigations of the incident made by the Red Flag Commune of Jianguo Restaurant under the Food and Drinks Section of the "Workers' Revolutionary Alliance" and by the Elementary Education Red Headquarters.
On September 11, the "Spring Thunder," "District Headquarters," "Doctrine Guards," and other conservative forces in Guangzhou gathered their men in Foshan, Shaoguan, Zhonghua, and other suburban areas to attend the so-called inauguration of the "Revolutionary Committee of Workers in the Guangzhou Area" held at Yuexiushan Stadium. A little past nine o'clock in the morning, seventy-two trucks loaded with peasants from Zhonghua arrived in Guangzhou via Zhongshan No. 5 Road. Because there were crowds of people at the junction with Beijing Road, the trucks had to move slowly. As the thirty-second truck approached the intersection, the masses discovered some weapons in it and immediately mounted the truck to investigate. There they found a pistol, a hand grenade, and a dagger. The onlooking revolutionary masses felt deep indignation at this open violation of the agreement to keep arms under bond and unanimously roared their condemnation, some of them indignantly tearing from the truck the flag of the Alliance of Poor and Lower-Middle Peasants in Areas Around Zhonghua. Seeing that their secret had been uncovered, one of the men in the truck, in order to escape being caught, pulled out a pistol and was about to shoot. Fortunately, the masses were highly vigilant and immediately ran forward to snatch it. Later when the men of the Red Garrison Headquarters and the Workers' Pickets arrived, the masses handed the man over to them, together with the arms found in the truck.
The masses did not reproach the members of the suburban peasant's alliance, but instead had friendly chats with them and carried out ideological work among them, giving them water to drink and cigarettes to smoke. The peasants came to realize that they had been deceived and that they should not have come into the city. A leader of these peasants said, "We don't know what we came here for. The higher authorities told us that we didn't have to work today and had to come here for a meeting. Each of us was given two dollars and fifteen wage points." The peasant brothers in those trucks which did not drive away were later persuaded by the army comrades to take a rest in the assembly hall of the Guangdong Provincial People's Council. The broad revolutionary masses expressed warm welcome to them for their awakening and their revolutionary refusal to take part in the violent struggle provoked by the Workers' Committee under the District Headquarters.
At about eleven o'clock in the morning, two trucks loaded with bricks and members of the Doctrine Guards and "Hong Ban Zong" of the No. 46 Middle School sped along Zongshan No. 5 Road toward the Financial Department Building. The masses on the road laughed at them, and some people threw banana peels and handbills at them, whereupon the Doctrine Guards stopped their truck and one of them threw a piece of a brick at the crowd, wounding someone. Another Doctrine Guard got down from the truck and struck out at the onlooking masses with his leather belt. The masses were indignant at this and loudly condemned the Doctrine Guards "for attempting to kill," then they quickly surrounded the trucks. Seeing this, the Doctrine Guards at once started their trucks and pressed hard on the accelerators. As the trucks pulled away from the pursuing masses, the Doctrine Guards pulled out their pistols and shot at them. They fired a few shots and wounded four men, one in the head, one in the chest, one in the hand, and one in the foot. After that, the Doctrine Guards sped towards Yuexiushan.
At noon, despite the ironclad facts that the arms of the Zhonghua suburban Poor and Lower-Middle Peasants' Alliance had been discovered and that the Doctrine Guards had shot and wounded the masses, the presidium of the "Revolutionary Committee of Workers in the Guangzhou Area" wantonly started a rumor at the meeting that the "Red Flag Faction" had amassed their men at Zhongshan No. 5 Road (actually the masses at the road junction were unorganized and many of them were children) to sabotage their demonstration.... They stirred up public opinion in favor of a violent struggle and read a so-called statement of protest.
At 1:15 P.M., the Revolutionary Committee of Workers in the Guangzhou area started its parade. The parade contingents wanted to pass Jixiang Road and go westward along Zhongshan No. 5 Road, but the road was crowded, particularly at the intersection. A handful of heartless and rabid leaders of the District Headquarters ran two of their trucks into the crowds at speeds of over forty kilometers per hour. The first truck crashed into a pillar supporting the balcony of the Urban Services Bureau building. The second bumped into a trolley bus which was stopping at Zhongshan No. 5 Road. One person (a child) was killed on the spot, and two others were injured. The masses raged with indignation over these atrocities, and picking up pieces of bricks on the roadside, launched a brave counterattack. The bad leaders used machine guns, pistols, hand grenades, and other murderous weapons to start their premeditated massacre. From the time the Doctrine Guards fired their guns to the time the Central Investigation Corps and the army unit arrived at the scene, the District Headquarters and the Doctrine Guards fired more than two hundred bullets and threw four hand grenades. According to incomplete statistics, thirteen persons among the revolutionary masses were killed (nine of them died on the spot and the other four died in the hospital) and one hundred fifty-five were wounded, seventeen of them seriously. Of the wounded, seventy-three were sent to Zhongshan Hospital, forty-three to Provincial People's Hospital, thirty-six to Municipal No. 1 Hospital, eleven to Municipal Workers' Hospital, and five to Yuexiu Area Hospital. (Those sent to military hospitals are not included in the above figures.) Apart from this, countless people were injured by bricks thrown by the District Headquarters and the Doctrine Guards. In Jianguo Restaurant alone, forty-five persons who were less seriously injured came in to have their wounds dressed. Moreover, the District Headquarters and the Doctrine Guards beat and kidnapped seven persons from among the revolutionary masses and took them away in four trucks, the license numbers of which were: 3-318, 15-1458, 15-10029, and 15-14944.
These facts have been written in blood. They cannot be reversed no matter what rumor the Spring Thunder, District Headquarters, Doctrine Guards, and other conservative organizations may start. There must be a reckoning of their crimes in sabotaging the September 5 Order and September 1 Agreement.
* The Monkey King is a famous character from the Ming novel _Journey to the West._
## 94 **VICTIMS**
_In 1926 Mao Zedong had declared that "A revolution is not a dinner party." Even after the victory in 1949, Mao insisted, vigilance against class enemies had to be maintained. Struggling against them was needed to mobilize the revolutionary enthusiasm of the masses. In the period of land reform millions of landlords and their families suffered from being labeled class enemies. In the 1951 campaign against those who had been affiliated with Nationalist organizations or served in its army, tens of thousands were executed and many more sent to labor reform camps. During the anti-Rightist campaign of 1957, about half a million educated people lost their jobs and often their freedom, usually because something they had said during the "Hundred Flowers" period had been construed as anti-party. Even more educated people were singled out for persecution during the Cultural Revolution. College professors, middle school teachers, newspaper writers, musicians, party cadres, factory managers, and others who could be classed as educated suffered a wide variety of brutal treatment. Men and women were tortured, imprisoned, starved, denied medical treatment, or forced to leave their children unsupervised when they were sent out to labor camps. Fens of thousands were killed or committed suicide._
_For years victims of these campaigns could not write or talk about their experiences for fear that they or their children would suffer even more. After the Cultural Revolution was discredited and blame placed on the "Gang of Four," [which included Mao's wife Jiang Qing), writers were encouraged to expose the harm the "gang" had caused. Often the most effective way they found to do this was through fiction. Below is a story, titled "Melody in Dreams," written in 1978 by Zong Pu (b. 1928), the daughter of a well-known professor of philosophy Feng Youlan, who was the object of severe criticism in both the anti-Rightist campaign and the Cultural Revolution._
The cello music sounded through the air. It was deep and sad like the late autumn wind sweeping leaves off the ground or the grey clouds gathering in the cold winter sky. Gradually the music became thinner and thinner as if it would be lost, never to be found. Suddenly, it burst into a loud, stirring sound which seemed to express hope and desire.
"It's Murong Yuejun playing!" Many people were familiar with her music.
Murong Yuejun, a teacher of cello at a music college, was wedded to her instrument. She and her cello were as one; through it she expressed all her feelings. Today, however, she could not finish a single piece. Putting the cello aside, she walked out onto the balcony and gazed into the distance.
It was September of 1975. Strands of her white hair gleamed in the setting sun. Her attractive face belied her age of more than fifty years. She gazed down the end of the street expectantly, but no one came. She was waiting for the daughter of her close friend Liang Feng, a man she had nearly married. He had since died, but she always remembered his daughter.
At the outbreak of the Anti-Japanese War in 1937, Liang Feng and other youths had gone to the revolutionary base of Yan'an. Yuejun, however, at the time a music student at Yanjing University in Beijing, had been taken by her parents to the south. Then she had won a scholarship to study abroad and had not returned until after Liberation in 1949. After the death of her parents, she had immersed herself in teaching music.
Now it was growing dark. She went back into her room, deep in thought. During the first years after Liberation, Liang Feng had worked abroad. In the sixties he had been recalled to China to do cultural exchange work. Yuejun had heard him speak at some meetings. She had been impressed by his way of expounding the party's policies and moved by his devotion to the party. She even met his wife, a respectable comrade and good mother.
Yuejun had also met their daughter, but the girl had not left a deep impression on her, except on one unforgettable occasion. It was during the Cultural Revolution, when all sorts of bad characters emerged to slander celebrated artists and intellectuals. Yuejun, because she had studied abroad, was attacked. At a meeting, she and some others were lined up on stage. Some famous musicians were pushed to the microphone to denounce themselves as reactionaries. Suddenly three or four youngsters beat and kicked a middleaged man onto the stage shouting, "Down with the revisionist monster Liang Feng!"
Stealing a glance at him, Yuejun was surprised to see her friend being forced to the microphone. Facing the crowd, he said, "I'm Liang Feng, a Chinese Communist!". No sooner had he said this when some thugs leapt onto the platform and punched him. Blood poured from his mouth. Then a girl's clear voice was heard shouting, "Father! Father!" There was an uproar as some protested against the beating, while others rushed to the girl and knocked her out of the hall. Though Yuejun's head was lowered, she saw the whole scene, except the girl's face. Whenever she thought of her, she felt a mixture of sadness and warmth. Now she was going to see her for the first time since the incident.
There was a voice outside. Yuejun asked, "Is that you, Pei?" A plump woman of Yuejun's age entered. She was a party member who had been party secretary of the cello section since the 1960s.
"I just popped in to see if Liang Feng's daughter was coming to see you today."
"She's supposed to, but she hasn't turned up yet."
"Do you remember...?" Pei looked out of the window.
"I haven't forgotten all those slanders." Yuejun's mild glance rested on her. After each criticism meeting, Pei had whispered in her ear, "Chin up! It's a test." Or, "Never mind. Don't let it upset you too much!" This had encouraged Yuejun enormously.
Pei had high blood pressure and was easily excited. Controlling herself she said, "You must teach her well, Yuejun."
"Of course. I want to, but can I supplement the musical scores and materials?"
"I think one should, but who has the authority? The harmful members of society aren't only trying to destroy the usual ones, but our whole civilization and socialism." Pei's voice quivered.
"But what can we do?" Yuejun muttered.
"Wait until..." Pei slapped the arm of the chair. After a while she said she was going to see her paralyzed husband in the hospital. Smiling bitterly, she left.
It was night as Yuejun gazed out of the window at the maple tree illuminated by neighboring lights. Thinking of the girl, she supposed she would not come that night. Then there was a knock at the door. Before she could answer it, a girl came in saying loudly, "Are you Aunt Yuejun? I had such trouble finding your home. I must have asked about a dozen people along the way. Your room's dark but I spotted your cello when I came in, so I guessed this must be the right place. I'm Liang Xia."
Switching on the lights, Yuejun saw that Liang Xia was a pretty girl, with her hair cut short. She was wearing a cream-colored jacket over a black woolen jersey and deep grey trousers. With large eyes, slender eyebrows, and rosy cheeks, she was smiling quizzically at Yuejun.
"So she's sizing me up too," thought Yuejun, who shook hands with her, saying, "I've been waiting for you...."
Liang Xia was ten years old in 1966 when the Cultural Revolution began, a marked turning point in her life. Until then she had been the pride of her parents, but her happiness dissipated with the start of the Cultural Revolution. Her father, a leader in his office, was dragged one night by people who broke into their home. Then her mother was separated from her. Liang Xia, bewildered, was left alone at home, cooking meals to take to her parents. Her father liked eating noodles and flapjacks, while her mother liked sweet food. Sometimes Liang Xia herself went hungry in order to give her parents their meals. She did this until one day a man told her not to prepare any more for her father, since he had died five days earlier.
After her parents were detained, some of their comrades invited Liang Xia to live with them, but certain people objected saying that she could only live with a relative. She had an aunt, her mother's sister, but she had refused to take Liang Xia, only allowing the girl to visit her and help her with various chores. At that time Liang Xia was in the fourth-grade. Because of her parents, she too was criticized from time to time.
In those unhappy days, Liang Xia often dreamed that she was being weighed down by a heavy stone. Unable to remove it, she would cry herself awake. But in time she became accustomed to the sneers, and she accompanied her mother to a cadre school to do manual labor in the countryside. Then her mother was transferred to work in a small town in south China, where she met a cello teacher, who had been dismissed from his school. So that Liang Xia would not idle away her time, her mother arranged for her to have cello lessons.
Just two months ago, Liang Xia's mother had died of illness. The death was particularly tragic because she had heard that shortly there would be a meeting to clear her husband's name. So Liang Xia came to Beijing and stayed with her aunt. She hoped that Yuejun could give her cello lessons. That was the reason for her visit.
"I'm sorry for being late, but I had to help my aunt with the washing up." She glanced round the room in which Yuejun had lived for many years. Against the window was a marble-topped mahogany desk left to Yuejun by her parents. In one corner stood a piano against which leaned a cello. In front of her bed was a folding screen painted with flowers and birds. Two armchairs flanked a stand and behind it was a lamp with an orange shade. The gentle light gave an atmosphere of tranquility.
"It's nice and cozy here," Liang Xia said as she followed Yuejun to the kitchen, where she took the thermos flask from her and poured herself a cup of tea. Yuejun told her that several years previously, a couple intruded into her family's home. Dividing the room was a screen and bookcases, they lived there a few months before they moved out.
"We were driven out of our home and had to leave everything," Liang Xia said matter-of-factly. "When my parents were detained, I stayed in the attic. It seemed quite cozy at the time. But mother was ill after her release and whenever she used the stairs I had to carry her on my back."
Yuejun wondered how Liang Xia, with her delicate build, had managed that. Curious to know about her mother's illness, Yuejun nevertheless said nothing for fear of opening old wounds.
But as if she had read her thoughts, Liang Xia continued, "Mother had all sorts of complaints. I was like her doctor. I knew every medicine she took. In the end she died of pneumonia. I thought many times she would die, but she always survived. So I thought she'd recover that last time." Her tone seemed detached. Yuejun, however, was very sad.
"How many years have you been playing the cello?" Yuejun looked at her cello. "You love music, don't you?"
"No, I don't." Her reply surprised Yuejun, who stared fascinated at her thick lashes and dark eyes. "I have to learn something to get myself a job. I've been playing since I was fourteen, but I'm not interested in it. I really preferred working in the countryside, but since my mother was too ill to join me, I went with her."
Yuejun was disappointed and wondered whom Liang Xia would follow now.
The girl added, "My parents were always talking about you, so I feel as if I've known you for ages. Mother said you could help me become a musician." A flicker of hope came into her eyes veiling the indifference which seemed to say, "But it doesn't matter if you refuse."
"Why bother learning to play the cello if you don't like it?"
"To make a living, of course," Liang Xia said with a giggle.
If she had heard such a reply ten years earlier, Yuejun would have been insulted. Now nothing astonished her.
"Play me something," she said after a pause.
When Liang Xia went to get the cello, she found a curtained-off alcove that stored Yuejun's junk. Lifting the curtain, Liang Xia exclaimed, "Goodness! Why do you store all your things here, auntie? One day I'll help you sort them out." Then holding the cello she began to play.
She played the second movement of a concerto by Saint-Saëns. In spite of her poor technique, there was something in her playing which moved Yuejun. Although she failed to grasp the meaning of the music, she expressed her own feelings. She was making music.
"She has a good musical sense," Yuejun thought.
She soon finished, but the room retained the atmosphere she had created. Putting the cello aside, Liang Xia searched Yuejun's face.
"To have a feeling for the music is very important," Yuejun said warmly. "But you don't handle your bow correctly yet. Look, it should be like this," and so saying she took the bow and gave the girl her first lesson.
After that, Liang Xia came once a week. When she was not studying, she would chat or help Yuejun with something. She was bright and seemed to know a lot, though sometimes she was ignorant of the most common things. For example, once a colleague was discussing some classical novels with Yuejun, when Liang Xia interrupted them saying she had read many of them. It seemed she had read whatever she could lay her hands on, but there were still large gaps in her education. She would often ask simple questions like when was the Opium War and what was it about. She may have seemed self-centered, confident of how to take care of herself, because since the death of her parents no one else had. Sometimes, however, she was also eager to help others.
One day Yuejun was learning to give injections. Liang Xia offered her arm because she said she was not afraid of pain. Then she added coolly, "The trouble is, you're afraid because you haven't been beaten up enough!" She seemed to have seen through everything and scorned the glowing revolutionary jargon in the newspapers. She would say, "All lies! Even Premier Zhou was slandered as a reactionary. Who's foolish enough to swallow that!" Her only belief was that Premier Zhou would triumph over those "bastards." Yuejun hoped the same. When she referred to Jiang Qing, she called her a "she-devil" who had created so many scandals and who still tried to fool the people. "She praises a novel about vengeance, while she really intends to attack us. One day I'll take my revenge out on her!" Her words puzzled Yuejun. She spoke freely, not caring what people thought. At times Yuejun was afraid one day she would get into trouble.
Pei, a frequent visitor, soon got to know Liang Xia well enough to make her drop her flippant tone and talk seriously. One day Pei came to hear Liang Xia play. After listening to her, she asked Yuejun, "If you want to supplement your teaching materials, why not use some Western études? You're probably too timid."
Bow in hand, Liang Xia protested, "Of course she's timid, but what about you?"
"I never said I was bold," Pei smiled, "but we've each got a head on our shoulders, and we should use it to improve things."
"My head's too heavy for me. I don't like it. If you want, Aunt Pei, I'll give it to you. Then you'll be bold enough to start a revolution. Only don't get scared because you'll have to turn everything upside-down." She burst out laughing. "Revolution sounds fine but they murdered my father under that name also!"
"No, that was counterrevolution," Pei burst out. "Stop playing dumb and remember what your mother said to you. Remember those who hounded your father to death. You must think seriously about your future."
Liang Xia immediately became grave, bit her lip and stared at Pei. After a moment she lapsed into her usual flippancy and sneered, "I don't give a shit about them! What about dinner? Let's go and make it. I'm very good in the kitchen...." She laughed.
That was always how she reacted.
Once when Yuejun asked about her future plans, she answered as briefly as before, adding with raised eyebrows, "I'll fool around until my aunt throws me out, but that won't be immediately. She knows that my father's name may be cleared and that she stands to gain." Then she went to the alcove and lifting the curtain looked at it again.
Before long her aunt threw her out. It was on an early winter day, when Liang Xia should have arrived for her lesson. At sunset she still had not come. Yuejun worried about what might have happened to her.
Suddenly Liang Xia burst in, a bulky satchel over her shoulder and a string bag in her hand. With a face flushed with rage, she cried, "Sorry to keep you waiting, but I've just had a hell of a row with my aunt." Then putting her bags in a corner, she sat down, fanning herself with a handkerchief. Her eyes burned with resentment as she jeered and laughed, "It's just ridiculous!"
"Don't laugh like that," Yuejun said patting Liang Xia's shoulder. "Tell me what happened."
"My aunt said that my father's name can't be cleared because he was a reactionary and that he had killed himself to escape punishment. As for me, since I'm his daughter, there's no future for me. My staying with her has caused her a lot of trouble. Since her husband has just been promoted to be a deputy minister and their block of flats is for ministers, ordinary people like me shouldn't be living there. We're a security risk. What nonsense."
Yuejun sympathized with her and wondered what she would do next.
"I'll stay with you, if I may? Are you afraid?" she asked standing up.
Yuejun was silent. Of course she was afraid! To let Liang Xia stay with her could mean she too would be labeled as a counterrevolutionary. But how could she push her out? After all, she was Liang Feng's daughter.
Seeing Yuejun's hesitation, Liang Xia smiled with scorn. Then she noticed that she had reached a decision. Before Yuejun could say anything, Liang Xia walked over to the curtained alcove and put her things by it. "I've thought about it before. We can put a bed here." As she spoke she began pulling out the junk. "You sit over there, auntie." She sneezed. "So much dust! I always said I'd help you with spring cleaning one day. Now my words have come true!" She laughed delightedly.
Amidst the dust, she hummed a tune as she worked. Having finished cleaning, she arranged the things in two piles of boxes and cases, on which she placed some planks for a bed. Then she made it up with sheets and a quilt lent to her by Yuejun. With a board from the kitchen she made herself a desk. Among the junk she had found a tattered scroll with a poem on it. It read,
Coming from your old home
You should know what is happening there;
Leaning against the window,
Did you see the plums in blossom?
Holding it in her hands, Liang Xia softly read it twice.
"Who wrote it?" she asked. "Both the poem and the calligraphy are good. Why don't you hang it up?"
"Wouldn't it be criticized?" Yuejun replied joking. "It was only this year that I put my screen here. Honestly I'm afraid of courting trouble."
"Well, I'm not." Examining it, Liang Xia noticed the inscription, "A poem by Wang Wei copied by Yuejun in G. city." The girl exclaimed, "So you wrote it! No wonder the calligraphy's so good." Immediately she hung it above her bed. Stepping back she gazed at it and then, clapping her hands, asked, "But where's G. city?"
"Geneva, in Switzerland." Yuejun looked at the old writing with some emotion. "I was there alone studying music and I felt very homesick. Once I listened to Dvorak's _New World Symphony_ a dozen times nonstop. Whenever it reached the second movement I was deeply moved. So I wrote that poem on the scroll. What awful calligraphy!"
"There's patriotism in your words." Liang Xia gave a bitter smile. "Now even patriotism is getting criticized."
"I didn't have any clear ideas." Yuejun sat down at the table. "But I truly missed China then. My ancestors and I were born here. I was proud to be Chinese. That's why I appreciated that short poem. But if that is all wrong now, what's left?" Moodily she turned to the window. "Of course I learned Western music, but only so that I could serve my country better."
"Your country?" Liang Xia mocked. "Today that means individualism, egotism, and counterrevolutionary revisionism!" Then she laughed, "Any way you're all right as a musician. Isn't singing and acting coming into fashion?"
Yuejun did not want to comment on her sarcastic words.
At last Liang Xia had finished tidying up. "My bed's rather like a raft, isn't it?" Going over to it she said, "I'll stay on my raft. I'll be as quiet as a mouse in the day." Having climbed on her "raft," she suddenly popped her head out of the curtain and quipped, "Carefree on my raft, I don't mind whether the seasons come or go." Then she was quiet.
"Now there's no need to act like that," Yuejun laughed. Drawing back the curtain, she found that Liang Xia was lying back on her quilt, her eyes closed. On her rosy cheeks were streaks of dirt. "Get up and wash your face, Liang Xia. We'll have a lesson. Since you'll be staying here for a while, you mustn't waste your time."
On hearing her say "for a while," Liang Xia smiled faintly and glanced sadly at her.
At half past eight that evening they had a lesson. Liang Xia played first. Her technique was improving. As Yuejun was correcting her, there was a knock at the door.
A youngster in a green uniform without any insignia entered. The expression on his regular-featured face was troubled. Seeing Liang Xia sitting with the cello in her hands, he said to Yuejun, "Excuse me, are you Aunt Yuejun? I'd like to have a word with her." Then he smiled at Liang Xia.
Ignoring him, Liang Xia concentrated on her music, but after a while she explained, "This is Mao Tou, a friend of my cousin. Let's continue our lesson."
"Mao Tou? Is that a nickname?" asked Yuejun casually, wondering about their relationship.
"Actually I don't know his real name." With this Liang Xia continued playing.
Snubbed, the young man turned to Yuejun for help. She suggested, looking at Liang Xia, that they go for a walk in the fresh air. Then she went to her desk and switched on the lamp. Pouting, Liang Xia walked out with her friend.
The next day at school, Yuejun told Pei about her decision. Pei was delighted. "I agree with you. She should live in your home." Some colleagues who sympathized with Liang Xia felt that in this way she could have an opportunity to study, as she'd become an orphan and a loafer. Those who objected said, "What if the police start making inquiries? And if Liang Xia does something illegal, Yuejun will be implicated." Yuejun was worried, but decided that if the authorities insisted that girl should leave, then she must let her go. Otherwise Liang Xia could stay as long as she liked.
Time passed, and the two of them got along well together. Liang Xia was able, diligent, and considerate. Always in high spirits, she reminded Yuejun of an elf from a dance by Grieg. But Liang Xia claimed to be a very down-to-earth sort of person. "If you were me," she argued, "you'd be just as practical."
Once, when the weather was already chilly, Yuejun bought Liang Xia some cloth for a jacket to be made at the tailor's. But Liang Xia claimed she could make it herself and went off to Pei's home where there was a sewing machine. When she came back, she seemed very melancholy.
"What's the matter?" Yuejun asked.
"Oh, nothing!" Liang Xia fidgeted with the remnants of the cloth. "Aunt Pei's husband's been paralyzed for three years, and she goes to the hospital every day to take care of him. Her high blood pressure doesn't keep her from going to the office and studying the works of Marx and Lenin either. She told me that in the Yan'an days, people trudged in straw sandals, but each step seemed all the more significant. And one of her friends used to say that everyone at that time had a strong sense of responsibility. Life was so full of hope." After a moment her face brightened and she continued, "Aunt Pei said my father helped to reclaim the wasteland and that my mother spun yarn. I'd like to live such a life, but now it seems that just playing my cello or breathing is illegal." Scissors in hand, she shredded the cloth.
Her usual apathetic and scornful expression returned, her tender heart seemed to have hardened. As Yuejun stroked her silky black hair, there was a knock at the door. Two young men with high sheepskin hats and fashionable trousers entered. Seeing them, Liang Xia sprang forward and told them to get out, banging the door shut. Yuejun did not know where Liang Xia picked up such friends. If she was home, Liang Xia would take them out, but as long as she was teaching or busy elsewhere, Yuejun was quite oblivious as to what went on in her home. As most of them were boys, she once tentatively warned Liang Xia against falling in love too early.
Hearing this, Liang Xia burst out laughing. "Don't worry! I won't be such a fool! I don't respect those boys. When I marry, my husband will be a high official!" She grinned mockingly, as if in her eyes high officials were toys for amusement. Then with forced seriousness, she added, "Or perhaps I'll be a spinster like you. By the way, why didn't you marry, auntie?"
"You tell me," Yuejun countered, trying to avoid the question.
"It isn't that you believe in being single, but that you've never met a man you loved." She was sharp.
Since her arrival, Yuejun had been strict in making her practice various pieces every day. Though she did not assign any Western musical scores, Liang Xia often played some to amuse herself. One day when Yuejun returned, she overheard Liang Xia playing a plaintive melody by Massenet. It was so melancholy that she waited till Liang Xia had finished before entering. Yuejun often wished that Liang Xia could attend a proper school, since she had real musical talent. But it all depended on when her father's name would be cleared. If that happened, then the girl would be in a better position to study.
Meanwhile Liang Xia led a seemingly carefree life. Apart from playing the cello and seeing friends, she often read some books on her "raft." One day Yuejun was shocked to find her reading a hand-written copy of an "underground" book. "Why are you reading that?" she asked.
"Why not?" Liang Xia retorted.
"The cover alone scares me."
"You wouldn't even say boo to a goose!" Liang Xia giggled. "When my parents were detained I was often criticized and beaten. Later I fought the boys back. They beat me and I punched them. I loved it!"
Not knowing what to say, Yuejun stared at her pretty, youthful face. Despite the merry, contemptuous expression, she sensed hidden apathy and misery.
"Since I'm older now, I've grown out of fighting. It bores me." Then she tried to reassure Yuejun, "Please don't worry, auntie. Since I can't play the cello all day long, I have to read once in a while too. But I can't find any good books, so I'm reading these, even though they're dirty. It's like food. When there's nothing yummy to eat you eat anything. So there!" She glanced at the cabinet where she had some good books.
"You're wrong." Yuejun tried to argue with her.
"I know." Smiling she added, "Now I just exist. If one day I can't go on like this, then I'll change my world outlook. That's how Mao Tou puts it."
"You can read what he's read, I think." Yuejun had found that Mao Tou was a thoughtful young man who had seriously studied some books on philosophy, literature, and history. Although known as a "scholar" in his factory, he refused to join any writing teams run by the authorities. His father was an old cadre who had often shown concern for Liang Xia.
Yuejun's suggestion made Liang Xia smile again. After a moment, Yuejun opened the cabinet to let her choose whatever books she wanted. Happily Liang Xia looked through it until she suddenly murmured, "My father had many books. However late he worked, he never went to bed withou reading a little. What a pity I was so young! I... I hate...." Turning round she clutched hold of the cabinet, her eyes blading. "Oh father, father!" Her voice was as clear and pained as a few years before. "I don't believe that my father, a Communist full of enthusiasm, committed suicide. They killed him, but insist that he killed himself." She did not choose a book, but stood there gazing wistfully at Yuejun. "Do you think the day I long for will come? Mother told me I must live to see it."
Yuejun could not bear to see her expression. Wanting Liang Xia to have a good cry, tears began pouring down her own face. Even if her father had killed himself, he would never have done so unless driven to it. He must have been in a desperate situation. She wanted to cry with Liang Xia, hoping the girl's tears would wash away her cynicism. Instead Liang Xia rushed to her bed, leaving on the cabinet two nicks from her nails.
It was 1976 and the Spring Festival was approaching. Despite the festival, everyone was grieving. Where was the spring? People were profoundly anxious about their future since the death of Premier Zhou. There was a dreadful abyss in their hearts, which could not be filled by their tears and thoughts.
Before she went to the cadre school in January to do some manual labor, Yuejun entrusted Liang Xia to Pei's care. When she heard the sad news of the premier's death, she felt desolate. Worried that something might happen to Liang Xia, she wrote asking how she was. After she had mailed the letter, Yuejun was afraid Liang Xia's reply would get her in trouble, so she quickly sent a message telling her not to answer. However, her reply did come. It said, "I'm prepared to shoulder my responsibilities now." Though cryptic, it signified that a storm was imminent.
On her return home Yuejun found Liang Xia had changed. In the past Liang Xia's laughter made Yuejun sad. Now Liang Xia expressed her suffering in another way—by remaining silent. She thought more about her responsibilities. Sometimes Yuejun told her to play her cello to find peace in the music, but thinking about Premier Zhou disturbed her playing. In the past three weeks she had suddenly matured. Her flippancy was gone. In her dark eyes was a clouded expression, as if her thoughts seemed too heavy to convey. Some of her friends stopped coming; she was in no mood to play and that was all they were good for. When Yuejun asked her where her friends were, Liang Xia blinked as if she had never known them.
She got rid of the frivolous books but she was not interested in serious literature either. To Yuejun's surprise, Liang Xia sometimes read works of Marx and Lenin. On the eve of the Spring Festival, Pei found her reading an article by Chairman Mao, a notebook by her side. Leafing through its pages, Pei was astonished to find a heading, "Crimes perpetrated by Jiang Qing." The charges listed were logical and cogent. Pei grasped Liang Xia's hand and said admiringly, "I always knew you were a smart girl, Xia!"
Liang Xia smiled a genuine smile. "I thought a long time about your advice. I shouldn't fritter away my life and youth. Especially at this time."
Most of the notes had been made by Liang Xia and some by Mao Tou. As Yuejun read them, she felt they were telling the truth. But the truth meant trouble. She searched Pei's face wanting to know what to do. Pei smiled at her. "It's correct to expose them for what they are. These notes are what we've been wanting to say ourselves."
Liang Xia told Yuejun, "I know that's the way you feel too. But you are too timid, auntie."
Yuejun sighed, "Who can we talk to?"
"We're only allowed to parrot the editorials," Pei added.
Liang Xia was silent. Her smile faded into contempt and pessimism.
Yuejun anxiously looked at the girl, while Pei warned, "It isn't just a question of daring to struggle. It's also knowing how and when to strike."
When they were having supper, Yuejun wanted to ask Liang Xia why she and Mao Tou had written the notes, but she did not press her. After a long silence, Liang Xia said while eating, "On my way to the grain shop, I overheard two old women talking. One of them said, 'Since our premier died, we have no heart to do New Year shopping.' "Then Liang Xia put down her bowl and walked away.
Suddenly there were three knocks at the door. Liang Xia immediately darted to open it and Mao Tou entered. Although he looked tense, he did not forget his manners, greeting Yuejun before turning to Liang Xia. "Let's go out," he suggested.
"What's the matter?"
"Please sit down," Yuejun urged. "It's so cold outside. Don't go out. Tell us what's happened."
Eyeing them both, he said, "My father's been arrested!"
"What?" Yuejun was dismayed.
"On what charge?" Liang Xia asked.
"They can trump up anything," he replied, trying to control his anger. Then he continued, "A few days ago, my father told me they were concocting some charge against Premier Zhou. He said as long as he was alive he'd defend him and speak out. This morning your uncle told my father that they wanted him to attend a meeting. A neighbor reported that my father was tied up and driven away in a car. He wasn't even allowed to leave a note for the family."
"I was luckier. I saw my father being dragged away," Liang Xia murmured.
"When I went to their office to see my father, the man on duty told me coldly that he was going to stand trial and couldn't receive any visitors. Then he shoved me out of the door."
Yuejun was outraged, thinking how many families had been ruined by this gang, how many young people had been deprived of their right to work and study or even live. They would not even leave the premier alone. Our great hero had left nothing of himself after his death. Even his ashes had been scattered over the mountains and rivers. Now they intended to blacken his reputation. Liang Xia trembled with rage. She suddenly laughed aloud. Yuejun took her hand which felt cold. "Xia!" she exclaimed.
"Those monsters are about to tear off their masks!" Brushing Yuejun aside, she put one hand on the table and the other to her breast.
"Yes, I think they are going to show their true intentions soon," said Mao Tou, looking coolly at Liang Xia. "We must continue collecting materials. The day's coming when the gang will be brought to trial and condemned."
Mao Tou paced the room and then said he was going to inform his friends about his father's arrest. He left after shaking hands with Yuejun and warning her to be careful.
At the door Liang Xia suddenly cried out, "But you haven't had your supper yet!" Mao Tou shook his head and left. Yuejun knew that his mother had died of a heart attack after an intense political meeting, and now no one was left to look after him.
Mao Tou's father was an old cadre. After he had been repudiated, he had nothing to do each day but read books, see the doctor, or visit friends. But this idle life could not keep him from fighting for the truth. The flames of truth had been burning in his heart and he was ready to sacrifice himself to defend it. If Liang Feng were alive, he would do as he did, as thousands of cadres, young people, and ordinary citizens were doing.
Through hell or high water, time marches on. Tempered by grief, doubt, and anxiety, the people will come to see the truth.
On the eve of the Spring Festival in April, 1976, tragedy enveloped Beijing's Tiananmen Square. Only the bright wreaths overlapping each other and the loyal hearts of the people challenged the somber surroundings. Some wreaths climbed high into the sky, while others were very small. They stretched from the Monument to the People's Heroes to the avenue. It was like a great mourning ceremony, unparalleled in history, dedicated by the people to Premier Zhou. The pine trees, covered with white paper flowers of mourning, were like a bank of snow. Gaily decorated baskets hung from the lampposts. Balloons floated in the air trailing streamers inscribed with the words, "Premier Zhou Is Immortal!" The crowds in the square were like a vast moving sea. They were silent though indignant and at the end of their patience. The flames of truth in their hearts were at last about to blaze.
If the truth could be seen, Yuejun thought, it was in that square. The people were prepared to give their lives for it. She knew Liang Xia came every day to record poems and see the wreaths. Yuejun and Liang Xia were making their way to the monument in the middle of the square. They hung their basket on a pine tree. It contained pure white flowers entwined with silver paper that glistened like their tears.
Liang Xia remembered pacing in the quiet square in January after the premier's death when she heard people weeping. A middle aged woman had lurched towards the monument crying, "Oh premier, what are we going to do now? What?..." Her cries carried through the square and reverberated in Liang Xia's heart.
Suddenly Yuejun felt Liang Xia shudder. Looking in the same direction, she saw a streamer by the monument which read, "Even if the monsters spew out poisonous flames, the people will vanquish them!" The street lights were dim, but words seemed ablaze. This was the strength of the people! The people had begun to fight back!
Yuejun and Liang Xia walked among the crowds who were engrossed in copying poems. Some far away could not see clearly, so others who were nearer to the monument read them aloud. If some had no paper, others would tear out pages from their notebooks. People wrote leaning on others' backs. All the crowds shared one purpose and cherished a deep love for Premier Zhou.
Unexpectedly Mao Tou appeared. With a serious expression, he whispered something in Liang Xia's ear. She hurriedly pulled Yuejun away from the crowd. On their way home, Yuejun was filled with grief and anxiety. She was not afraid for herself, but very worried about Liang Xia and Mao Tou and all the other young people in the square who were reciting poems. When she arrived home, she sat down at the desk in front of a photograph of Premier Zhou as a young man. Yuejun wished she could talk to Pei who had given her this photograph, but she had been in the hospital since March because of a heart attack. She had been working too hard.
Liang Xia was busy on her "raft." After a moment she emerged and poured herself a glass of water. She looked calm and happy, though pale. "Would you like some water, auntie?" she asked. There was no answer.
Then Yuejun said looking at her, "I want to say something to you. I guess you're going to put up some posters. It's too dangerous!" She paused before adding, "You're young. You must live to see the day....You're the only survivor in your family."
Not in the least disturbed, Liang Xia replied, "I don't want to hide anything from you. But we must speak out and let those bastards know we are still alive. As you know, I'm not afraid of anything."
Yuejun said after a pause, tears streaming down her face, "Then let me go! I'm old, but I can do it as well as you!"
"You?" Amazed, Liang Xia gazed at her kind, attractive, tear-stained face. She too began to weep, though she tried to hold back her tears.
"Xia!" Yuejun hugged her tightly. Her tears dropped on the girl's hair, while Liang Xia's wet her breast.
Liang Xia soon dried her eyes. There was no time for a good cry. It was as if she heard the bugle call. Flames of love and hatred blazed in her heart, melting it. She had thought of telling Yuejun that she had already distributed some leaflets in the trolleys and parks. Some had expressed her views, while others contained only one sentence, "Down with the White Bone Demon—Jiang Qing, the cause of all disasters!" She was sure there would not be any trouble, but still it was better not to involve Yuejun. She decided to keep her in the dark and so she changed the subject, "All right, I won't go out now. Where are you going, auntie?"
"I'm serious," Yuejun protested.
"So am I." She wiped away her tears. "You must rest. You're too excited." With this, she went to make up Yuejun's bed and quietly slipped two sleeping pills into a glass of water. Handing it to her, she persuaded Yuejun to lie down.
Soon Yuejun felt very sleepy so she lay down, while Liang Xia paced the floor, cheerfully. "You should put some more clothes on," Yuejun advised, noticing Liang Xia was wearing only one sweater. "You must take care of yourself!" Then she wondered if she was really getting old, as she was feeling so tired.
Yuejun fell asleep and was unaware that Liang Xia had tidied up the room. Before leaving she had fondled the cello and turned to gaze again and again at the screen which shielded Yuejun's bed. Finally she made up her mind and gingerly opening the door went out.
That night she did not return. Two, then three nights passed and she still did not come home.
One evening after her discharge from the hospital, Pei came to visit Yuejun. It was already summer. Through the window the stars shone. The two women sat facing each other in silence. After a while, Yuejun took a notebook out of a drawer, saying, "I found this yesterday. Xia took notes in it."
Pei was startled when she flipped through the pages to read, "I won't live under the same sky with the sworn enemy of my family and my country." She read the sentence again and again before saying confidently, "Don't be sad. I believe she'll come back one day."
Yuejun nodded, "I hope so. I know where Mao Tou is imprisoned. But I've no news about Xia."
"We'll try to locate her." The notebook was clenched tightly in Pei's hand.
Yuejun heaved a sigh, "Recently I feel as if we've been playing a piece of music interminably but it may break off any moment now."
"Don't worry. We'll end this symphony on a magnificent, triumphant note. To tell the truth, in the past half a year, we were worried about you. Someone tried to blame Liang's mistakes on you. But we told them nothing. In the last two months, orders came from our ministry to investigate the relationship between you and Liailg Xia, but we refused to do it."
Rising to her feet, Yuejun declared, "Tell them Liang Xia's my daughter. I'll adopt her as my own daughter." Her worn, sweet face brightened, and determination shone in her eyes. Pei grasped her hand firmly.
That night Yuejun dreamed that she was playing her cello at a concert. The music from the cello was splendid and triumphant. In the audience a pair of dark eyes danced to the melody. They belonged to Liang Xia.
Then suddenly it was Liang Xia and not she who was playing on stage. Her skillful playing was inspiring and encouraging. Happy tears poured down her cheeks. The stage lights shone on her white gauze and silver-threaded dress and on her glistening tears. The powerful music reverberated inside and outside the hall. She played what was in her heart and in the hearts of the people. "Father! Dear father!" Liang Xia suddenly cried out. Her voice merged with the splendid music flying to the clouds. In the clouds appeared the Monument to the People's Heroes shining like the sun and the moon, with inscriptions personally made by Chairman Mao and Premier Zhou. Among the names of heroes was Liang Feng's. Some were known to everyone, some were ordinary people, while other heroes did not have their names mentioned. But they were all heroes of China nevertheless. They devoted their entire lives to the cause of liberation and communism. Though they have all died for one reason or another, they still live in our hearts. Their contributions are immortal and they will be forever remembered.
The dream of the people will be fulfilled. The reactionaries will be smashed. This is historically inevitable.
_Translated by Song Shouquan_
## 95 **
THE CHANGING COURSE OF COURTSHIP**
_The leaders of the Communist Party inherited the attitudes of early twentieth century reformers who saw the old family system as oppressive to youth and women. In 1950 a Marriage Reform Law was enacted which prohibited parents from forcing their children to marry against their will The government also condemned early marriage on the grounds that it deflected the energies of youth from productive work and led to too high a birth rate. Beginning in the 1950s, girls were enrolled in schools in unprecedented numbers and women were mobilized to work outside the home in large numbers. New patterns of courtship and new attitudes toward love and marriage gradually developed, reflecting both new government policies and the new social situations in which young people found themselves. The four selections below reflect some of these changes. The first comes from a handbook published in 1964 for use of rural cadres who had to advise young people. The second is from a February, 1975 Canton newspaper and is an example of the sorts of exhortation intended to promote new types of thinking that were common during the Cultural Revolution. The third is a letter written in 1978 in response to a radio show on "The Place of Love" and gives a very different view of courtship during the Cultural Revolution. The last selection, on advertising for spouses, appeared in a 1989 women's magazine._
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WHAT SHOULD ONE PAY ATTENTION TO WHEN ONE FALLS IN LOVE?**
We have already said that young men and women must have a correct point of view toward love when they fall in love. Here we shall talk a little about a few concrete problems to which one should attend when falling in love.
First, with regard to the problem of dating between young men and women, may young men and women date each other in public? Of course they may. So-called friends ought to be comrades in our socialist society. Sentiment between friends is lofty, and the relationship between one and the other is equal and cooperative, full of solidarity and love. Common ideals, common interests, common lives of labor and war have bound us together tightly and have created a brand-new comradely relationship between us. This sort of comradely relationship encourages us to progress, and it advances our solidarity. It is beneficial to socialist construction and at the same time makes our lives happier and more blissful. Under such circumstances, why shouldn't young men and women court each other publicly?
But in real life there are some people who always look askance at any relationship between a man and a woman. As soon as they see a man and a woman together, they are scandalized without looking into the true circumstances. They say this and that and make all kinds of criticisms to make people feel ashamed. There are also some people whose heads are full of ridiculous formulas. As soon as a young man and woman start to see each other often, they brand them for having an "improper style" and claim that "the relationship between the sexes is impure." Because of this, some young men and women become anxious. If they love someone, they don't dare declare their love. When they start courting, they hide here and there, not daring to see people, as if they had done something disgraceful. This is a problem worthy of our attention.
How should young men and women treat others' criticisms when they fall in love?
1. We must clear away the remnants of feudal ideology in our minds and treat the relationship between the sexes correctly. When we see a man and a woman talking together, we should not be greatly surprised. We should, moreover, not gossip or interfere with them. When a man and woman meet, they should be open-minded and not be suspicious of each other. If you love another person, you must give it serious consideration. After due consideration, if you want to propose, then propose. You need not suppress it in your heart and create suffering. If you and the other person build up a proper relationship and fall in love, even if you do encounter ridicule or interference from others, you need not feel troubled by it and may disregard it. You may also explain it to them and, if necessary, make observations on the situation to the party or the League in order to request support.
2. When they fall in love, young men and women must be particularly careful to balance well the relationship between love and work. They should not forget everything else when they fall in love, but should change love into a kind of motive power to encourage themselves to work, learn, and progress better.
3. In falling in love, one should never have improper sexual relationships as a result of temporary emotional impulses. This is immoral.
In sum, as long as we treat these problems seriously, others will not "gossip." Even if some people talk nonsense, we can still stand up to it. Facts always will prove that their opinions are wrong and our actions are honest.
Second, on the problem of "unrequited love."
"Unrequited love" means that the love relationship is broken. We know that in love itself there exist two possibilities. One possibility is that it continues to develop and leads to marriage. The other possibility is that it breaks up midway, and the love relationship terminates. The process of falling in love is a process of mutual understanding and increasing friendship. After a considerable period of mutual understanding, if one side feels forced and proposes to break off the love relationship, this is normal and means that the love between the two has not matured. A proverb says, "The melon that is gathered by force is not sweet." Love is something that cannot be forced. If love is immature and thus the love relationship is broken off, it is not necessary to create trouble for oneself. But there are some young men and women who cannot treat this problem correctly. According to them, it seems that as soon as you fall in love you must get married. Otherwise you feel cheated. Because it is "unrequited love," it creates "the greatest suffering." One cannot eat or sleep; one feels dispirited at work and even loses interest in living. This is wrong in the extreme. One should have a correct attitude in dealing with "unrequited love." First, one should understand clearly his goals in life. If one has a lofty goal in life, then one's work, learning, and progress will not be affected by setbacks in love. Second, one should be philosophical. Since the other no longer loves you, you should not put something into it that is not there.
Third, on the problem of "fickleness in love."
"Fickleness in love" is a bourgeois conception of love. Its characteristic is: "Love the new and detest the old." "The other hill seems higher than this one."* It manifests itself in changeability and untrustworthiness. One loves X today and Y tomorrow. It is a very flippant attitude. This is completely different from normal love. When a young couple feels lovingly toward each other and builds up a love relationship, they should respect each other and make their love develop and strengthen without cease. If in the process of falling in love one party feels that the love is strained and that the love relationship cannot indeed be maintained, then, based on a serious and cautious attitude and after conscious consideration, it is also quite normal that the love relationship be broken off. This is beneficial to oneself, to the other person, to one's future life, and to society. But "fickleness in love" is different. Its purpose is hedonistic enjoyment. When you enjoy each other, you are "in love." When you have had enough, then "take off." When you have the money, it is "love"; when the money is all used up, "take off." Responsible to no one, enjoyment is supreme and the individual comes first. These are dutiful acts of love and ought to be vigorously opposed.
Fourth, on the problem of matchmaking by family and relatives.
Some young people are introduced to their partners by family and relatives. Is this way of doing things good? This should be analyzed concretely, for one cannot say whether it is good or bad in general. Generally speaking, it is best for young men and women to find their beloveds by themselves and to build up a love relationship through common labor and common struggle. Some people, due to limitations of various sorts, cannot help but ask others to introduce them to a partner. It is all right to do so. But if there is no mutual understanding or love toward the partner one is introduced to, then there should be a process of mutual understanding and building up of love. This process is absolutely essential. Some young people rely on the one-sided opinion of a matchmaker; they meet a few times and agree to get married right away. This way of doing things is too rash. We should say that one ought to have more contact with the person he is introduced to so as to learn to understand one another, but not rely on "love at first sight." If you hand over your "heart" after only one meeting, then it is not serious enough. "Love at first sight" often means you only see the superficial phenomena of the other's looks, clothes, manners, etc., but cannot see the other's "real heart." Some young people often give away their hearts before they see the other's. How can this be reliable? Therefore, when you ask others to introduce a partner, if you yourself are not yet familiar with the other person, then, in addition to listening to the opinions of the person who makes the introduction, you should also listen to the opinions of people familiar with that person. More important, there must be a process of mutual understanding. This, too, is the process of falling in love.
We may see from the above problems that in the question of love and marriage there exists a struggle between new and old thinking. In order to deal correctly with the problems of love and marriage, we must oppose the remnant of feudal ideology and the ideology of the bourgeoisie. We must draw a clear boundary line with these two kinds of ideology and carry out a vigorous struggle. These, then, are the problems young men and women must pay attention to in the process of falling in love.
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DARE TO DO AWAY WITH OLD CUSTOMS**
It was a day in the middle of October last year. The masses of people in Sixin Brigade (Niwan Commune, Doumen county) joyously ran about passing the words: "Uncle Jinxi is taking a son-in-law today."
Let's hear the story about Uncle Jinxi taking a son-in-law.
Old poor peasant Huang Jinxi's daughter Bingcai fell in love with He Huashen of Weiguo Brigade, Baiqiao Commune, and they planned to get married. This event made Jinxi rejoice on the one hand and grieve on the other. He was happy because thanks to the good leadership of Chairman Mao and the Communist party, his whole family was free and his children had all grown up; he grieved because he had no son and his four daughters one after the other had all gotten married and left the family. He thought to himself, "How wonderful it would be if my son-in-law could come to live with me and take care of me when I get old." His daughter understood how he felt and suggested that He come to settle in her family. He consented.
When news of this spread, a small number of people still influenced by feudal ideas began to criticize. Some said, "A fine young man like him can find a wife without difficulty. Why should he have to join the family of his wife? What a shame!" When He's father heard these erroneous views, he also thought that as it had been a practice for women to marry into their husband's family since ancient times, his son would be looked down upon and meet "bad luck" if he did as planned.
He studied conscientiously the relevant writings of Chairman Mao and the ten new things of Xiaojinchuang, and came to realize that "times have changed, and men and women are equal." If women could go settle in their husbands' families, then men could also go settle in their wives' families. Revolutionary young people must take the lead to break with traditional concepts like "men are superior and women inferior." Therefore, he patiently tried to enlighten his father, saying, "As long as we act in accordance with Chairman Mao's instructions, the cadres and masses will give us support." He also said, "If it's 'unlucky' for a man to join his wife's family, what kind of 'luck' did you have when you followed the old practice and took a wife into your family before liberation?" This refreshed his father's memory of the miserable past. He's grandparents had both died of poverty and illness under the merciless oppression of the landlords. His father worked for the landlords from early childhood, and was beaten and scolded all the time. By the time he took a wife, he had neither house nor land to his name and borrowed some money to buy a ruined boat for a house. The family led a desperate existence. After Liberation, under the leadership of Chairman Mao and the Communist party, they became masters of their own and led an ever happier life. After recalling this bit of family history, He Huashen's father repudiated the doctrines of Confucius and Mencius, like "three cardinal guidances and five constant virtues" and "men are superior and women inferior," and raised his consciousness. In the end, he even supported his son's decision to settle in his bride's house.
He and Bingcai then went ahead with their wedding preparations. They both agreed to have their wedding the new way, not accepting betrothal money or presents or giving a feast. Huang Jinxi felt it was a bit niggardly not to spend a little money treating his relatives to a few drinks on this happy occasion of taking a son-in-law. Therefore, he intended to invite a few relatives and friends for a small wedding party. When Bingcai learned what her father felt, she said to him, "You said that when you got married, you didn't give any betrothal money or presents and didn't give a wedding feast. Why didn't you feel niggardly then?"
"That was before Liberation," he answered. "Then I was so poor that there wasn't a single grain of rice in my pot. How could I afford to buy presents and give a wedding feast? It's different today; we're now well-off. A wedding is a great event which justifies spending a little money."
In order to help her father raise his level of understanding, Bingcai patiently explained, "Even though we're better off today doesn't mean we can spend money at will. Indulging in extravagance and waste is an old habit of the exploiting classes, while industry and thrift are the good virtues of us poor and lower-middle peasants. We must do away with the existing habits and customs and old conventions of the exploiting classes, and erect the new style of the proletariat. If there are to be standards for weddings, then make them the standards of the proletariat." Her father agreed with this and raised his consciousness. He even gave his consent to their preparing the wedding in an economical way. On the day of the wedding, they insistently refused gifts, did not give a feast, and did not follow any of the feudal superstitious customs. After the wedding, they immediately plunged into the battle of grasping revolution and promoting production.
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FROM "BEATING THE MANDARIN DUCKS" TO THE SEARCH FOR LOVE**
Comrade Editors:
I am a twenty-five-year-old member of the Communist youth league, and a member of its organizational committee. In the past, because of my own ignorance and immaturity, compounded by the poisonous influence of the "Gang of Four," I developed an erroneous understanding of the place that love should take in the life of a revolutionary. I remember the time during the Cultural Revolution (I had just turned thirteen) when I went with a large group to Shanghai, where to get a taste of "revolutionary revolt" under the leadership of some high school students, we put on red armbands, and with sticks and clubs, with leather belts and portable megaphones, we went along Zhaojiabang Road "destroying the four olds." Using our sticks and clubs and belts, we chased away all the young couples who were courting beneath the light of the moon among the flowers, shouting over and over again: "Get out of here! Stinking hoodlums! Stinking perverts!" Later, as I gradually got older, I still thought that those days when I was young and "destroying the four olds" in Shanghai had been glorious, even to the point that I actually regarded love as a detestable sentimental petty-bourgeois emotion, a degenerate activity that must be strictly banished from any revolutionary enterprise. I even thought that the very word "love" was in itself the vocabulary of hoodlums, that it was a polite euphemism for sex, for lewd, degenerate, corrupt, evil behavior, a word that a revolutionary would never use.
In 1975, after I was transferred from a farming village to work in a seedling nursery, our leader gave our local youth league team the important duty of preventing the boys and girls from making friends, from seeking partners, from talking about love and affection. As soon as I discovered that a young couple, while working, studying, and playing together, had fallen in love, I set about scheming in every way possible to prevent this relationship from developing further. At meetings, they would be called by name and criticized, and after the meetings they would be threatened and "cajoled," and if these methods did not work, they would then be separated like the shepherd boy and the weaving maid of Chinese legend, one to the south fields, the other to the north fields, which were some eight _li_ [four kilometers] apart. Our nursery had separated as many as eight or nine couples in this way. As a cadre of the Communist youth league, with a totally incorrect understanding about love and having received no correct guidance, I not only did not realize that such actions on the part of our leader were wrong and harmful, on the contrary, I thought that he was truly revolutionary and high-minded, that he was a progressive leader who had transcended lower-class tastes and interests. For this reason, I spared no effort to follow his lead closely, to fight energetically to stamp out the sparks of "love." I arranged for "staunch elements" of the youth league to "spy on" the young boys and girls to see whether or not any had formed couples, sent "positive elements" to "investigate" whether or not any of the young people were seeing each other or having dates, to see whether or not any of their letters contained photographs or love notes . . . and then, I went immediately to the leader to report those "secrets" that most people would have difficulty discovering. I also helped the leader open the "anti-heart battle" to tear apart these "couples" and "lovers." At a conference for youth league members, in accordance with the wishes of the leader, in concert with several committee members, I falsely stated that the call of the party for late marriages and planned parenthood inferred that "late marriage means the later the better, and not to marry at all is by far the best, in perfect accord with the interests of the nation." I even suggested that "it is entirely improper for young people in their twenties to think now about individual problems. For the present, we shall not look for mates, shall not talk of love. These are demands of the present situation, demands of the times, demands of the revolution." It was as if questions of love and marriage were incompatible with, were totally irreconcilable with, revolution. Later, I also had each comrade in turn state his resolution to "refrain absolutely from seeking a mate or talking of love for_____years." I also stressed again that this was what distinguished those who were wholeheartedly for the revolution from those who were only halfheartedly for the revolution, that this was the touchstone that distinguished the thorough revolutionary from the "half-baked" revolutionary. Under the explicit, conscious directions of our leader, and with the active encouragement and pressure from our branch committee, the great majority of the youth league comrades expressed their resolution to refrain absolutely from talking about love for five years. There were several fanatics who took the stage to swear that they would never marry, that they would be "revolutionary" monks and nuns. Neither I nor our leader made any attempt to restrain such an unrealistic attitude. On the contrary, we were delighted and were fully content to give these ignorant "foolish young people" our enthusiastic applause and encouragement....
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A PIONEER**
One day Ding Naijun, a forty-year-old arithmetic teacher in Sichuan, had a great idea while he watched a TV advertisement. "Why can't I write an ad that will help me meet more people and have a better chance of finding a spouse?"
In January of 1981 Ding sent a letter, along with his personal advertisement, to _The Market,_ a newspaper with a large circulation. The editors of the paper hesitated, but felt sympathetic to Ding's problem and published the seventy-five word notice advertising his desire for a spouse. Ding was in luck. Within a month he received more than three hundred replies from all over China. He began correspondence with a girl from Jilin Province and they fell in love.
Since 1981 advertising for a spouse has become more and more popular. Only a week before Ding's ad, on January 1, 1981, the Marriage Law of the People's Republic of China adopted by the Fifth National People's Congress at its third session was put into effect. This revised law stipulated that men could marry at age twenty-two and women at age twenty. It was like the opening of a sluice gate. Large numbers of young people just at the legal age came to register their marriages and those who were over thirty suddenly became "elder unmarried youths."
Most of the people in this category experienced the ten-year turmoil [the Cultural Revolution]. They left school too early. After the turmoil ended, they plunged themselves into study, trying to make up for the time and education they had lost. When they realized that they should also spend some time on finding a spouse, they found meeting suitable people was more difficult than it was for the young.
By 1984, the party Central Committee was paying great attention to this issue, which had become a "social problem" by then. It called for the whole society to show concern for the marriage prospects of these people. Therefore, matchmaking services sprang up and parties were held to help people meet each other. Many newspapers and magazines published public notices written by people hoping to marry. Since people had to pay for the ads, these publications generated more income and profit, and increased their circulation as well. This is the reason that many publishing houses are eager to continue supplying this service. To attract readers, every newspaper and magazine had to make special arrangements to handle the personal advertisements of those seeking spouses. After the Wuhan _Youth News_ started a special column, "Phoenix Searching for a Spouse," more and more people came to their offices. Finally, the editorial office had to set up a new reception room. A special column in _Guangdong's Family_ magazine is called "Bridge of Love" and has attracted the interest of Chinese here and overseas who are seeking a spouse. The _China Marriage and Family Research Society_ started a column named "Call of Love." though it is two pages long and contains forty to fifty ads in each issue it can hardly meet the large demand. _Spring Breeze,_ a magazine specially for the handicapped, also opened a column of marriage ads for handicapped people. In May 1984, Liberation Army Daily started the column "Green Bridge of Magpies" and opened the door to personal advertising to those Chinese soldiers who wished to marry. The nationally distributed Chinese Women Magazine with its circulation of one million attracted many people seeking a spouse. In one issue alone there were 101 ads.
It has turned out that public matchmaking services have not been effective or successful. However, ads in magazines and newspapers keep increasing....
In July 1984, _Chinese Women Magazine_ received a letter from Daling township, Ganyu county, Jiangsu province signed by "a hundred rural young men," including Sun Kenan. The letter read, "Guided by our party's policy of letting people become rich, carried out after the Third Plenary Session of the Central Committee of the Party, every family in our township has built a new house, has a deposit in the bank, and moreover has rice and white flour as food. We have high quality clothes and can watch TV or go to the cinema. We all enjoy our life very much. Our only regret is that we lack virtuous wives, to cherish our ideals and follow the same path with us. We welcome all city girls who have courage and insight to come to our rural area."
After this ad was published, many women answered. A girl from Shanghai said, "The Third Plenary Session of the Central Committee of the Party has brought about great changes to your town. I hope to go there to choose a spouse and contribute to the building of our countryside." A young woman from Ganzhou, Jiangxi province said, "I'm a university graduate and a government employee. I'd like to make friends with a young man in your area who can share my goals in life and explore the way to wealth with me." A girl waiting for her job assignment in Sichuan said, "Having failed the college admissions examination, I've been feeling low. Maybe going to the countryside where I can strive with these ambitious young people will be a turning point in my life. Marriage to an industrious and honest rural young man may provide me with a chance to live a meaningful life."
The story of one woman is a successful example of advertising for a spouse. A thirty-one-yearold woman had been one of the urban youngsters who went to the countryside during the Cultural Revolution. She returned to the city and studied at a university. As she was already a bit older than the other students, her social circle was small and it was difficult for her to find a suitable spouse. After placing a personal advertisement she received letters from two hundred men and sixtythree of these met many of her standards. Then she eliminated thirty who were too old or paid too much attention to physical appearance and another seven who were divorced and had children. One by one she met the twenty-three men who were left, but none of them could arouse her passion. Upon reflection she realized that her hope of meeting a man who was perfect in every way was unrealistic. She took another look at the letters and decided to meet a man who was a worker. Unexpectedly he was not ignorant, but an honest and humorous person with experiences similar to hers. When she was with him, she felt happy. Many warm-hearted friends came to attend their wedding....
In 1984 the women's federation attached to the Committee of Youth League in Xiong'erzhai township in the mountainous area of Pinggu county, a suburb of Beijing, placed a single ad for two hundred young men. The letter explained the economic position and spiritual state of the young people. There were 1,900 replies from twentyeight provinces, cities, and autonomous regions. Already thirty-five of these young men are married, twenty more are planning their weddings, and the others are still corresponding with their new friends....
Recently a TV station in Shanxi started showing personal ads which have proved popular. Viewers have an opportunity to appreciate the spouse-seeker's size, looks, and manner and hear the voice. Also, people can start to get responses even more quickly after a TV ad than an ad in publications.
Last year the cost of paper increased, directly influencing the price of newspapers and magazines. The force for publications including the cost for advertisers was raised, but even the additional expense has not discouraged those seeking a spouse through a personal ad. They do not complain because the ads are successful.
In the early 1980s those using ads to find a spouse generally fell into two categories: urban youths who returned to cities from the countryside where they lived during the Cultural Revolution, and urban citizens who had been sent to the countryside and were then allowed to return to cities after various policies of the party had been implemented. Over the past few years many people in these two groups found spouses, and a new group is making use of personal ads, divorcees. It is predicted that this group will have the most interest in seeking a new spouse through personal ads.
People all long for a congenial spouse and a happy marriage. It is no surprise that they now use the technology of the modern communication system to achieve their goal.
_Translated by Lin Guanxing_
* The "grass is always greener on the other side."
## 96 **THE ONE-CHILD FAMILY**
_With its population of over one billion already pressing the limits of its resources, China has had to confront the need to control population growth. Since the late 1970s the government has actively pursued this goal, adopting a variety of strategies to convince couples to have only one child. Young people need permission from their units to get married, then permission to have a child. Targets are set for the total numbers of births in each place, and quotas then assigned to smaller units. In the cities, the one-child family has become commonplace, but most observers report that in the countryside families who bear a girl are usually allowed to try again for a boy, so that two- or even three-child families are still common there._
_The first piece below gives some of the regulations adopted by Sichuan province in 1987 to carry out central government policies on the one-child family. Fines and other economic penalties are the main means listed for fostering compliance with the regulations. The second piece, which appeared in the magazine Young Women in 1986, discusses some of the problems created by pressure to keep families small._
#### **
SICHUAN PROVINCIAL BIRTH-PLANNING RULES**
**Article 1.** To practice birth planning, exercise control over the population, and improve the quality of the population so that population growth would be suited to economic and social development plans, these regulations are enacted in accordance with the People's Republic of China (PRC) Constitution, PRC Marriage Law, and relevant regulations of the state, and in connection with Sichuan's actual realities.
**Article 2.** Both husband and wife have the duty to practice birth planning.
**Article 6.** Late marriage and late births are encouraged.
Late marriage means that both men and women are married three years later than the lawful age [of 20 for women and 22 for men]. Late births mean births by women aged 24 and above.
**Article 7.** Births should occur in a planned manner.
Each couple is encouraged to give birth to one child.
No births must occur without marriage.
**Article 8.** Couples who can meet the following requirements may have a second child:
1. The first child has a nonhereditary disease and cannot become a normal laborer:
2. Marriage between an only son and an only daughter;
3. In the rural areas, the groom moves to the house of the bride, who is an only daughter, after marriage;
4. Only sons and daughters of martyrs in rural areas;
5. Disabled demobilized soldiers in rural areas with Merit Citation Class II, A;
6. Those in rural areas who were disabled while on duty and are equivalent to the disabled demobilized soldiers with Merit Citation Class II, A;
7. The person is the only one of several brothers in rural areas who is capable of having children;
8. In the rural areas, the husband or wife is the only son or daughter for two generations;
9. In the rural areas of the Pengzhou mountain counties and the mountain townships (not including the flatland, hilly land, and valleys) within the basin approved by the cities (prefectures) of the economic construction zone, families with only daughters that have labor shortages;
10. In the rural areas of the remote mountain areas in Pengzhou mountain counties, families with only sons and daughters; and
11. Both husband and wife are returned overseas Chinese who have settled down in Sichuan.
12. Couples who have no children many years after marriage, but the wife has become pregnant after adopting a child, may give birth to a child.
**Article 10.** Those who can meet one of the following requirements may have a second child:
1. A widower or widow remarries and before the remarriage, the widower or widow has fewer than two children, while the spouse has no children; and
2. Husband or wife who remarries after a divorce and before the remarriage, one side has only one child, while the other has no children.
Article 11. For those who can meet the requirements of Articles 8, 9, and 10 and who want to bear children, both husband and wife should submit an application, which will be examined and brought into line with birth planning by the departments at the county level responsible for birth planning work. Second births should occur after an interval of four years.
**Article 23.** Those who refuse education and give birth to children not covered by the plan will be fined from the month the child is born. The wages or annual income of both husband and wife will be decreased by ten to twenty percent for seven years; the total sum deducted should not be less than five hundred yuan. Those who give birth to another child after the birth permiyted according to Articles 8, 9, and 10 of these regulations will be fined at a minimum of eight hundred yuan. A heavy fine will be imposed on those giving births not covered by the plan.
Regarding pregnancy not covered by the plan, both husband and wife will be imposed a fine of twenty to thirty yuan a month during the period of pregnancy. If the pregnancy is terminated, the fine imposed will be returned.
The fine imposed will be used for birth planning work only. The provincial birth planning committee and finance department will work out use and management methods.
**Article 24.** If those giving births not covered by the plan are cadres and staff members, apart from imposing a fine, the units where they work should also apply disciplinary sanctions according to the seriousness of the case.
**Article 25.** Those who have received certificates for only children and are allowed to give birth to a second child should return their certificates and will no longer get rewards and preferential treatment from the month they are allowed to give birth to a second child. Those who give birth to another child without approval, apart from the measures stipulated in Articles 23 and 24, will no longer get rewards and preferential treatment for only children and must return the certificates and health care benefits for only children.
**Article 26.** Regarding doctors, nurses, and working personnel in charge of birth planning work and marriage registration and state functionaries who violate these regulations, practice fraud, and accept bribes, the units where they work or the higher level competent departments should educate them through criticisms and disciplinary sanctions. If their practices constitute an offense, the judicial organs will investigate and affix the responsibility for the offense according to law.
Persons holding direct responsibility for accidents in ligation operations due to negligence will be handled according to relevant regulations.
**Article 27.** Regarding those who insult, threaten, and beat doctors, nurses, and working personnel in charge of birth planning work or use other methods to obstruct birth planning, the public security organs will handle the cases in light of the "PRC Regulations Concerning Public Security Management and Punishment." If the practices constitute an offense, the judicial organs will investigate and affix the responsibility for the offense according to law.
**Article 28.** Drowning, abandoning, selling, and maltreatment of girl babies and their mothers are prohibited. Regarding those involved in any of these practices, the units where they work or the leading organs concerned should educate them through criticisms and disciplinary sanction in light of the seriousness of the case. If their practices constitute an offense, the judicial organs will investigate and affix the responsibility for the offense according to law.
Illegal removal of intrauterine devices is prohibited. In addition to confiscating the income obtained from illegally taking out the intrauterine device, a fine of over five hundred yuan will be imposed. A heavy fine will be imposed on those who commit the offense repeatedly. The judicial organs will, according to law, investigate and affix the responsibility for injuries and deaths caused therefrom.
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A PROBE INTO THE MENTALITY OF SIXTY-FIVE RURAL YOUNG WOMEN GIVING BIRTH TO BABY GIRLS** _
by Zhou Juhua_
Last year when I was at Qidong, I heard that a village woman left her newborn baby girl by the side of the public restroom. This year I personally saw in Qiyang a resident find a girl infant at his doorstep when he opened the door in the morning. Tied to the infant was a slip of red cloth on which was written the infant's birth date and a message begging other people to adopt the child, as the father would not accept the baby girl and the mother had no choice but to abandon her. This has aroused my indignation and provoked my thinking. I felt the necessity to visit the countryside to probe into rural women's mentality regarding the bearing of baby girls in an attempt to answer the following questions:
1. What is the proportion of rural women who are unwilling to give birth to baby girls?
2. What are the causes for the unwillingness?
3. How do rural women fare both physically and mentally after giving birth to baby girls?
4. What do rural women plan to do after they give birth to baby girls?
#### **
1. Those Surveyed**
The people I surveyed comprised rural women whose husbands were also parents, women who were between twenty and thirty, and whose firstborn were baby girls.... Ye X of Liren township of Hengyang county said: "I was sterilized after the birth of two girls. My mother-in-law condemned me by saying: 'I have only one son who married a bitch like you. You have extinguished our family. Get out of here and get yourself killed; otherwise we will never turn around.' My husband abused me, beat me, and threatened to divorce me every day. He angrily reproached me: 'If I can get rid of you, you ugly woman, I'll get another woman who can bear me a son. I'll kill you if you do not clear out.'"
Peng X of Dashan township, Hengnan county, remarked: "Once you give birth to a girl, you get insults and humiliations from all sides. They call you the devil that extinguishes the family. You can hardly put up with this kind of life!"
Hu X of Changning county recounted: "Previously my husband and my parents-in-law all treated me well. After I gave birth to a girl and was lying in, my mother-in-law did not bother to take care of me even when I called her. The girl, having no milk to suck from, was always crying and made me very upset. My husband said I had caused him to lose face and he could not lift his head in front of others. When my parents came to visit me, they, too, were insulted by them. Later even my mother did not want to come. I wish I could die!" She used to be an activist in performing arts. Now she was reticent, dark, and thin.
Wen X of Yanzhou township of Changning county had this to say: "The so-called nursing home for the aged is phony. I have never seen one in my life. I'll bear a son whatever the price." When the surveyor pressed: "What if you have another girl?" she retorted in anger: "How can you say that my secondborn will still be a girl? No matter what, I'll keep on bearing children until I have a son. I'll be happy to have a boy even if I were to lose the whole family's fortune. I am willing to pay the 200 yuan of penalty [for second birth]."
Wang X of Jinqiao district, Qidong county, observed: "When I was pregnant, both my husband and my mother-in-law took good care of me. When they saw I gave birth to a girl, they were all disheartened. I also felt guilty toward my husband and my parents-in-law and was ashamed of myself. When I saw other people explode firecrackers and make feasts to celebrate the birth of a son, I felt even more sad. I want to give birth to another child, hopefully a boy and not a girl. People will look down upon you if you give birth to a girl. What a difficult lot we women have!"
Chen X of Xiaojia village, Qiyang county, remarked: "I gave birth to three daughters, one of them deformed. Sand, no matter how good, cannot be used to build a wall, and daughters, no matter how many, cannot provide for an old mother. Nor is it easy to find a live-in son-in-law. A young man by the name of Li Min moved into the wife's home and people called him bastard. In our village there was an unmarried old man. He became sick and died in bed, and nobody knew his death until a few days later. It was horrible! Better to have a son."
Most of the rural women are afraid to have a girl at the first birth. They are afraid of the cold shoulder turned to them by their husband, parents-in-law, and others. They are also fearful of having no one to carry on the family lineage and no one to provide for them in old age. Thus they are unhappy after the birth of baby girls, their health deteriorating and their minds laden with anxieties. They are anxious to have a second birth and they pose an obstacle to the implementation of family planning. Suggestions:
1. Leadership at all levels should pay attention to educating families with only baby girls. In particular they should educate the husbands and parents-in-law in fostering a correct attitude toward the bearing of
girl infants.
2. Leadership at all levels should show concern for women giving birth to baby girls. Efforts should be made, on the one hand, to help them resolve some practical problems and, on the other hand, to help raise their understanding so that they can be freed from their anxieties
.
3. Wherever conditions permit, women's schools should be set up as soon as possible.
## 97 **
ECONOMIC LIBERALIZATION AND NEW PROBLEMS FOR WOMEN**
_During the period when the state actively controlled most of the economy, women's participation in school and work steadily increased. With the relaxing of political control of the work place that characterized the 1980s, women often indirectly suffered. Once rural families could engage in sideline businesses, they frequently pulled girls out of school to work in rural workshops. Employers asked to reduce their work force to become more efficient often pressured women with children to take extended leaves. Employers able to select their own employees from among pools of middle school or college graduates frequently passed over the women in favor of the men. Freer markets even led to renewed traffic in women as wives._
_With the more open press of the 1980s, scholars and reporters were able to investigate and write about these emerging problems. The articles below appeared in magazines and newspapers between 1985 and 1989._
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REJECTION OF FEMALE COLLEGE GRADUATES MUST BE STOPPED** _
by Yang Xingnan_
In this day and age when the call before the nation is to "respect knowledge and talent," it is a strange phenomenon that many female college graduates find it hard to be assigned jobs. Some units openly reject women graduates; some go to the length of giving up employment quotas allocated by the state rather than accept them. Some send back women already assigned them.
According to this reporter's findings, when contacting colleges for the new crop of graduates, some units openly stated that they wanted only males, no females. In 1983, at the Beijing Institute of Foreign Languages, for instance, the ratio of male and female graduates was 1:1. The majority of the institutions or enterprises that contacted the school for hiring, however, wanted only males. According to statistics, of the job offers received by Fudan University of Shanghai in 1984, seventy work units solicited males and stated explicitly that no females would be accepted. This was one-third of the units that contacted them. Of these, such units as the Filing Section of the Shanghai Scientific Library, the Huashan Medical School of the Ministry of Metallurgy, and the Beijing Printing Institute could have provided suitable jobs for women.
Some units used various subterfuges to reject women. For instance, in 1984, one woman graduate of the Beijing Forestry Institute, a horticulture major, was assigned to work at the Diaoyutai Guest House, which had extensive grounds. After having been interviewed and approved by the personnel division of the Ministry of Foreign Affairs, she received a letter of acceptance from the Guest House. It changed its mind, however, when she reported for work. She was told that she was unsuitable due to the nature of the job. After being ignored on her several tries to talk to the personnel office of the Guest House, she went home in tears. Another ministerial department wanted a graduate for a technical research job. Wuhan University decided to give the department one of their best, a party member with an outstanding scholastic and citizenship record, but the assignee was rejected because she was a woman.
Such instances have aroused concern on the part of relevant institutions. Fudan University, for instance, submitted a special report to departments concerned in 1983 asking for speedy correction. Nevertheless, it met with the same problem in 1984. Not a few work units voluntarily cut quota numbers in order to avoid taking in women. Some twenty units refused to accept women assigned them by Wuhan University. According to the university, the problem is especially serious with ministries and departments at the central level. I was told by people at the Student Allocation and Transfer Division of the Ministry of Education that the problem is getting worse with expansion of work units' autonomous hiring rights. I found, after looking through thirty-odd summary reports on job allocation of college graduates in 1984 provided by the Education Ministry, that as many as seven institutions of higher education have written about this problem to bring it to the attention of authorities concerned.
Rejection of female college graduates is a violation of the central authorities' policy of "respecting knowledge and talent." It seriously affects the enthusiasm of women students and has already incurred the dissatisfaction of college teachers, officials, and students alike. A speedy stop must be put to it.
#### **
EMPLOYMENT OF CHILD LABOR BY FAMILY-RUN ENTERPRISES IS A PROBLEM THAT DEMANDS IMMEDIATE SOLUTION** _
by the All China Women's Federation_
Last year, the Women's Federation of Zhejiang and other departments concerned investigated the 284 household-run enterprises in four villages and two local communities in Jinxiang township, Cangnan county, Wenzhou municipality. It was found that these enterprises employed 483 child laborers between the ages of ten and sixteen. Among them 78 were boys, constituting 16.15 percent of the total, and 405 (83.85 percent) were girls.
On the average, these child laborers worked eight to twelve hours a day as piece workers. Their average daily wage was 1.5 to 2.5 yuan. The lowest pay was 0.8 yuan; the highest, 7 yuan.
These child laborers had a low educational level. Among them were 142 illiterates, constituting 29.29 percent of the total. Some 101 had attended first or second grade in elementary school, constituting 20.91 percent; 149 had attended second, third, or fourth grade, constituting 30.85 percent; 73 had finished elementary school, constituting 15.11 percent; 18 were in junior high school, constituting 3.73 percent.
What caused more concern was that some of the work they were doing was harmful and would affect their healthy growth. These enterprises made polyester products, printed labels, plastic ware, gambling chips, and aluminum utensils. In the processes, poisonous chemicals such as methylbenzene, cyclohexanone, and rubber cement were used as solvents. Sixty-one of the child laborers (10.3 percent) were engaged in high-frequency work, including 56 girls. According to parents and local cadres, it was common among these children to feel dizzy and nauseous and suffer from chest pain, headaches, and sore throats. One girl had numbness and rheumatic pain in the joints after two years of high-frequency work. Other girls had insomnia, bleeding gums, and abnormal menstruation. After working the gilding press for two years, several girls found their eyesight deteriorating.
Jinxiang township had so many child laborers for a number of reasons.
1. The township's economy is backward, so poor parents made their children Work. Cangnan is one of the five poverty-stricken counties of Zhejiang province. In Jinxiang, per capita farmland is only 0.45 _mu_ [one _mu_ is one-fifteenth of a hectare]. Income from farming is low, particularly for households with many children. On the other hand, a child laborer can make as much as 100 yuan a month. In Qianbao village, peasant Cai Naixiang and his family of seven tilled only three _mu_ of land. Household annual income is only 200 yuan. In 1985, three of his daughters worked in township workshops and made more than 1300 yuan a year, constituting 80 percent of the family's income. Attracted by this kind of income, the peasants are willing to send their children to work as child laborers although the work is harmful to their healthy growth.
2. The township's educational facilities are backward; both educational funds and the number of teachers are limited. The attendance rate is low, the school dropout rate is high, and many school-age children do not go to school....
3. The township's household-run enterprises are rapidly developing. Among the 3700 households, 80 percent have small machines of some kind, and their enterprises are either run by a single household or jointly operated by several households. The enterprises have drawn a labor force of 4000 local inhabitants and many outsiders from other townships. These immigrants work either as full-time or part-time workers and bring child laborers with them.
4. Employers like to employ child laborers because they are given lower pay than adults and they are more obedient. They say child labor is a bargain.
County departments concerned are tackling the problem of child labor in household-run enterprises. Jinxiang township has formulated regulations forbidding employment of child labor by both household-run and township-run enterprises.
**Women's Work Editor's Note:** The employment of child labor by household-run enterprises is a common social problem. It should draw the attention of the whole society.
Children are the future of our country and the hope of our nation. They are growing up physically and developing mentally. Our society as a whole has the obligation to be concerned with their healthy growth, and to train them to become a new generation of people with ideals, moral integrity, culture, and discipline. To let children do heavy physical labor at a tender age will not only affect their physical growth and mental development, but also deprive them of the opportunity to study so that they are unable to master advanced technology when they grow up. This is detrimental to the children themselves and to the country's future. It is particularly impermissible to let children do work that produces pollution and is harmful to their healthy growth, either physically or mentally. This is unconstitutional.
Women's federations at all levels are shouldering the heavy task of nurturing, training, and educating children to ensure their healthy growth and development. They should make serious efforts to investigate and report the problem of child labor to make sure this problem is solved at an early date.
#### **
WHEREIN LIES THE WAY OUT FOR ME?** _
by Li Jing_
Comrade Editor:
I am a thirty-seven-year-old career woman holding a university diploma. When the upsurge of reform came, I was ready to go all out and do something big. Unexpectedly, however, I and many other women workers were sent home by our factories as if we were bits and pieces of leftover material. This has puzzled me. The reform has provided an opportunity for many people to realize their own values. Why should it single me out and cast me off? I have been thinking hard, and thinking over and over again: Wherein lies the way out for me?
What I have been through is a downward slide, so to speak, from the top of the mountain to the bottom of the valley, from exertion to dejection and lethargy. Having suffered so much in the old society, my parents loved the new society wholeheartedly.... My mother was illiterate and did not teach us any high principles. But I learned from her that honesty is the guiding principle in life and that one must work hard and rely on one's own efforts to better one's own conditions. Although my family was poor, I worked hard and achieved remarkable results in my studies. My teachers often praised me before the whole class or even the whole school, and I was awarded the title of "triple-A student" (good in health, academic record, and work) for several years running. But just as I was ready to go out to society and start a life of my own, I was struck a heavy blow. When I was not yet fifteen years old, my mother died of cancer, and a year or so later my father suffered a cerebral hemorrhage and left us. On his deathbed, my father exhorted me to "work hard for the Communist party." For many years I felt encouraged by his remark (but no longer so today). Having experienced the sorrow of bereavement, I suddenly matured. Since my elder brother and sister were serving in the army away from home, I shouldered the heavy responsibility of bringing up my younger brothers. After school, I had to wash, cook, mend and sew clothes, check my brothers' homework, and join them at play. Other children would call out "Mom!" the moment they came home from school, but my brothers would call out "Sis!" instead. Whenever one of them fell ill, I had to get up at five o'clock in the morning and queue up at the reception desk of a hospital waiting to register him. When I graduated from high school, the school authorities, out of consideration of my special difficulties, helped assign me to work in a small collectively owned workshop.... Three years after I entered the workshop, I became secretary of the youth league branch in the workshop and was concurrently vice chairman of the trade union, deputy company commander of the militia, and member of the youth league committee of the corporation. In 1975 I was unanimously recommended by the whole workshop to study in a prestigious university. I was truly at the height of my life then....
I married a man who knew and understood me well. One year after we were married, our child was born. Since my parents had died long ago and my mother-in-law was also dead, my husband and I had to take care of the baby all by ourselves. We hired a young nurse but failed to keep her long because she thought we paid her too little and, "in accordance with the economic rules," left for good on the excuse of going home for a short visit (in fact, in the eight months she stayed with us, her pay had twice been raised, from thirty to thirty-five and then to forty yuan). Seeing that we lived in a single-story house and had to make and keep a coal fire, the second young nurse we hired left under the pretext that it was too hard a job to look after the baby. The third young nurse we hired worked for us for only a day and a half, and while we were away from home, made herself scarce, leaving the baby on the bed. I put in a request for a nurse with the March Eighth Service Company but was told to wait for six months. I could not but force myself to ask for help from the neighborhood committee and even to visit old women in search of a nurse. In the home of one old woman, I broke into tears. The old woman was very sympathetic but there was nothing she could do as she already had a baby in her care. My husband and I had no choice but to take leave by turns in order to be home and look after the baby. Later, after being rejected several times, our application for the admission of our baby to the nursery run by the factory where my husband worked was eventually discussed and approved of at a meeting of the factory authorities, and our baby was admitted to that nursery. Unfortunately, the baby was small and weak and often got sick, and we still had to ask leave from time to time. It so happened at the time that there were a few sections in the factory that were short of hands. In order to look after the baby, I had to give up my profession and ask to be transferred to an executive office where working hours were more flexible. And in that very year the upsurge of reform swept across our small factory. In order to improve management and efficiency, the factory authorities decided to ask the surplus personnel to wait for work at home on eighty percent of their pay. I was thrown into the group of people to be sent home. I could hardly believe my own ears when I heard the news. I am a university graduate and second to none in terms of my background in education and competence. Obviously, it was my baby that pinned me down. For several days I couldn't eat or sleep. I kept thinking of my former classmates in the university. Some of them had become factory directors, leaders of groups set up to solve specific problems related to production, or section chiefs; others had become university lecturers or engineers. In contrast, I was kicked out of the factory and had become a housewife in reality as well as in name. How could I face my former teachers and fellow students? How could I face those master workers who had trained and cared for me during my apprenticeship?
So I went to see the factory director and requested work. The director rejected my request politely. I then went to see the president of the trade union but also without results. I tried to discuss my problem with my women work mates only to be told: "Stay at home to look after your baby and keep eighty percent of your pay? Why, you just couldn't hope for anything better!"
In actual fact, life is far from easy and comfortable for a housewife. My monthly income is forty-five yuan less than it used to be, but now prices are high and so are the expenses for the baby. Financially, we have to count on my father-in-law for help. But how can I bring myself to ask the old man for money? Although my husband is rather considerate, there is nothing he can do to thaw out my depression. As I now live under both financial and mental pressure, I fear very much that I will contract the so-called housewife syndrome (a twisted mentality peculiar to housewives).
Ninety percent of those waiting for work at home are mothers like myself. When we come together, we just have to pour out our grievances endlessly. Some say: "The reform has brought benefits after benefits to others but only misery to us." Some say: "Who would have imagined that the reform is only reforming women!" Still others say: "It is not workers who want to sit idle, doing nothing; it's you, the director, who cannot find enough work for us. Why in the world send us home?" But no one can answer these questions.
How do people look at us women workers who have been kicked back home by factories?
Our close friends from the old days have gradually drifted away from us. Gloating over our bad luck, our neighbors will ask casually: "Not going to work? Why, have you lost your job?" Our loving and caring parents can only provide us with a little financial assistance over a certain period of time. What about our husbands? A newly married woman did not have the courage to tell her husband the truth and every morning when she was due to go to work she would take her satchel and go to her own parents' place. When eventually her husband would learn of her secret, they would have a big row. In the case of another women worker who had already been estranged from her husband, this has led to the further escalation of the already raging "civil war," so to speak. Even when an affectionate young couple are bickering with each other, the husband cannot help saying something unpleasant, such as "You must be hopelessly stupid! Otherwise, why have they sent you back home?"
After being sent home, we have lost the understanding and respect of the public at large.
When I am calm and cool, I think: I have lost my work for the sake of my baby. But the baby is not my private property, why should I be subject to such callous treatment? Is it not often argued that competition should be among those with an equal starting point? As women, we shoulder the heavy responsibilities of bringing up children and taking charge of household affairs, and on top of that we must compete with men in our work. How can it be said that this is competition between equals? Women shoulder the important responsibility of continuing the human race. But why is their contribution not recognized and why, on the contrary, should it be taken as an excuse to eliminate women in the competition?
Comrade Editor, it is in exceedingly low spirits that I am writing this letter to you for my own sake and also for the sake of all women workers who are home and no longer working because of the double pressure under which they live. We yearn to have the understanding of society at large, to share our thoughts and feelings with people, and even more to find a way out of our present plight.
#### **
WOMEN BEING KIDNAPPED, SOLD**
Quyang county in Hebei province is the setting for a brisk but highly illegal business—selling women, China's _Women's News_ reported.
Five thousand women from more than ten provinces have been induced to come to the county, where they have been sold to farmers for anywhere from 50 yuan to 5000 yuan. The practice is so lucrative there are more than 1000 people engaged in the business. One built himself a five-room house from his earnings, the paper noted. Sales of women are also prevalent in other counties around Baoding, the paper said, and cited the case of Wang Guaifa, 47, who lost both his daughter, Wang Zhengcui, 17, and niece, Chen Xinxiu, 14, to kidnappers in Baoding last January 5. Wang, the two girls and Chen Xinxiu's brother, Chen Yimin, 24, had arrived at Baoding railway station on their way to Hejian county to visit Wang's son-in-law, Liu Zhandui. They stopped to ask directions and were taken by a gang of seven in two rickshaws to a nearby village where they were held for two nights and a day. The gang robbed Wang and his nephew of everything they had and left them out on a road.
After forty days, Wang begged his way to Hejian and his son-in-law informed the public security bureau in Baoding. Detectives soon found that Chen Xinxiu had been sold for 2700 yuan and Wang Zhengcui for 3000 yuan. Both were in Lianzhuang township in Xingtang county. On March 9, police from provincial, city and county public security bureaux found and freed Chen Xinxiu. But they failed to get Wang Zhengcui, who was whisked away by Zhang Guofa, the man who bought her, and by Li Changhai, who had arranged the deal, the paper said. When police eventually tracked her down they found she had been sold three times in rapid succession. She refused to leave and the villagers stopped police from taking her away.
The police investigation took two months and cost 10,000 yuan. Only one of the girls had been rescued and two traffickers in women nabbed.
## 98 **
PEASANTS IN THE CITIES**
_China's rural population, still about seventy-five percent of the population, benefited from the economic reforms of the 1980s that allowed them to sell for a profit whatever they produced beyond what they had contracted to produce for the state. Standards of living in the countryside rose rapidly; as farmers were able to build new houses and buy more consumer goods including, in increasing numbers, televisions. Still, when restrictions on travel and residency were eased, many rural residents, especially young men, flocked to the cities to see if they could find better paying work there._
_Below is the record of an interview with one such young man conducted by a Chinese reporter who wandered around the streets of Beijing in 1984 interviewing ordinary people. It is followed by a newspaper article published in Farmers Daily in March 1989 on the logistical problems caused by the influx of rural residents into the major cities._
#### **
AN URBANIZED PEASANT**
You guessed it, I'm not from Beijing. And don't believe that "Shanghai Tailor" sign I've got hanging up there. I'm not from Shanghai either. My hometown's Qingpu. That's a county right outside the Shanghai municipal area. It's late now and business is pretty slow, otherwise I wouldn't be talking to you this way. Usually I'm much too busy. If I didn't have this sign up, no one would give me any business. But I'm not trying to fool anybody; Qingpu's actually run by the Shanghai government.
I come from a family of farmers. We don't get grain coupons like you people in the city, so we have to grow our own food. I finished junior middle school, but it was only a rural school for us country folk. When I graduated, there weren't any college entrance examinations to take. But even if they'd had them then, hayseeds from the country like me wouldn't have a chance of passing. Both my parents are still alive. They're illiterate farmers. Qingpu's a pretty poor part of the world, you know. A few years ago there wasn't a single light bulb in the place. But because it's so close to Shanghai, nobody believes me when I tell them that. Things have gotten a lot better the last few years. A lot of people have TV sets now. My family? Sure, we have one, we've got a real fancy color TV. Both my younger sister and I learned a trade; that's a surefire way to make money. Now we've got plenty of money, but no education. I'm living here in Beijing now, but I hardly ever write letters back home. Writing letters is too much trouble.
The year I graduated was the same year that old baldy Lin Biao got himself cracked up in a runaway airplane. After graduation all of my classmates went back home to work on their family farms. Middle school kids in the countryside had no other choice. At that time they were using the workpoint system like up at Dazhai. Young people like us worked our tails off from morning till night for a paltry seven workpoints; ten was the most anybody got in one day. They didn't figure out how much each point was worth till the end of the year, so none of us knew how much money we were making. The most they ever paid was twenty-nine per day, but that was for ten points. If you want, you can figure out how much I earned. What a grind! The worst it ever got was the year they raised all that commotion about eradicating the "four pests" [rats, sparrows, flies, and mosquitoes]. That year we had to pay the production team one-point something workpoints each day out of our own pockets. It was bad enough slaving out in the fields for close to nothing. But then we had to sign IOUs for grain (actually borrowing grain from the production team or brigade before the harvest—authors' note). There was a saying going around at that time, "If the Tangshan earthquake had hit Qingpu, it would have been a hell of a good deal." There's nothing funny about that. When there's an earthquake, at least you're sure of getting some emergency grain rations.
With an empty wallet, what's the use of going into the city? You can't buy anything there. All you can do is walk around window-shopping. In those days everybody was jealous as hell of people from Shanghai. We all felt like failures, and people started saying fate had it in for us. But things are better now. What's so great about Shanghai anyway? The people there hardly have any money. They don't have color TV or decent places to live in either. But they keep on making fun of us, like we're their stupid country cousins or something. But you know what? My wallet's bulging and their salaries are so low it'd make you cry. In fact, in one day I can make as much as they get paid for two weeks' work.
I started studying tailoring the year they began the production responsibility system. At first they called it the "field responsibility system," but the two are actually the same thing. Our family, a total of seven people, had a little over two _mu_ of land to work. It wasn't enough. There were too many people and not enough land. Since they divided all the land in the brigade up evenly among the households without counting how many mouths you had to feed, the more able-bodied workers in your family the less you got to eat. I wasn't stupid. I knew the new policy was to let everyone make money and get rich, but with so little land you could only earn shit. So I went out and learned how to be a tailor. My older brother stayed home and worked the fields.
The production contract system meant dividing the land up among individual families. At the beginning these plots were called "responsibility fields", but actually assigning production quotas and dividing up the land is the same thing. The idea is, the fewer people on the land the more money you can make.
Some people were pretty poor at farming and couldn't make any money at it, so they rented their fields out to others on the sly, freeing themselves to do other work. This was legalized two years ago, and now people can take on more land if they've got the manpower to work it. In addition to turning in your state grain rice quota you've got to pay a sort of land use tax to the brigade based on the amount of land you farm. Don't forget, they still own the land. Anyway, when everyone else was sweating away out there like a bunch of idiots, I went out and started learning a real skill.
Learning to be a tailor is no simple matter. The first thing you've got to do is pay someone to teach you the ropes, since nobody's going to give away their family trade secrets for nothing. I made up my mind not to improve the lot of any tailors in Qingpu in this way. I wanted to learn in Shanghai. The last few years, everyone and their uncle in Shanghai's been opening up tailoring schools. The neighborhood committees have them, the districts have them, the educated youth organizations have them and there are even privately run ones now. But I decided to keep away from those private ones. The good thing about the places run by the city government is that if you're one of those unemployed educated youths you can study for free, or at least pay half tuition. Naturally I wanted to study for free.
There's no way I was going to pass for an unemployed educated youth, but I found a way around that. I asked my uncle to write a letter of introduction for me saying that I was his son. Those schools don't really care who you are, all they want from you is a letter of introduction. You don't have to give them any photographs either. So I borrowed my cousin's name for a while. Those schools give out diplomas if you graduate, but who needs it? When I graduated I didn't even pick mine up. It had my cousin's name on it anyway, and with my picture on it, it would have looked pretty silly hanging up here, don't you think? Anyway, the only thing that matters is whether or not you're a decent tailor, and that has nothing to do with a diploma. Later on I took intermediate and advanced classes, each time switching to a different school. Getting a letter of introduction from my uncle's factory was never a problem. I was there to learn something, not to take anybody for a ride. In those days I didn't have a spare penny to my name.
But when I finished the advanced class, I felt, I needed a diploma. Why? Because I wanted to find work in north China, and that diploma was the only proof I had that I was a real Shanghai tailor. So I asked the teacher about it. He was a real bright guy. He told me, "First time I set eyes on you I knew you weren't from Shanghai. It's written all over your face." He told me to fill in the blanks on the diploma myself, which put all the responsibility on my shoulders. Worse come to worst, he could say he didn't know what was going on. When I was about to leave, I offered him a little gift in an envelope, but he wouldn't take it. He said, "If I accept this it means I've sold you a fake diploma." You don't find too many honest guys like that in Shanghai. Most people there wouldn't give a guy from the countryside the time of day. Look here, that's the diploma I'm talking about.
I studied in Shanghai for a year altogether. Then I went back to Qingpu and spent a few months teaching my younger sister what I had learned. We practiced on newspaper instead of cloth. Who would be crazy enough to use cloth to practice making clothing? I got all the old newspaper I needed for nothing from the Party office of the brigade. You know how it is.
They did me a favor, so I owed them one. Every time I go home now there's always someone in that office waiting for me to make something for them. Is my time worth less than a pile of old newspapers? I tell you, owing people favors is a hell of a lot worse than being in debt.
The next step was for me to apply for a small-business license from the local bureau of commerce. Normally this takes a lot of sweet talk and a bit of cash under the table. Sure, you have to give them something, otherwise you'd never get your license, or they give you one marked "Valid Only in Qingpu." If I worked in Qingpu I'd starve to death! I wanted to work up north. The moment you cross the Yangzi River, the price people are willing to pay Shanghai tailors starts going up. The first time I offered that guy in the commerce bureau a gift was in 1980, but he made up a million excuses and finally refused to give me the license. That didn't stop me, though, and I made up my mind to give it a go without a license. So I spent the next seven months working in Tianjin and Harbin and ended up earning more than five thousand yuan. Without a license you can't work in the street or even rent a room in a hotel. That makes things pretty tough. Fortunately I had a distant relative in Tianjin who let me stay in his home. I paid him one hundred fifty yuan for three months—a lot more than it would have cost to stay in a little hotel. In Harbin I stayed with an old friend from Qingpu who had worked for a while at the Daqing oil field and then got transferred to Harbin. People from your hometown often turn out to be a hell of a lot nicer than your own relatives. Business was good in those days, much better than it is now. There are so many Shanghai tailors running around now, it's like everyone in Shanghai's in the business. A few years ago I got one yuan twenty for cutting out a pair of pants. Now I'm lucky if I can get sixty _fen._ But earning that five thousand yuan was a breeze. I didn't even have a license then, and I didn't have to pay any taxes either.
When I brought all that money back with me to Qingpu at New Year's, the people in my family nearly jumped out of their skins. They thought I'd committed armed robbery or something. My father didn't say much, but my mother kept asking me, "Xinna, you didn't steal that money, did you?" My sister didn't do as well as I did, though. Where she was down in Changzhou she could just make enough to feed herself. You see what I mean when I say you've got to go north to make money.
A few days after the New Year, the head of the production brigade came to see me and said, "You've been running around free as a bird for a whole year now." Then he told me I had to pay the brigade for my grain rations and a management fee of one yuan a day. He ended up squeezing three hundred and sixty yuan out of me. I didn't have a choice, you know. If I thought he might start making trouble for my family, I'd never be able to go away and work in peace. That sort of thing's no problem any more. Now I've got a contract with the production brigade. All I have to do is pay them a management fee. Then the brigade head asked me how I got my grain coupons. I told him I bought them, how else? Twenty _fen_ a kilo. But that's better now too. You can trade rice for grain coupons at the state grain stores. Grain coupons are almost totally useless anyway. They're bound to do away with them sooner or later just like they did away with cotton rationing. Finally he asked me to take his son along with me and teach him the ropes. Not me, boy! What was in it for me? I had to ease my way out of that one pretty carefully. Had I done it any other way, I would have gotten into a heap of trouble.
After talking it over with my parents, I decided it would be better to spend a thousand yuan for a license rather than keep on doing business on the sly. But then it turned out I got my license without having to spend a penny. At that time the central government came out with a new policy. Fortunately for me, it was not out of the hands of the guy I'd been dealing with in the local bureau of commerce, and everything went fine. I have to pay taxes now, a five percent commercial tax and a two percent management fee. They call that progressive taxation; the more you earn the higher the rate you pay. I was in the seven-percent bracket. The very lowest anybody has to pay is five percent. The people in the bureau are a bunch of clever monkeys. They can pretty well figure out how much business you're doing. Of course, the amount I report each month is totally up to me. But I never evaded any taxes. If they fine you that's one thing. But if they take away your license that's the end. That new policy is a good one. The more money I make, the bigger my contribution to society. That actually makes a lot of sense. In addition to the business tax and management fee for the local bureau of commerce, and the management fee and reserve fund contribution for the production brigade, I've got to pay a daily management fee to the people who run the peddlers' market where I set up my stand. It's higher in the city than in the countryside, naturally, but you can't make any money in the countryside.
The last two years, I've worked in nearly twenty different places, both big cities and little towns. Even though I can make any style of clothing you can think of, I've been earning less recently. The reason is that there are too many people in business now. If things stay the way they are, though, I can pull in about three hundred a month, no problem. That's more than a college professor earns. The most I ever earned in a month was twelve hundred yuan.
There have been some hard times too. Last November when I was in Chongqing there was hardly any work to do. Remember that antipollution campaign? (The campaign to combat spiritual pollution, though it was not a political campaign—authors' note). At that time the people in charge of the market wouldn't let us make any so-called weird fashions. Actually there was nothing weird about the clothes we were making. All the patterns came out of books and magazines they sell in bookstores. Maybe they were a little different from that tired-out stuff they've been selling in the state-run stores for years. But if they weren't a little different, people wouldn't come to me. Let them try to find stuff like that in the state-run stores. When I heard that they weren't making such a big fuss about weird fashions in Beijing, I decided to come here. What I heard turned out to be true. Whenever one of those campaigns hits a small town, the officials blow things way out of proportion. Those people never watch television, so they don't know what's really going on. I was staying in a hotel where they had a TV and watched it every night. Sure enough, when they showed Hu Yaobang meeting a bunch of foreigners he was wearing a good old Western suit. I've been in Beijing for about six months now. When I go back to Qingpu this time, I'm going to have to write a self-criticism, since I didn't pay my taxes last year. They're going to charge me a late fee too. I don't care, business is good in Beijing. I've got it all figured out already.
I never send any of my money home through the post office, since if you do it that way everyone in the production brigade and the post office knows exactly how much you've got. They say things like, "He's sending so many yuan home this time." Also, there's a charge for sending cash through the post office, ten yuan per thousand. What a waste! I deposit what I earn in the bank every three or four days. I've got a regular savings account. I've also got it worked out so that I'm the only one who can take money out of the account, even if I lose my passbook. Another good thing is that you can earn interest on your money this way. The people in the bank keep calling me a millionaire. What's the matter with being rich? I made my money with my own hands thanks to the government's policy. The thing is, though, if you've got the skills but there's no policy to protect you, they'll attack you sooner or later for being one of those "four baddies" [landlords, rich peasants, counterrevolutionaries, and bad elements], or a member of the "new bourgeoisie." On the other hand, with a good policy and no skills, there's no way you're going to make it through either. What good is a person with no skills? Even if the government forced you to get rich, you'd never make it.
Sure there are a lot of people out there getting rich in slippery ways. I've never been in an airplane, or on a sleeper train for that matter. I always buy the cheapest hard-seat tickets. It's not worth throwing away a few days income on a single night's sleep. Even if I were rolling in money I'd never travel that way. There are too many better ways to spend your money. I'm still single and I don't have girlfriends. That doesn't bother me, though. If you've got money, a skill, and enough energy to keep yourself going, it's no trouble finding a decent wife.
I'm all in favor of the government's new policies. If Deng Xiaoping wanted a suit made, I'd do it for him for free. But he'd have to promise me that they won't fool around with those policies. I'm just kidding, of course. What does a big shot like Deng Xiaoping need me for? Hey, don't record that, alright? Rewind the tape. I know how to work a tape recorder like that, I've got one at home. It's better and a hell of a lot bigger than the one you're using. It's made in Japan.
I bought government bonds for a thousand yuan. You see, the government is starting to borrow cash from the people now. I'm willing to do that since there's a pretty good chance they're going to pay me back. In Shanghai, whole work units buy bonds and split the cost evenly among the workers. That's a pretty piss-poor way to do it.
This is the first time I ever heard the term "urbanized peasant." There are a lot of urbanized peasants out there who are a lot richer than I am. They make good money cultivating mushrooms and raising chickens. They can earn a lot more than I do without ever having to leave home. Some of those families can earn ten thousand yuan a year. But there are also quite a number of people worse off than I am. Since they're totally unskilled, there's nothing anybody can do to help them. There are also people who get rich one day nd lose it all the next. They buy clothing in Guangzhou or Shanghai, or even in Shenzhen, and sell it up in the northeast. Some do real well at it. But others lose their shirts at it. It's a pretty chancy business. Better to make your money with your own hands, I say. When someone else gets rich, I don't never turn green with envy about it. People have told me that I should get into selling clothes as well. No way! I don't think anyone who goes into business can beat the state at it. Can you beat their set-up? Can you beat their prices? I really believe what Chairman Mao said: "Ample food and clothing through self-reliance." You call peddling clothing in the northeast self-reliance? Don't laugh. This is what I believe and nobody's going to make me change my mind. Commodity circulation? That's just buying and selling. You can't really call that work. You know, if you write about me in the newspapers everyone in Qingpu's going to make fun of me. They'll say, "He's no ten-thousand-a-year household, what's his name doing in the paper?" Actually, my family earned more than ten thousand yuan last year. But since on the books I don't live with them any more, they didn't count my income in. Families that earn ten thousand yuan get a prize of a coupon to buy a Phoenix bike. Doesn't bother me. You can buy one of those on the black market pretty easily now for about forty yuan over the regular price. Who's going to ride it? Everyone I know who rides a bike has a Phoenix already.
No, I don't have any plans worked out for the future. I can hardly write in the first place, so what good is a plan going to do me? I wasted nine years in school already. But I can get by using the northern dialect now. I've learned to use _nin,_ the polite form of "you," as everybody else does in Beijing.
I plan to keep moving around like this for another couple of years and then open a little shop of my own somewhere and settle down. Maybe I'll earn a bit less that way, but who cares? I'll have a wife and child to take care of by then. Everything will be all right so long as I can keep my capital. It's going to take me another couple of years to put enough in the bank. I need twenty thousand at least. With any less than that, the interest isn't enough to support a family.
_Translated by Don. J. Cohen_
#### **
THE RURAL EMPLOYMENT CRISIS AND THE OUTFLOW OF LABOR** _
by Wang Tai, Liu Jiajun, and Wang Yuqi_
Guangzhou was reporting an emergency: Some one million workers had poured in like a flood. The peak number of workers gathering at the Guangzhou railway station square reached 30,000. Wuhan was reporting an emergency: One hundred thousand Sichuan workers had surged forward—waiting for railroad tickets, or squeezing their way into trains to head southward! Zhengzhou was reporting an emergency: There was a sharp increase in travelers at the Zhengzhou railway station. The train heading northward was seriously overloaded—so much so that it could not leave on time! Beijing was reporting an emergency: The Beijing railway station was filled with pressing crowds. The daily number of incoming and outgoing travelers reached 230,000. That of transit passengers reached a record 42,000, seventy percent of them being outgoing workers!...
After arriving at their destinations, some workers became wanderers living in the streets because they could not immediately find work. Some were reduced to begging, or forced to pick up garbage and discards to eke out a living. Their plight is very sad. Urban transport, catering and sanitation facilities, and social order were affected by the wave of workers. Many people were dumb-founded. As if they faced a great disaster, they cried for interception, control, and repatriation. It was only a short time ago when peasants' entry into cities was hailed as a big achievement in the rural reform. Peasants entering cities were treated as a force not to be overlooked in urban construction. All of a sudden, these incoming peasants had became a source of trouble to cities.
On the 28th of the first month of the lunar year (5 March), the General Office of the State Council issued an urgent notice calling on various areas and departments to strictly control workers or large concentrated groups. With administrative intervention from various areas and departments, and with the passage of time the wave of outgoing workers is subsiding. But the problem thus exposed and the effects of it will cause people to think seriously....
In the second half of last year, in an effort to rectify the economic order, improve the economic environment, and reduce the scale of capital construction, large numbers of projects were suspended or delayed. Some peasant construction teams had to return to the countryside. According to estimates by relevant departments, the peasants forced to return to the countryside due to curtailed capital construction numbered five million people. Unlike general peasants, they had worked in cities for several years. They had become familiar with their work and been under the influence of urban civilization. They had acquired a new concept of employment. If we should send them back to the fields and to areas where they originally lived, they would really be put in an embarrassing position. Moreover, they were originally surplus workers, having nothing to do at home. Therefore, although cities had no longer needed them, they still pinned their hopes on cities. After the Spring Festival they habitually headed for cities as a matter of course. In addition, after this portion of workers and other peasants working in cities returned to the countryside, they consciously or unconsciously gave their folks the impression that "the city is a good place to make money." "The outside world is quite exciting." Surplus rural workers who had not entered the city before also surfaced under their inspiration. These two groups of people coming in and out of cities merged to form a still larger contingent and an overwhelming deluge. They first headed toward Guangdong, which had opened up relatively early and enjoyed a relatively brisk commodity economy. This was also understandable.
Our country is now in a period of the new system replacing the old one. Every new policy or measure introduced gives rise to a series of problems. This is nothing strange. The problem is that in regard to policy formulation and work arrangements, how much consideration has been given to what the peasants and those workers who had first entered the city to engage in construction projects will do after being sent back, and what would be done for them? Governments at various levels and relevant departments should take this into account....
In the last few days of the first lunar month, we made a round of the Beijing railway station, and the labor market. We visited some workers, with large or small packages horizontally or vertically placed on their backs. From what they said, we gathered that they had not traveled blindly. Instead, they had well-defined goals and concrete recruiting units in mind. After getting off the train, some immediately changed to the city public bus, heading for the unit that had signed work contracts with them. Some were waiting temporarily at the railway station as transit passengers.
In a big hall of the Yongdingmen railway station, a group of thirty-odd young workers were sitting on their luggage talking and laughing. On being asked, they said that they had hailed from Fuhu town, Nanbu county, Sichuan province. They were traveling in transit to work for a brick making factory in Jiamusi city of Heilongjiang. At the Beijing railway station, we saw a worker team of more than eighty people. Striking up a conversation with them, we learned that they had come from Huaiyin county, Jiangsu province. Soon a large bus sent up by a certain unit picked them up. It was the unit that had signed work contracts with them.
There were also some peasants staying behind at the railway station and at the labor market. At the well known Jianguomen Labor Market in Beijing, we noted several hundred peasants leaning against a cement wall, waiting to be hired. But relatively few employers came forward. It was basically a seller's market. After a few days with no work, some people were downcast and financially hard up. These people might be considered "blindly motivated." Their plight called for attention. But given the freedom of buying and selling labor, a certain degree of risk taking is needed. We, therefore, cannot call all the peasants that enter the city "blindly motivated" job seekers.
We must allow a rational and purposeful circulation of labor and cut irrational and blind circulation to a minimum. We must also solve the problem of food, shelter, and transportation confronting mobile people, and protect the legitimate interests between labor and capital. This is a matter that the government and the relevant departments should put on the work agenda and start tackling. Moreover, the outgoing workers are basically circulating on their own. Concerning labor markets, most areas have either taken a laissezfaire attitude, or imposed a ban. When relevant officials are sometimes asked about this matter, they prove to be total strangers. At the Yongdingmen railway station, a young fellow from Inner Mongolia had still not found a job. We asked why he did not go home. He said: "What should I do after going home? It is little or nothing that I have been through. I would not starve after all."
Another man beside him said: "The pay for one month's work in the city is what I got working six months in my hometown. Everyone wants to leave." It seems that their "blindness" is only relative. On the contrary, there seems to be absolute "soberness." Since cities provide better employment opportunities than the countryside and a colorful life and since restrictions on the scope of activity for peasants have been lifted, with them given the freedom to find full scope for their abilities, then peasant entry into cities will be a trend that can hardly be resisted. This requires that in making decisions on economic and social development, we must not only consider an urban population of 200 million but also take note of a rural population of 800 million....
Relevant data in investigations shows that at present, our country's total rural labor force—about 400 million strong—has around 220 million surplus workers. According to estimates based on the investigations by the World Bank, there would be an annual increase of 10 million people in China's labor force from 1980 to 2000. Of the existing number of workers, some 50 percent are not fully employed, and 30 percent are relatively superfluous. There are large numbers of unemployed people due to seasonal, structural, hidden, mobile, and stagnation related factors. A great surplus of workers has become a big social problem.
To counter the pressure of the "wave of workers" in the first lunar month, a decisive control of rural workers blindly breaking out and leaving elsewhere, and moving out in large concentrations is undoubtedly necessary. But where will more than 200 million surplus rural workers go after all? How do we arrange for their employment? This fundamental problem calls for a creative answer. A makeshift measure is not a long-term policy.
According to statistics, from 1978 to 1986, the number of surplus workers in agriculture absorbed by nonagricultural industries in the countryside reached 44 million. Meanwhile, several tens of millions of mobile peasants entered cities to fill some jobs. So far, our countryside has transferred about 80 million rural workers, who left the fields but not their hometowns, or who left both the fields and their hometowns. But relevant experts consider that for those surplus rural workers who have not been transferred away and those likely to be added, employment opportunities in the countryside alone can hardly be enough. Our countryside is greatly restricted by resources. The level of development of productive forces is relatively low. No matter how fast the pace of development of nonagricultural industries, the growth of employment opportunities cannot bring about the miracle of sudden growth, as appeared years ago. Nor is it possible to make the growth of employment opportunities exceed the increase in the number of workers. Therefore, simultaneously with the local absorption of rural surplus workers, a switchover to a bigger world has become an inevitable trend....
## 99 **
POSTERS CALLING FOR DEMOCRACY**
_The educated elite in China have traditionally recognized a moral obligation to point out the errors or abuses of the government, even when doing so hurt their personal chances for political advancement or even placed their lives in jeopardy. In the early twentieth century, students staged protests against Japanese imperialism. Two generations later, as the Cultural Revolution faded, students again staged protests against government policies: at Tiananmen Square in 1976, Democracy Wall in 1978, at Hefei in 1986, and throughout the country in late April to early June, 1989. Each time a popular way to make known dangerous views was to post a "big character" poster._
_The demonstrations staged in the spring of 1989 reflected the growing frustrations of students and the relative tolerance of the government in the early stages of the movement. Five posters placed by students on walls at their campuses are given below. The first three appeared on the same day, April 24, 1989, as student unions and boycotts of classes were getting organized. Three days later about 100,000 students marched from their campuses to downtown Beijing, met along the way by large crowds of supportive citizens. Shortly afterwards smaller groups of students staged a hunger strike in Tiananmen Square, surrounded by thousands of supporters. The fourth poster dates from that period. The last poster given here was posted May 26, a few days after martial law was declared and the first efforts made to get the students to leave the Square. A few days later, on June 4, the military violently dispersed the remaining students, killing several hundred._
#### **
A Memorial and Testament to the Privileged Class**
The privileged class, "officials of the people," you live a life to make the immortals envious;
Opening up, reform—what good opportunities—if you don't make money now, then you never will.
Children of officials violate the law and run wild, but the law barely touches them.
Although their sons and daughters are idiots, they can still choose between Beijing and Qinghua universities.*
These privileged accompany foreign guests, eating and drinking for free, And what's more, they receive a "subsidy" of hundreds of yuan.*
Not bothering to separate official business from private affairs, they ride gratis in airplanes and cars.
Everyone has a "special purchasing card,"
which buys them high-quality products at low prices.†
Chartered planes and trains deliver gifts, delicacies from every land, fresh year round....
The whole family happily resides in Zhongnanhai, their palatial second homes and villas scattered from the mountains to the sea.
Luxurious gleaming buildings, clubs, and hotels—the people can only look and sigh!
Well-known and clandestine "pleasure nests"—ordinary folks cannot even approach them in their lifetime.
A cluster of "public servants" for private masters, cooks, doctors, bodyguards;
"Staff workers" line up in front and back, beautiful ladies, "courtesans," await them on both sides.
"Limited-distribution movies" with sex and violence, only within the palaces are they not prohibited....
The mighty Mercedes Benz moves through the staring red traffic light.††
Tourists and travelers are driven out from parks and beaches, only because some senior official has entered the park to play.
During their lives they enjoy to the hilt days of honor and glory, after death, they ascend to Babaoshan cemetery.**
_Posted at Beijing Normal University, April 24_
#### **A Letter of the capital:**
Citizens of the capital:
We are students of Beijing Aeronautics Institute. Our sacred mission is to uphold the people's interests. We have no choice under the current circumstances. Under circumstances that have pushed our patience beyond its limits, we feel compelled by sadness and fury to declare: a class boycott will commence on April 24.
Our action is by no means an action of blind impulse; we have a feasible program, clear and definite objectives, and a well-disciplined and powerful organization. We will not accept the control or manipulation of any person, nor will we stoop to compromise. We have no selfish motives or hidden ambitions. Our actions these last few days sprang from our patriotic hearts, from our pure and loyal love for our great motherland. We do not "desire to plunge the world into chaos" [as has been alleged], nor are we a "small handful" of bad people with ulterior motives. All we want is to do our best to push forward the process of reform and democratization, to try to obtain for the people the most practical benefits possible.
Citizens, our interests are now closely bound together. We swear to stand with the people to the death, to struggle to the very end!
We ask for all the citizens of Beijing to give us their support! We are one with the people!
Down with bureaucracy! Down with BUREAUCRATS!
Long live China! Long live the people!
_—Beijing Aeronautics Institute Students' Federation, April 24, 1989_
—Please understand and trust us! Please extend your hands in support!
_Posted at Beijing Aeronautics Institute_
#### **
Proclamation of Ph.D. Students**
1. Because at present universities throughout the country still lack a united organization, we propose that [Beijing] students immediately establish a telephone and telegram network, with specified communication times and locations, with universities in each of the major cities in China; and that from May 4 on, students at universities throughout the country unify their actions, organizations, slogans, and objectives.
2. Because the student movement is currently still a "campus movement," and has yet to attain widespread understanding and support from all sectors of society, we propose that [Beijing] students: (1) draft and print large quantities of literature making clear our positions and the goals we are fighting for; (2) set up "democracy walls" outside the gates of their schools; and (3) form a large number of "special action groups" to distribute and post leaflets and organize public speeches at all train stations, theaters, hotels, and main commercial districts.
3. Because at present the student movement lacks powerful media of its own, we propose that: (1) the student autonomous committee at each university take over the school broadcasting station; (2) all universities publish and issue "student movement bulletins" of their own, which will facilitate communication among schools; and (3) all universities establish news release centers, hold on-the-spot press conferences, and report to the Chinese and foreign press, as well as to all sectors of society, the progress of the student movement.
4. Since during the student movement the personal safety and interests of the students have been seriously endangered, we propose that all universities join together to form a "lawyers' working group" that will immediately bring a lawsuit over: (1) certain distorted news reports regarding the "April 20th Incident" [in which students were beaten by police]; and (2) deliberate injury of students by certain police officers. This "lawyers' working group" should act to protect the legal rights of the students during the student movement.
5. Because the class boycotts at some schools are not doing well, and the students' actions are not unified, we propose that students: (1) reinforce the pickets at their universities and seal off classrooms; and (2) organize on-campus meetings for public speeches and reports [on student activities] in order to strengthen solidarity.
Long live the students!
_Posted at People's University, April 24, 1989_
#### **
After All, What Are We Fighting For?**
... If we were to ignore the issue of freedom of speech and freedom of the press, all of our [other] goals would be nothing but wishful thinking. The government's distorted news reports and wanton slander, the [Beijing Municipality's] "Ten Articles" on public demonstrations, endless propaganda, and the reorganization of the Shanghai _World Economic Herald_ —these are hardly isolated events. There is only one reason for all of them: the government will not allow the people to speak the truth. Recently, the Beijing Municipal Party Committee stated openly that it would put the [local] media under its control in order to turn around the government's present defensive situation. What a shameless warlord manner this is! It is obvious that media control is the only way they see for rescuing themselves: one after another, citizens are already moving to the other side. To win the hearts of the people, the government must conduct a thorough reform, but this is impossible for them to do at the present time. Therefore, the only recourse is to deceive and poison people's minds. The government fears most that students will take to the streets to distribute handbills, make speeches, and establish ties with workers and other citizens.
The government is making a last-ditch effort. Thus, we must focus on the critical point: taking the tools of public opinion presently controlled by them and making them the people's, for the people to use.... The downfall of many governments has occurred after they had lost control over the tools of public opinion, or, when prevailing public opinion was made known early on. The mass media has become the most effective weapon for people all over the world; unfortunately, up to the very present, we still cannot take advantage of it, and many people do not even appreciate its significance. This kind of misguidedness in our movement may very well lead to our defeat. And after we are defeated, the government will use the media to retaliate.
At the end of 1986, while we were struggling to realize true democracy and freedom, rights granted us under the Constitution, the Beijing municipal government hastily adopted the "Ten Articles on Demonstrations." Its purpose was obvious: to restrict the freedom of citizens. Under the Ten Articles, all demonstrations must be registered in advance, and actual demonstration is not permitted until approval has been given by the authorities. This [set of regulations] is the object of universal ridicule! Freedom of demonstration and other rights are granted by the Constitution. But now they cannot be exercised until they are approved by some aristocrats. In addition, as long as these aristocrats think a demonstration "may have some adverse impact" [on social order, production, etc.], they can always withhold approval. What an idea, this "may have some adverse impact"! Someone's subjective mind (intent on protecting its own interests and privileges) sets an unchallengeable standard that determines whether the people can exercise their own rights! A sad fact this is indeed!...
It is said that the Law on the Press will be promulgated at the end of this year [1989]. Based on the current situation, can we imagine what kind of law governing the press this will be? The Ten Articles have taught us a lesson already. Are there any people who can guarantee that the new press law will not become the shackles of "freedom of the press"?... Let me ask: how much freedom for the press can such a regulation bring? Thinking about this is enough to send chills down one's spine.
It is not hard for all to comprehend that press reform is the most appropriate breakthrough point for political reform. Public opinion functions as both a constructive and supervisory force. It is not for no reason that Western nations call the public press the "fourth power [estate]."... Allowing people to speak the truth is the most fundamental feature of political reform. In the truth spoken by the people, we will be able to find an inexhaustible source of prosperity for our motherland and for the revitalization of our nation.... Let us unceasingly continue our struggle for this objective until the people can truly speak frankly and without restraint!
_An undergraduate student, May 1, 1989_
#### **
Communist Party Members, Stand Up—An Appeal to All Party Members**
At present, the patriotic Democracy Movement has entered an extremely tense stage: the hunger strike of several thousand classmates in Tiananmen has already entered its seventh day, yet the leaders of our government still have not given a definite reply to the reasonable demands of our classmates. As members of the Chinese Communist Party, we believe that the attitude of the government is not wise. It is mistaken. From April 15 on, we too have been participants in the patriotic Democracy Movement. We have seen how the erroneous judgment [and attitude] of the government regarding this patriotic Democracy Movement have severely damaged the image of the party and party members. We feel deeply grieved by this.
We very much cherish the designation of being members of the Communist party. We became members of the party for the cause of communism, which the Communist party pioneered. Although we only have a few years of party standing, the education we have received in the party has taught us the value of the title of "party member." At Zhazedong [the infamous prison of the Guomindang that was in Chongqing], Communist party members were courageous and dauntless in the face of cruel torture inflicted on them by the reactionary faction. Communist party members [have a tradition of] taking the lead. Lei Feng, who [always] served the people, was a Communist party member; Zhang Zhixin, who never wavered from the truth, was also a Communist party member. The honor of the Communist party for which the older generation traded their lives and blood has been sullied today by their [opposition to] democratization and [to the installation of a] rule of law. Since April 20, we have been under considerable pressure [to support the party line], so that we have only been able to join the ranks of the protestors in our individual capacity. When we think about our party oath, about the duties and responsibilities of a party member, speaking from our consciences, we can only feel ashamed when we face the broad mass of our classmates. What the true party member stands up for is the truth, not the personal "face" of some individual leaders. To [certain] individual government leaders who have the status of Communist party membership, we say: you are not true Communist party members; the image of the Communist party is not meant to be monopolized by a few individuals, but belongs to every one of us Communist party members.
We [now] appeal:
1. To protect the honor of the Communist party and its members, all party members must stand forth and unequivocally participate as a party member [rather than as an individual], and in the name of the school's party branch, in this patriotic Democracy Movement. The interest of the people is paramount.
2. At present the movement has already reached an extremely critical moment. Party members must lead the way by their own example; must assist the students' autonomous unions in schools in organizing classmates; must maintain cool heads; and must work to avoid any unnecessary harm to our classmates.
_—Graduate Students in the Class of 1986 Materials Department; All party Members in the party Branch [of the Materials Department]_
_Posted at Beijing Science and Technology University, May 26, 1989_
*[Footnote in original] An unwritten regulation stipulates that sons and daughters of officials with the rank of vice premier and above can enter universities without taking the national comprehensive examination.
*[Footnote in original] It has been discovered that the monthly subsidies of senior officials who host foreign guests is over a thousand yuan.
†[Footnote in original] "Special purchasing cards" not only allow one to buy scarce and desirable goods but also to purchase them at prices several times lower than at ordinary city markets. For example, hairtail fish of the highest quality costs only 0.60 yuan a half kilogram in Zhongnanhai.
††[Footnote in original] The Mercedes Benz is the most luxurious in the world. When senior officials travel through a city, the police open up a lane for them and they do not need to stop at red lights.
**Babaoshan cemetery in the western outskirts of Beijing is the burial place for China's top miliary and political leaders.
## 100 **DEFENDING CHINA'S SOCIALIST DEMOCRACY**
_The aftermath of the Tiananmen protests included not only arrests, trials, and sentencing of hundreds of participants, but also concerted efforts to reeducate those who had been attracted to the ideas espoused by the protesters. Political study was stepped up at universities, research institutes, and other cultural organs, and articles appeared in the press designed to restore confidence in the superiority of China's political system. The following article appeared in_ People's Daily _in March 1990. It was titled, "Bourgeois and Socialist Democracies Compared."_
A small number of people who obstinately stick to bourgeois liberalization have made major efforts to advocate bourgeois democracy and distort China's socialist democracy in an evil attempt to overthrow the CPC leadership and sabotage the socialist People's Republic of China. In their minds, the capitalist system is more democratic than the socialist system instead of the other way round, and only with the establishment of the capitalist system can there be genuine democracy. These bourgeois liberal fallacies must be exposed and criticized....
In a class society, democracy bears a class nature. Since mankind entered class society, there has never been equality between the ruling class and the classes that are ruled, or in the distribution of rights. Democracy is equal power distribution in the possessing class. The classes that are ruled can only obtain a part of democratic rights that serve the power distribution in the ruling class. In this sense, all forms of freedom, democracy, and human rights are abstract and practiced on conditions that the fundamental interests of the possessing class should be protected or left unharmed. This is class democracy, class freedom, and class human rights.
A small number of people who obstinately hold to bourgeois liberalization, including Fang Lizhi and Wang Ruowang, have made energetic efforts to beautify American democracy. They asserted that this democracy "is genuine democracy for the entire people." In their opinions, exploitation of the majority by the capital-possessing minority has been over long ago. They said Marx wished to proletarianize the capitalists and turn them into self-supporting laborers, but Western society has capitalized the proletarians. Some Americans in power have also asserted that "America is the beacon of the world."
Is it true that the American bourgeoisie are so kind-hearted, "do not exploit," "do not exercise dictatorship," and have become the "beacon of world democracy"? Is it true that the American proletarians have mixed with the bosses of financial groups, enjoy the right of equal distribution and possession, and have equal democratic rights? The answer is negative.
In the present-day world, capital is still characterized by exploitation, oppression, and dictator. This is a historical definition provided for capital by the law governing human history. Similarly, the United States, where "capitalists are the personalization of capital," cannot exclude itself from this definition.
In the United States capitalists still dominate everything. A look at the nature of American democracy will make it easy to draw a conclusion that corresponds to historical facts.
First, U.S. democratic elections are actually the trials of capital and wealth.
As everyone is aware, U.S. elections are the "elections of money." Each U.S. presidential election costs about $1 billion. During their presidential campaign, Reagan and Carter spent $45 million each. Even the expenditures for the election of a senator are as high as $500,000. At least $500,000 to $600,000 are required for the election of a state senator. Undoubtedly, only the rich can afford such huge expenditures, whereas the American workers and other laborers, even the middle class, do not dare to inquire about the elections. Statistics suggest that the per capita assets of U.S. senators amount to $5 million, and seventeen percent of them have assets worth over $5 million. No wonder the American working people call the U.S. Congress the "club of the rich." According to relevant statistics compiled by the U.S. authorities, people in power in the United States control fifty percent of the assets in the industrial, transportation, and telecommunications field, in public enterprises, and in banks, but these people account for only three percent of the country's population. Since the end of World War II, nine U.S. presidents and vice-presidents have been either members of monopoly capital groups or supported by huge financial organizations; they are representatives of these organizations.
True, the American people do enjoy universal suffrage at present. Again, the government waived restrictions on the property of voters and on women and black people. Democratic as all this looks, it cannot prove that the democracy practiced in the United States is no sham. I should like to ask: What benefits can laborers, women, and black people gain from such a universal direct election, which is held under the influence of the "contest of property and capital"? In the history of the United States, which worker has been elected as president? How many workers have been elected as congressmen or congresswomen?...
With regard to human rights, the world monopoly capital has also made every possible endeavor to advertise to the whole world that it is the one that truly "respects" and "safeguards" human rights. Nonetheless, out of its own class interests, the monopoly capital has not only trampled upon human rights at home but has also frequently acted as the world military police by sending troops to directly interfere with the internal affairs of other countries and practice power politics in the whole world. For instance, the United States recently invaded Panama and carried out wanton and indiscriminate bombings and killings in Panama. The United States seriously violated basic norms governing international relations. Comrade Deng Xiaoping once laid bare the true nature of the bourgeois human rights. Comrade Deng Xiaoping sharply pointed out: "What are human rights? How many people now enjoy human rights? Do human rights mean the rights of the majority of the people or the rights of the minority of the people or the rights of the people of the whole country? The so called human rights as advocated by the Western countries fundamentally differ from the human rights we are talking about. On this question, our views do differ." Andrew Young, former U.S. ambassador to the United Nations, once said: In the United States, "a lot of people have been imprisoned because they are poor, not because they are bad." In so saying, Andrew Young gave a true picture of the human rights situation in the United States.
#### **
THE SOCIALIST DEMOCRACY IS THE PEOPLE'S DEMOCRACY ENJOYED BY THE MAJORITY OF THE PEOPLE**
The socialist democracy means the democratic rights enjoyed by the broad masses of the workers, peasants, intellectuals, and all the people who love their socialist motherland.
The nature of the socialist democracy is that people act as the masters of their country. The socialist state system is the state system under which laborers and citizens are allowed to manage the state, administer the society, and act as the masters of their country in the history of mankind for the first time. It is because of this reason that the socialist country is the most advanced democratic country in the history of mankind. "The proletarian democracy is a million times more democratic than any types of bourgeois democracy" ( _Selected Works of Lenin,_ Volume 3, page 634).
During the period when turmoil and the counterrevolutionary rebellion broke out in Beijing, a handful of people who stubbornly adhered to the stand of bourgeois liberalization flaunted the banner of "Striving for Democracy" in an attempt to confuse and poison people's minds. These people denounce our country as a despotic state in which there is no democracy to speak of. This is an out-and-out distortion of the realities in our country. What is true is that since the founding of the New China, the CPC and the People's Government have made unremitting efforts to build the socialist democracy in China. Although China's socialist democratic system is still far from perfect, China has after all established a comprehensive democratic system under which people can participate in the administration and management of the state.
The PRC Constitution stipulates in explicit terms that all powers in the People's Republic of China belong to the people. The organs through which people exercise state power in a unified way are the National People's Congress and the local people's congresses at various levels. The National People's Congress is the supreme state organ which formulates and ratifies the constitution and the laws, elects and removes from office the state president, vice-president, elects the Central Military Commission, elects the president of the Supreme People's Court and the procurator general of the Supreme People's Procuratorate, and, in accordance with the relevant procedures, appoints the premier and vice-premier of the State Council, the state councilors, and ministers, and examines and ratifies the national economic and social development plans, the state budget, and so on. This is the basic socialist democratic system instituted in our country.
The CPC-led Multiparty Cooperation and Political Consultation System has remained an important channel for the evolution of socialist democracy in China. The CPPCC has remained an important political and organizational form through which the CPC-led Multiparty Cooperation and Political Consultation System has been realized in China. Over the past few decades, the CPPCC committees at all levels, the various democratic parties, people's organizations, and public figures of all nationalities and all walks of life have played an important role in making China's state decision-making process more scientific and more democratic and in promoting the building of socialist modernization in China....
There is no denying the fact that our country is still at the initial stage of socialism and our country's socialist people's democratic system and socialist legal system are still in a historical process of establishment, improvement, development, and perfection. Nevertheless, it is also an undeniable basic fact that the Chinese people have already become the masters of their country and are currently enjoying wide-ranging and real democratic rights. Take the citizens' right to vote, for example; our country instituted the universal suffrage system as early as 1953. Since then, the Chinese people have been able to elect their own deputies, hold people's congresses at all levels, form people's governments at all levels, and exercise the state power. Since 1979, China has several times revised her electoral law and instituted the system under which the electorate can directly elect their deputies to the people's congresses at county and township levels. The revised PRC "Electoral Law" stipulates that apart from the fact that political parties or people's organizations can either jointly or individually nominate candidates for the people's congress elections held at various levels, the voters or the deputies can also jointly nominate candidates for the people's congress elections held at various levels. In the revised "Electoral Law," the election system under which equal numbers of candidates run for an equal number of deputy seats has been substituted with the election system under which more candidates run for fewer seats, thus gradually enlarging the citizens' right to vote.
Given the basic realities in China, the building of socialist democracy in China can only be a gradual and accumulated process. Since the founding of the PRC, we have done a lot of work, made much headway, and achieved marked results in building the people's democratic system. However, as a comprehensive system, our country's people's democratic system has yet to be further developed and perfected. In his speech addressed to a Beijing rally in celebration of the fortieth anniversary of the founding the PRC, comrade Jiang Zemin pointed out that it is necessary to make continued efforts to improve and perfect our country's people's congress system and CPC-led Multiparty Cooperation and Political Consultation System, establish and perfect a democratic decision-making and supervision procedure, and system, expand the existing links and channels of dialogue between the CPC and the broad masses of the people, raise the citizens' consciousness in participation in the political and state affairs, and guarantee the full realization of both the will and the interests of the broad masses of the people in the state life and social life. This is the orientation for building socialist democracy in our country at the current stage. In this analysis, those who blindly worship the democratic system of the Western countries and try to transplant the parliamentary system and multiparty system of the Western countries to China are doomed to failure.
## **GLOSSARY**
**Amitabha Buddhism.**
The school of Buddhism that stressed salvation in the Pure Land, a paradise ruled over by the Amitabha Buddha. While on earth the Amitabha Buddha had promised entry into his paradise to those who sincerely called on his name.
**_Analects (Lunyu)._**
The record of the sayings of Confucius, one of the Thirteen Classics. See "Confucian Teachings," selection 6.
**bodhisattva.**
A being who has reached the point at which enlightenment or Buddhahood can be achieved but decides to stay in the world to help others achieve salvation.
**_Book of Changes (Yijing)._**
One of the Five Classics, dating from the Zhou dynasty. A divination manual. See "Hexagrams," selection 3.
**_Book of Documents (Shujing)._**
A collection of purported speeches, pronouncements, and court debates dating from the Zhou dynasty. One of the Five Classics. See "The Metal Bound Box," selection 2.
**_Book of Rites (Liji)._**
A collection of late Zhou and early Han texts on ritual, government, and ethics. One of the Five Classics.
**_Book of Songs (Shijing)._**
A collection of 305 poems, dating from the Zhou dynasty which became one of the Five Classics. See "Songs and Poems," selection 4.
**Boxer Rebellion (1900).**
Anti-foreign uprising in northeast China. The Boxers were a xenophobic, mystic society, which sought to drive the foreigners from China and to restore the glory of the Qing dynasty. In the summer of 1900 they besieged the foreign legations' compound in Beijing, but the siege was broken by an international relief force and the rebellion suppressed.
**Buddha.**
Means "the Enlightened." Buddhahood may be claimed by anyone who has achieved enlightenment, but "the Buddha" usually refers to the Prince Siddhartha of the Guatama clan (ca. 563-483 B.C.)
**in northern India.**
According to tradition, he tried and rejected first a life of luxury and then a life of poverty and in 528 B.C. achieved enlightenment and began to teach. See "Buddhist Doctrines and Practices," selection 22.
**cash.**
A copper coin, the smallest unit of currency.
**catty.**
Unit of weight, equal to about 1.3 pounds or 6 kilograms.
**Cheng brothers.**
Cheng Hao (1032-1085) and Cheng Yi (1033-1107). Early neo-Confucian philosophers who helped develop the metaphysical concepts of _li_ ("principle") and _qi_ ("material force").
**concubines.**
Women of lower legal and social status than wives, who were, however, fully recognized mates. They were brought in to the man's home in part to produce heirs and their children were fully legitimate. See "Concubines," selection 55.
**Confucius**
(traditional dates 551-479 B.C). Classical philosopher, one of the most influential thinkers in Chinese history. He was born in the state of Lu (in modern Shandong) and assumed the life of the itinerant scholar-official, trying to influence the policies of the great lords of the various classical states. Although he never met with great success in the political sphere, he propagated a philosophy of life that was to be highly influential throughout subsequent Chinese history. See "Confucian Teachings," selection 6.
**Cultural Revolution.**
A political campaign launched by Mao Zedong in 1966 as the "Great Proletarian Cultural Revolution," ostensibly to combat elitism and revisionism. It led to the mobilization of Red Guards, the closing of schools, the destruction of many monuments, and the purging of thousands of cadres. The most intense struggles occurred in the years 1966-1969, but the aftereffects lasted until Mao died in 1976. See "Red Guards," selection 93.
**Daoism.**
A classical school of philosophy identified with Laozi (traditional dates 604-521 B.C.) and Zhuangai (369-286 B.C.). Main strand of thought is the search for harmony with the Dao ("Way"), which is total, natural, spontaneous, nameless, and eternal. Everything that exists or happens does so because of the Dao. Daoists stress the relativity of values and the smallness of human endeavors within the working of the universe. The term popular or religious Daoism is used for the indigenous religion of the Chinese which incorporated ancient beliefs in a wide variety of ghosts, spirits, and demons with belief in immortals and the divinity of Daoist sages. After Buddhism was introduced to China, the Daoist religion developed an elaborate system of clergy and temples. See "Daoist Teachings," selection 7 and "Precepts of the Perfect Truth Daoist Sect," selection 34.
**Duke of Zhou.**
Early statesman and philosopher who served as regent for his royal nephew the second Zhou King. Admired by Confucius, the Duke of Zhou is credited with consolidating the power of the newly founded dynasty.
**examination system.**
The system of recruiting men for office through written and oral examinations of candidates. Most highly developed in the Song and subsequent dynasties.
**filial piety.**
Obedience, respect, and caring for one's parents and grandparents, or in the case of married daughters, parents-in-law.
**Five Agents.**
A component of Chinese cosmological correlative thinking developed during the late classical period. The Five Agents are wood, fire, earth, metal, and water. They are in constant interaction, overtaking and suppressing each other in a fixed progression. Illness, the change of seasons, the change of weather, and even the change of dynasties were explained in terms of these agents.
**Five Classics.**
The _Book of Songs,_ the _Book of Documents,_ the _Book of Changes,_ the _Spring and Autumn Annals,_ and the _Book of Rites._ All were revered by the Confucians as preserving the most ancient truths.
**Gang of Four.**
Term for four militant leaders of the Cultural Revolution officially blamed for its excesses. Their leader was Jiang Qing, Mao's wife. The others were Zhang Chunquiao, Wang Hongwen, and Yao Wenyuan.
**geomancy.**
The "science" of locating favorable sites for houses, graves, and so on, according to the vital forces and "veins" of the earth.
**gongsheng.**
"Senior student." A middle-level degree holder, sometimes eligible to hold office.
**governor.**
Head of a province, the largest subdivision of the empire.
**Guanyin.**
A bodhisattva (Buddha-to-be) noted for compassion. Usually conceived of as a female.
**Guomindang.**
The political party founded in 1912 by Sun Yatsen and later led by Jiang Jieshi. The Guomindang or Nationalist party enjoyed early success but was plagued with defections and shifting alliances. When the People's Republic of China was officially established in Beijing in 1949, the Guomindang reestablished itself in Taiwan where it continues to exist as the ruling party of the Republic of China.
**hexagrams.**
Graphs of six lines, some broken, some unbroken. Each of the sixty-four possible hexagrams had a name and the _Book of Changes_ offered interpretations of its meaning. See "Hexagrams," selection 3.
**International Settlement.**
Area of Shanghai in which foreigners enjoyed many privileges of self-government and immunity from Chinese law (extra-territoriality). The Shanghai International Settlement became extremely important both as a point of foreign influence and trade in China and as a refuge for Chinese seeking to avoid their own country's law.
**Jiang Jieshi**
(1888-1975). Military and political leader of the Nationalist (Guomindang) party after the death of Sun Yatsen. After leading the Northern Expedition, he set up a Nationalistic government in 1928 and fought against warlords, the Japanese, and the Communists for the control of China for the next twenty years. President of the Guomindang government on Taiwan from 1949 until his death twenty-six years later.
**Jie**
(traditional r. 1818-1766 B.C.). Last ruler of the legendary Xia dynasty whose evil ways were said to have caused the downfall of that dynasty.
**jinshi.**
"Presented scholar." Beginning as one of a number of examination degrees offered during the Sui and Tang dynasties, from the Song onwards it was the highest and most prestigious degree. During the Ming and Qing dynasties candidates who had passed the _juren_ or provincial level examination could take the examination for the _jinshi,_ offered every third year in the capital. Those who became _jinshi_ could normally expect to receive an official appointment, although delays sometimes amounted to years.
**Jurchen.**
A non-Han people, probably related to the later Manchus, who overthrew the Khitans to establish the Jin dynasty (1115-1234). The Jurchens were conquered in turn by the Mongols who established the Yuan dynasty in 1279.
**_juren._**
"Recommended man." A provincial-level degree-holder eligible to hold office and take the capital examination.
**Kangxi Emperor (1662-1722).**
The second and probably the greatest of the Qing emperors. He strove to reconcile the Manchu conquerors and their Chinese subjects. The final military conquest of all China by the Manchus was achieved under him.
**karma.**
An Indian belief that became widespread in China through Buddhism. Through karma, all actions, good or bad, bring reward or retribution in this life or a subsequent one.
**kowtow.**
"To knock the head," a ceremony of one or more kneelings or bowings with the head striking the floor. The kowtow was performed as a sign of respect for one's superiors, especially for the emperor and for the elders and ancestors of one's family.
**Laozi**
(traditional dates 604-531 B.C.). According to tradition, the author of the text of the same name and thus a founder of Daoism as a school of philosophy. See "Daoist Teachings," selection 7.
**Legalism.**
Classical philosophical school and important strand in Chinese intellectual history. The Legalists held that the law should be strict and universal in its application. Rather than relying on education and the good will of men in governing the state, the Legalists looked to bureaucratic regulations and rewards and punishments. Legalism became the official ideology of the Qin dynasty (221-206 B.C.). See "Legalist Teachings," selection 8.
**_li._**
A unit of length equal to about 1/3 of a mile.
**Long March.**
Heroic march of the Communist Party and Red Army from their besieged headquarters in Kiangsi province to a new base in Yan'an, taking over two years and covering 6000 miles.
**magistrate.**
Head of a county, the lowest unit of local government staffed by representatives of the central government.
**Manchus.**
A tribe of the Jurchen group, originally from the northeast part of present-day China. By the mid-sixteenth century, they were developing state institutions, and in 1644 they invaded China and established the Qing dynasty, which lasted to 1911.
**Mandate of Heaven.**
The theory that an emperor lacking in virtue has forfeited his right to the throne and that the mandate is then awarded by Heaven to the conqueror who establishes the next dynasty.
**May Fourth Movement.**
Large-scale protest movement of students and intellectuals, begun in Beijing on May 4, 1919 over the agreements at Versailles giving the old German concession in Shandong province not to China but to Japan. In a broader sense the May Fourth Movement came to represent a general movement among educated Chinese to chart new courses for China's development, especially in the intellectual and cultural sphere. See "The Spirit of the May Fourth Movement," selection 77.
**Mencius (Mengzi, ca.**
372-289 B.C.). Classical philosopher and successor to Confucius. Like Confucius, his attempts to influence the rulers of his time were largely unsuccessful, but his speeches (preserved in the _Mencius_ ) charted new direction in Confucianism. See "Confucian Teachings," selection 6.
**Mongols.**
Generic term for a number of Inner Asian tribes that were united by Chinggis Khan in 1206. Through a series of rapid military conquests, they established a great Eurasian empire. China was subjugated by the Mongols in stages, completed by Khublai Khan in 1279. After the collapse of their dynasty in China (the Yuan), the Mongols proved a military threat to China for several centuries but were never able to reassert their supremacy.
**_mu._**
Unit of area, equal to about 16 acres or 600 square meters.
**neo-Confucianism.**
The form of Confucianism dominant in the Sung dynasty (960-1279) and later. See "Zhu Xi's Conversations with His Disciples," selection 40, and "Two Philosophers," selection 57.
**picul.**
Unit of weight, equal to about 133 pounds or 60 kilograms.
**prefect.**
Head of a prefecture, the unit above a county and below a circuit or province.
**Pure Land.**
The paradise of the Amitabha Buddhists.
**_qi._**
Vital energy, material force, ether, breath. A term used both in philosophy and in scientific thinking.
**Qianlong Emperor (r.**
1736-1795). Fourth Qing Emperor who presided over the dynasty at the height of its power. While an able administrator and skillful leader in war, he is also known as a connoisseur of literature, painting, porcelain, and other arts.
**runner.**
An underling of a magistrate or prefect who carried messages, arrested criminals, collected taxes, and performed other assorted duties.
**_shengyuan._**
Government student. A lower-level degree holder eligible to take the provincial level examination.
**Shun (legendary reign ca.** 2255-2206 B.C.).
One of the legendary sage emperors of the golden age of antiquity. He was held up as an example of a self-made man of humble origin who achieved greatness as a wise ruler.
**string of cash.**
A unit of currency, nominally a thousand copper coins strung through the holes in their centers, but generally short a hundred or more cash.
**Sun Yatsen (1866-1925).**
Leader of the Chinese republican revolution and founder of the Nationalist party. Educated in medicine in Hong Kong, he became an anti-Manchu activist and helped to overthrow the Qing dynasty.
**tael.**
An ingot of silver weighing an ounce, regularly used as money in Ming and Qing times.
**Taiping Rebellion (1850-1864).**
Huge upheaval in south and central China during the mid-nineteenth century, led by the mentally unbalanced Hong Xiuquan. Taiping ideology incorporated elements of Christianity, Utopian Confucianism, and mystical Daoism.
**Tatars.**
See MONGOLS.
**The Way (Dao).**
An important philosophical term in both Confucianism and Daoism. In both it referred to the cosmic order, but in Confucianism this was a human-centered moral order, in Daoism, the natural order.
**Thirteen Classics.**
Besides the Five Classics, the Thirteen Classics also included the _Book of Etiquette and Ritual,_ the _Rituals of the Zhou,_ the _Guliang, Gong-yang,_ and _Zuo_ commentaries to the _Spring and Autumn Annals,_ the _Analects,_ the _Mencius,_ the _Erya,_ and the _Classic of Filial Piety._ This list of the classics gained favor in the Song dynasty.
**Three Principles of the People.**
The basis of Guomindang ideology, formulated by Sun Yatsen. They are nationalism, democracy, and the people's livelihood.
**Warring States Period** (484-221 B.C.).
The last of the three periods of the Zhou dynasty characterized by serious fighting among the feudal states leading to the extinction of the dynasty and the rise of Qin.
**Xiongnu.**
A nomadic people of the steppes north of China who frequently invaded during the Han dynasty. The Xiongnu are often identified with the Huns who invaded the Roman Empire in the fifth century A.D.
**yamen.**
The headquarters of a local official. The yamen was a walled area that contained buildings for the conduct of official business and also served as the residence for the official and his immediate family and staff.
**Yan'an.**
A city in Shaanxi province which became Mao's headquarters shortly after the completion of the Long March and remained so during World War II.
**Yellow Emperor.**
One of the ancient mythical culture heroes. Associated with Daoism and medicine.
**Yin and Yang.**
Components of Chinese cosmological thinking. Yin is the female, or passive principle, Yang the male, or assertive one. These are complementary principles. Although in nature one rises as the other wanes, no creature, force, or object is purely composed of one in the absence of the other.
**Zhu Xi** (1130-1200).
One of the greatest of the neo-Confucian philosophers and author of many commentaries on the Confucian classics. His configuration of Confucianism became the official orthodoxy during the Ming (1368-1644) and Qing (1644-1911) periods. See "Zhu Xi's Conversations with His Disciples," selection 40.
**Zhuangzi** (369-286 B.C.).
Traditionally considered to be the second of the great classical Daoist philosophers after Laozi. His writings, consisting of philosophical essays and humorous though pointed anecdotes, have been preserved in a book called the _Zhuangzi._ See "Daoist Teachings," selection 7.
**Zuo Chronicle.**
One of the Thirteen Classics. A historical account presented as a commentary to the _Spring and Autumn Annals._ See "The Battle Between Jin and Chu," selection 5.
## **
SUGGESTIONS FOR FURTHER READING**
_Books in English about China and Chinese civilization now number in the thousands with especially good coverage of the modern period. There are both an extensive monographic literature and many fine books aimed at a general audience. The following suggestions are limited to widely available books, especially paperbacks, and to the topics covered in this sourcebook._
### **
Historical Overviews**
Elvin, Mark. _The Pattern of the Chinese Past_. Stanford: Stanford University Press, 1973.
Fairbank, John F. _China: A New History_. Cambridge, Mass.: Harvard University Press, 1992.
Fairbank, John K., and Edwin O. Reischauer. _China: Tradition and Transformation_. Rev. ed. Boston: Houghton Mifflin, 1989.
Gernet, Jacques. _A History of Chinese Civilization_. Cambridge, Mass.: Cambridge University Press, 1989.
Hucker, Charles O. _China's Imperial Past: An Introduction to Chinese History and Culture_. Stanford: Stanford University Press, 1975.
Loewe, Michael. _The Pride That Was China, Sidgwick and Jackson Great Civilization Series_. New York: St. Martin's Press, 1990.
Meisner, Maurice. _Mao's China and After: A History of the People's Republic_. New York: Free Press, 1986.
Ropp, Paul S., ed. _Heritage of China: Contemporary Perspectives on Chinese Civilization_. Berkeley: University of California Press, 1990.
Schirokaur, Conrad. _A Brief History of Chinese Civilization_. New York: Harcourt Brace Jovanovich, 1991.
Sheridan, James E. _China in Disintegration: The Republican Era in Chinese History, 1912-1949_. New York: Free Press, 1975.
Spence, Jonathan D. _The Search for Modern China_. New York: W. W. Norton, 1990.
Twitchett, Denis, and John K. Fairbank, eds. _Cambridge History of China_. Cambridge, Mass.: Cambridge University Press, 1978-.
Wakeman, Frederic, Jr. _The Fall of Imperial China_. New York: Free Press, 1975.
### **
Religion, Cosmology, and Popular Culture**
Ahern, Emily M. _The Cult of the Dead in a Chinese Village_. Stanford: Stanford University Press, 1973.
Brokaw, Cynthia J. _The Ledgers of Merit and Demerit: Social Change and Moral Order in Later Imperial China_. Princeton: Princeton University Press, 1991.
Chang, K. C. _Art, Myth, and Ritual: The Path to Political Authority in Ancient China_. Cambridge, Mass.: Harvard University Press, 1983.
Ch'en, Kenneth K. S. _The Chinese Transformation of Buddhism_. Princeton: Princeton University Press, 1973.
Eberhard, Wolfram. _Guilt and Sin in Traditional China_. Berkeley: University of California Press, 1967.
Hansen, Valerie. _Changing Gods in Medieval China,_
1127-1276. Princeton: Princeton University Press, 1990.
Henderson, John B. _The Development and Decline of Chinese Cosmology_. New York: Columbia University Press, 1984.
Johnson, David, Andrew J. Nathan, and Evelyn S. Raw-ski, eds. _Popular Culture in Later Imperial China_. Berkeley: University of California Press, 1985.
Jordan, David K. _Gods, Ghosts, and Ancestors: The Folk Religion of a Taiwanese Village_. Berkeley: University of California Press, 1972.
Kaltenmark, Max. _Lao Tzu and Taoism_. Stanford: Stanford University Press, 1969.
Kuhn, Philip A. _Soul Stealers: The Chinese Sorcery Scare of 1768_. Cambridge, Mass.: Harvard University Press, 1990.
Loewe, Michael. _Chinese Ideas of Life and Death: Faith, Myth and Reason in the Han Period (202 B.C.-A.D. 220)_. London: George Allen and Unwin, 1982.
Naquin, Susan, and Chün-fang Yü, eds. _Pilgrims and Sacred Sites in China_. Berkeley: University of California Press, 1992.
Overmyer, Daniel L. _Folk Buddhist Religion: Dissenting Sects in Late Traditional China_. Cambridge, Mass.: Harvard University Press, 1976.
\-----. _Religions of China: The World as a Living System_. New York: Harper and Row, 1986.
Smith, Richard J. _Fortune-Tellers and Philosophers: Divination in Traditional Chinese Society_. Boulder: Westview Press, 1991.
Teiser, Stephen F. _The Ghost Festival in Medieval China_. Princeton: Princeton University Press, 1988.
Thompson, Laurence G. _Chinese Religion: An Introduction_. 2d ed. Encino, Cal.: Dickenson Publishing, 1975.
Watson, James L., and Evelyn S. Rawski, eds. _Death Rituals in Late Imperial and Modern China_. Berkeley: University of California Press, 1988.
Weller, Robert P. _Unities and Diversities in Chinese Religion_. Seattle: University of Washington Press, 1987.
Wolf, Arthur P., ed. _Religion and Ritual in Chinese Society_. Stanford: Stanford University Press, 1974.
Wright, Arthur F. _Buddhism in Chinese History_. Stanford: Stanford University Press, 1959.
Yang, C. K. _Religion in Chinese Society: A Study of Contemporary Social Functions of Religion and Some of Their Historical Factors_. Berkeley: University of California Press, 1970.
### **
Confucianism and Philosophy**
Black, Alison Harley. _Man and Nature in the Philosophy of Wang Fu-chih_. Seattle: University of Washington Press, 1989.
Bol, Peter K. _"This Culture of Ours" Intellectual Transitions in T'ang and Sung China_. Stanford: Stanford University Press, 1992.
deBary, Wm. Theodore, ed. _Self and Society in Ming Thought_. New York: Columbia University Press, 1970.
\-----, and John W. Chaffee, eds. _Neo-Confucian Education: The Formative Stage_. Berkeley: University of California Press, 1989.
Ebrey, Patricia Buckley. _Confucianism and Family Rituals in Imperial China: A Social History of Writing About Rites_. Princeton: Princeton University Press, 1991.
Elman, Benjamin A. _From Philosophy to Philology: Intellectual and Social Aspects of Change in Late Imperial China_. Cambridge, Mass.: Council on East Asian Studies, Harvard University, 1984.
Fingarette, Herbert. _Confucius—the Secular as Sacred_. New York: Harper and Row, 1972.
Fung Yu-lan. _A History of Chinese Philosophy_ , 2 vols., trans. Derk Bodde. Princeton: Princeton University Press, 1952.
Graham, A. C. _Disputes of the Tao_. LaSalle, Ill.: Open Court, 1989.
Hall, David L., and Roger T. Ames. _Thinking Through Confucius_. Albany: State University of New York Press, 1987.
Hsiao, Kung-chuan. _A History of Chinese Political Thought, Vol. One: From the Beginning to the Sixth Century A.D._ , trans. F. W. Mote. Princeton: Princeton University Press, 1979.
Lewis, Mark Edward. _Sanctioned Violence in Early China_. Albany: State University of New York Press, 1990.
Metzger, Thomas A. _Escape from Predicament: Neo-Confucianism and China's Evolving Political Culture_. New York: Columbia University Press, 1977.
Mote, Frederick W. _Intellectual Foundations of China_. New York: Alfred A. Knopf, 1971.
Nivison, David S., and Arthur F. Wright, eds. _Confucianism in Action_. Stanford: Stanford University Press, 1959.
Schwartz, Benjamin I. _The World of Thought in Ancient China_. Cambridge, Mass.: Harvard University Press, 1985.
Tu Wei-ming. _Confucian Thought: Selfhood as Creative Transformation_. Albany: State University of New York Press, 1985.
Weber, Max. _The Religion of China: Confucianism and Taoism_. New York: Free Press, 1968.
Wright, Arthur F., ed. _The Confucian Persuasion_. Stanford: Stanford University Press, 1960.
\-----, and Denis Twitchett, eds. _Confucian Personalities_. Stanford: Stanford University Press, 1960.
Wu, Pei-yi. _The Confucian's Progress: Autobiographical Writings in Traditional China_. Princeton: Princeton University Press, 1990.
### **
Family, Kinship, and Women**
Baker, Hugh D. R. _Chinese Family and Kinship_. New York: Columbia University Press, 1979.
Ebrey, Patricia Buckley. _Family and Property in Sung China: Yüan Ts'ai's Precepts for Social Life_. Princeton: Princeton University Press, 1984.
\-----, and James L. Watson, eds. _Kinship Organization in Imperial China, 1000-1940_ , Berkeley: University of California Press, 1986.
Freedman, Maurice. _Lineage Organization in Southeastern China_. London: Atheone Press, 1958.
\-----, ed. _Family and Kinship in Chinese Society_. Stanford: Stanford University Press, 1970.
Hsu, Francis L. K. _Under the Ancestor's Shadow: Kinship, Personality and Social Mobility in China_. 2d ed. Stanford: Stanford University Press, 1971.
Pruit, Ida, from the story told her by Ning Lao T'ai-t'ai. _A Daughter of Han: The Autobiography of a Chinese Working Woman_. Stanford: Stanford University Press, 1967 (originally published 1945).
Waltner, Ann. _Getting an Heir: Adoption and the Construction of Kinship in Late Imperial China_. Honolulu: University of Hawaii Press, 1990.
Watson, Rubie S., and Patricia Buckley Ebrey, eds. _Marriage and Inequality in Chinese Society_. Berkeley: University of California Press, 1991.
Wolf, Arthur P., and Chieh-shan Huang. _Marriage and Adoption in China, 1845-1945_. Stanford: Stanford University Press, 1980.
Wolf, Margery. _Women and the Family in Rural Taiwan_. Stanford: Stanford University Press, 1972.
Wolf, Margery, and Witke, Roxane, eds. _Women in Chinese Society_. Stanford: Stanford University Press, 1975.
### **
Traditional Social and Economic Organization**
Chesneaux, Jean, ed. _Popular Movements and Secret Societies in China, 1840-1950_. Stanford: Stanford University Press, 1972.
Eastman, Lloyd E. _Family, Fields, and Ancestors: Constancy and Change in China's Social and Economic History, 1550-1949_. New York: Oxford University Press, 1988.
Fei, Hsiao-tung, and Chang Chih-i. _Earthbound China: A Study of Rural Economy in Yunnan_. Chicago: University of Chicago Press, 1945.
Gamble, Sidney D. _Ting Hsien: A North China Rural Community_. New York: Institute of Pacific Relations, 1954.
Huang, Philip C. C. _The Peasant Economy and Social Change in North China_. Stanford: Stanford University Press, 1985.
\-----. _The Peasant Family and Rural Development in the Yangzi Delta, 1350-1988_. Stanford: Stanford University Press, 1990.
Kuhn, Philip A. _Rebellion and Its Enemies in Late Imperial China: Militarization and Social Structure, 1796-1864_. Cambridge, Mass.: Harvard University Press, 1970.
Meskill, Johanna Menzel. _A Chinese Pioneer Family: The Lins of Wu-feng, Taiwan, 1729-1895_. Princeton: Princeton University Press, 1978.
Myers, Ramon H. _The Chinese Peasant Economy: Agricultural Development in Hopei and Shantung, 1890-1949_. Cambridge, Mass.: Harvard University Press, 1970.
Naquin, Susan. _Millenarian Rebellion in China: The Eight Trigrams Uprising of 1813_. New Haven: Yale University Press, 1976.
\-----, and Evelyn S. Rawski. _Chinese Society in the Eighteenth Century_. New Haven: Yale University Press, 1987.
Perkins, Dwight H. _Agricultural Development in China, 1368-1968_. Chicago: Aldine, 1969.
Rawski, Evelyn Sakakida. _Education and Popular Literacy in Ch'ing China_. Ann Arbor: University of Michigan Press, 1978.
Rowe, William T. _Hankow: Commerce and Society in a Chinese City, 1796-1889_. Stanford: Stanford University Press, 1984.
\-----. _Hankow: Conflict and Community in a Chinese City, 1796-1895_. Stanford: Stanford University Press, 1989.
Skinner, G. William, ed. _The City in Late Traditional China_. Stanford: Stanford University Press, 1977.
Yang, Martin C. _A Chinese Village: Taitou, Shantung Province_. New York: Columbia University Press, 1945.
### **
Traditional Elites**
Beattie, Hilary J. _Land and Lineage in China: A Study of T'ung-Ch'eng County, Anhwei, in the Ming and Ch'ing Dyrnsties_. Cambridge, Mass.: Cambridge University Press, 1979.
Chaffee, John W. _The Thorny Gates of Learning in Sung China: A Social History of Examinations_. Cambridge: Cambridge University Press, 1985.
Chang, Chung-li. _The Chinese Gentry: Studies on Their Role in Nineteenth-Century Chinese Society_. Seattle: University of Washington Press, 1955.
Dardess, John W. _Confucianism and Autocracy: Professional Elites in the Founding of the Ming Dynasty_. Berkeley: University of California Press, 1983.
Ebrey, Patricia Buckley. _The Aristocratic Families of Early Imperial China: A Case Study of the Po-ling Ts'ui Family_. Cambridge: Cambridge University Press, 1978.
Fei, Hsiao-t'ung. _China's Gentry: Essays in Rural-Urban Relations_. Chicago: University of Chicago Press, 1953.
Ho, Ping-ti. _The Ladder of Success in Imperial China: Aspects of Social Mobility, 1368-1911_. New York: John Wiley, 1964 (originally published 1962).
Hung, William. _Tu Fu: China's Greatest Poet_. Cambridge, Mass.: Harvard University Press, 1952.
Hymes, Robert P. _Statesman and Gentlemen: The Elite of Fu-chou, Chiang-hsi in Northern and Southern Sung_. Cambridge: Cambridge University Press, 1986.
Liu, James T. C. _Ou-yang Hsiu: An Eleventh-Century Neo-Confucianist_. Stanford: Stanford University Press, 1967.
Waley, Arthur. _The Life and Times of Po Chu-i, 772-846 A.D._. London: George Allen & Unwin, 1949.
\-----. _Yuan Mei, Eighteenth Century Chinese Poet_. New York: Grove Press, 1956.
### **
Traditional Government**
Bodde, Derk, and Clarence Morris. _Law in Imperial China, Exemplfied by 190 Ch'ing Dynasty Cases, with Historical, Social, and Juridical Commentaries_. Cambridge, Mass.: Harvard University Press, 1967.
Ch'u, T'ung-tsu. _Law and Society in Traditional China_. Paris: Mouton, 1961.
\-----. _Local Government in China Under the Ch'ing_. Stanford: Stanford University Press, 1962.
Crossley, Pamela Kyle. _Orphan Warriors: Three Manchu Generations and the End of the Qing World_. Princeton: Princeton University Press, 1990.
Hsiao, Kung-chuan. _Rural China: Imperial Control in the Nineteenth Century_. Seattle: University of Washington Press, 1960.
Huang, Ray. 1587, _A Year of No Significance: The Ming Dynasty in Decline_. New Haven: Yale University Press, 1981.
Johnson, Wallace. _The T'ang Code: General Principles_. Princeton: Princeton University Press, 1979.
Kahn, Harold L. _Monarchy in the Emperor's Eyes: Image and Reality in the Ch'ien-lung Reign_. Cambridge, Mass.: Harvard University Press, 1971.
Perdue, Peter C. _Exhausting the Earth: State and Peasant in Hunan, 1500-1850_. Cambridge, Mass.: Harvard University Press, 1987.
Spence, Jonathan D. _Emperor of China: Self-Portrait of K'ang-hsi_. New York: Knopf, 1974.
\-----. _Ts'ao Yin and the K'ang-hsi Emperor: Bondservant and Master_. New Haven: Yale University Press, 1988.
van der Sprenkel, S. _Legal Institutions in Manchu China_. London: Athlone Press, 1962.
Wakeman, Frederic, Jr., and Carolyn Gant, eds. _Conflict and Control in Late Imperial China_. Berkeley: University of California Press, 1975.
Will, Pierre-Etienne. _Bureaucracy and Famine in Eighteenth-Century China. Trans. Elborg Forster_. Stanford: Stanford University Press, 1990.
Zelin, Madeline. _The Magistrate's Tael: Rationalizing Fiscal Reform in Eighteenth-Century Ch'ing China_. Berkeley: University of California Press, 1984.
### **
Modern Elites and Modern Revolutions**
Chen, Yung-fa. _Making Revolution: The Communist Movement in Eastern and Central China, 1937-1945_. Berkeley: University of California Press, 1986.
Chang Hao. _Chinese Intellectuals in Crisis: Search for Order and Meaning (1890-1911)_. Berkeley: University of California Press, 1987.
Chow, Tse-tsung. _The May Fourth Movement: Intellectual Revolution in Modern China_. Stanford: Stanford University Press, 1967 (originally published 1960).
Croll, Elisabeth. _Feminism and Socialism in China_. London: Routledge and Kegan Paul, 1978.
Eastman, Lloyd E. _The Abortive Revolution: China Under Nationalist Rule, 1927-1937_. Cambridge, Mass.: Harvard University Press, 1974.
Esherick, Joseph W. _Reform and Revolution in China: The 1911 Revolution in Hunan and Hubei_. Berkeley: University of California Press, 1976.
\-----. _The Origins of the Boxer Uprising_. Berkeley: University of California Press, 1987.
\-----, and Mary Backus Rankin, eds. _Chinese Local Elites and Patterns of Dominance_. Berkeley: University of California Press, 1990.
Grieder, Jerome B. _Intellectuals and the State in Modern China_. New York: Free Press,
Hofheinz, Roy, Jr. _The Broken Wave: The Chinese Communist Peasant Movement, 1922-1928_. Cambridge, Mass.: Harvard University Press, 1977.
Johnson, Chalmers A. _Peasant Nationalism and Communist Power: The Emergence of Revolutionary China, 1937-1945_. Stanford: Stanford University Press, 1962.
Lee, Leo Ou-fan. _The Romantic Generation of Modern Chinese Writers_. Cambridge, Mass.: Harvard University Press, 1973.
Levenson, Joseph R. _Liang Ch'i-ch'ao and the Mind of Modern China_. Berkeley: University of California Press, 1967 (originally published 1953).
Nathan, Andrew J. _Chinese Democracy_. Berkeley: University of California Press, 1985.
Perry, Elizabeth J. _Rebels and Revolutionaries in North China, 1845-1945_. Stanford: Stanford University Press, 1980.
Rankin, Mary Backus. _Early Chinese Revolutionaries: Radical Intellectuals in Shanghai and Chekiang, 1902-1911_. Cambridge, Mass.: Harvard University Press, 1971.
Schiffrin, Harold Z. _Sun Yat-sen and the Origins of the Chinese Revolution_. Berkeley: University of California Press, 1970.
Schram, Stuart. _Mao Tse-tung_. Baltimore: Penguin, 1966.
Schwartz, Benjamin. _In Search of Wealth and Power: Yen Fu and the West_. Cambridge, Mass.: Harvard University Press, 1964.
Schwarcz, Vera. _The Chinese Enlightment: Intellectuals and the Legacy of the May Fourth Movement of 1919_. Berkeley: University of California Press, 1986.
Spence, Jonathan D. _The Gate of Heavenly Peace: The Chinese and Their Revolution, 1895-1980_. New York: The Viking Press, 1981.
Snow, Edgar. _Red Star Over China_. New York: Modern Library, 1938.
Wasserstrom, Jeffrey N.> _Student Protests in Twentieth-Century China: The View from Shanghai_. Stanford: Stanford University Press, 1991.
Wright, Mary Clabaugh, ed. _China in Revolution: The First Phase, 1900-1913_. New Haven: Yale University Press, 1968.
### **
State and Society in the PRC**
Bannister, Judith. _China's Changing Population_. Stanford: Stanford University Press, 1987.
Belden, Jack. _China Shakes the World_. New York: Monthly Review Press, 1970 (originally published 1949).
Bennett, Gordon A., and Ronald N. Montaperto. _Red Guard_. New York: Viking Press, 1972.
Burns, John P. _Political Participation in Rural China_. Berkeley: University of California Press, 1988.
Chan, Anita, Richard Madsen, and Jonathan Unger. _Chen Village: The Recent History of a Peasant Community in Mao's China_. Berkeley: University of California Press, 1984.
Chang, Jung. _Wild Swans: Three Daughters of China_. New York: Simon and Schuster, 1991.
Davis-Friedmann, Deborah. _Long Lives: Chinese Elderly and the Communist Revolution_. Rev. ed. Stanford: Stanford University Press, 1991.
Frolic, B. Michael. _Mao's People: Sixteen Portraits of Life in Revolutionary China_. Cambridge, Mass.: Harvard University Press, 1980.
Gao Yuan. _Born Red: A Chronicle of the Cultural Revolution_. Stanford: Stanford University Press, 1987.
Goldman, Merle. _Literary Dissent in Communist China_. Cambridge, Mass.: Harvard University Press, 1967.
Hinton, Willima. _Fanshen: A Documentary of Revolution in a Chinese Village_. New York: Monthly Review Press, 1966.
Honig, Emily and Gail Hershatter. _Personal Voices: Chinese Women in the 1980's_. Stanford: Stanford University Press, 1988.
Huang, Shu-min. _The Spiral Road: Change in a Chinese Village Through the Eyes of a Communist Party Leader_. Boulder: Westview Press, 1989.
Lull, James. _China Turned On: Television, Reform, and Resistance_ London: Routledge, 1991.
Madsen, Richard. _Morality and Power in a Chinese Village_. Berkeley: University of California Press, 1984.
Myrdal, Jan. _Report from a Chinese Village_. New York: New American Library, 1965.
Parish, William, and Martin Whyte. _Village and Family in Contemporary China_. Chicago: University of Chicago Press, 1978.
Oi, Jean C. _State and Peasant in Contemporary China: The Political Economy of Village Government_. Berkeley: University of California Press, 1989.
Schell, Orville. _Discos and Democracy: China in the Throes of Reform_. New York: Anchor Books, 1989.
Shue, Vivienne. _Peasant China in Transition: The Dynamics of the Development Toward Socialism, 1949-1956_. Berkeley: University of California Press, 1980.
Sui, Helen F. _Agents and Victims in South China: Accomplices in Rural Revolution_. New Haven: Yale University Press, 1989.
Thurston, Anne F. _Enemies of the People: The Ordeal of the Intellectuals in China's Great Cultural Revolution_. Cambridge, Mass.: Harvard University Press, 1988.
Vogel, Ezra. _Canton Under Communism: Programs in a Provincial Capital, 1949-1968_. Cambridge, Mass.: Harvard University Press, 1969 (paperback: Harper Torchbooks).
\-----. _One Step Ahead in China: Guangdong Under Reform_. Cambridge, Mass.: Harvard University Press, 1989.
Walder, Andrew G. _Communist Neo-Traditionalism: Work and Authority in Chinese Industry_. Berkeley: University of California Press, 1986.
Wolf, Margery. _Revolution Postponed: Women in Contemporary China_. Stanford: Stanford University Press, 1985.
## **
ORIGINAL SOURCES**
1. Guo Moruo, ed., Hu Houxuan, ed.-in-chief, _Jiaguwen heji,_ 13 vols. (N.p.: Zhonghua shuju, 1978-82), nos. 6647, 6409, 6473, 11497, 9950,13646, 14002, 12883, 776, 14206, 6459, 838, 14198, 10084, 12616, 37380, 39393. The inscriptions translated here are treated more fully in David N. Keightley, "Shang Oracle-Bone Inscriptions," in Edward L. Shaughnessy, ed., _Paleographic Sources of Early China_ (Hong Kong: Chinese University Press, 1993).
2. _Shangshu_ (Sibu beiyao ed.), 7:7b-10a. This book is also available in complete translation. See James Legge, trans., _The Chinese Classics_ (Hong Kong: Hong Kong University Press, 1961 [reprint of 1893-95 ed.]), III, or Bernhard Karlgren, trans., "The Book of Documents," Bulletin of the Museum of Far Eastern Antiquities 22 (1950): 1-81.
3. _Zhouyi_ (Shisanjing zhushu ed.), 111a-28a. This book is also available in complete translation. See Richard Wilhelm, trans., _The I Ching or Book of Changes_ (Princeton: Princeton University Press, 1967).
4. Shijing, Mao numbers 76, 153, 178, and 234. For complete translations, see Arthur Waley, trans., The Book of Songs (London: George Allen and Unwin, 1937), or Bernard Karlgren, _The Book of Odes_ (Stockholm: Museum of Far Eastern Antiquities, 1950).
5. _Chunqiu jing zhuan jijie_ (Sibu beiyao ed.), 11/8b-12a. The Zuo Chronicle is translated in the notes of Legge's translation of the Spring and Autumn Annals in The Chinese Classics, V.
6. Part 1, _Lunyu,_ 2.3, 3.19, 12.7, 12.19, 13.2, 13.13, 13.15, 14.44, 15.5, 15:31, 1:14, 2:13, 12:4, 16:18, 16:7, 4:16, 15:17, 5:15, 16:10, 13:25, 13:23, 14:24, 15:20, 15:18, 15:19, 15:22, 13:26, 19:9, 1:8, 19:21, 17:24, 14:28, 2:12, 17:6, 12:2, 12:3, 1:3, 13:27, 6:21, 3:3, 4:1, 15:34, 4:5, 15:8, 15:35, 7:29, 15:9, 4:3, 4:7, 14:5, 14:7, 2:7, 1:11, 19:18, 2:5, 4:19, 4:21, 4:18, 13:18. For a complete translation of this book, see Arthur Waley, trans., The Analects of Confucius (London: George Allen and Unwin, 1938), or D. C. Lau, _The Analects_ (New York: Penguin Books, 1979). Part 2, _Mengzi_ 1A:1, 1A:6, 1B:2, 1B:12, 1B:8, 5B:9, 6B:10, 2A:6, _6A_ :2. For a full translation, see D. C. Lau, _Mencius_ (New York: Penguin Books, 1970). Part 3, Wang Xianqian, _Xunzi jijie_ (Taibei: Shijie shuju, 1978), 11:205, 207-8, 211, 13:231, 249-50, 289-90, 291, 299-300. For translations of lengthy parts of Xunzi, see John Knoblock, _Xunzi: A Translation and Study of the Complete Works,_ 2 vols. to date (Stanford: Stanford University Press, 1988, 1990), or Burton Watson, trans., _Basic Writings of Mo Tzu, Hsün Tzu, and Han Fei Tzu (New York: Columbia University Press,_ 1967).
7. Part 1, Jiang Xichang, _Laozi jiaogu_ (Taibei: Dongsheng chubanshe, 1980), pp. 2-26, 33-48, 214-19, 235-39, 396-400, 459-63. For complete translations, see D. C. Lau, trans., Tao Te Ching (Hong Kong: Chinese University Press, 1982) or Victor H. Mair, trans. (New York: Bantam Books, 1990). Part 2, _Zhuangzi_ (Baizi quanshu ed.) 1 (1:2a)2(1:3a,4a-b),3(1:5a),4(1:7b),7(1:12b), 13 (2:10a-b), 18 (2:16b-17a), 32 (3:19a). For lengthy translations, see A. C. Graham, trans., Chuang Tzu: The Inner Chapters (London: George Allen and Unwin, 1981) or Burton Watson, trans., _The Complete Works of Chuang Tzu_ (New York: Columbia University Press, 1968).
8. Part 1, Shangzi (Baizi quanshu ed.) 1:1a-b. Part 2, _Han Feizi_ (Baizi quanshu ed.) 17 (5:2b), 52 (20:2a-b); 48 (18:1a-b); 50 (19:5b-6a). Complete translations are available for both these books. See J.J.L. Duyvendak, trans., _The Book of Lord Shang_ (London: Probsthain, 1928) and W. K. Liao, _The Complete Works of Han Fei Tzu,_ 2 vols. (London: Probsthain, 1939 and 1959).
9. _Zhanguo ce_ (Shanghai: Shanghai guji chubanshe, 1978), 18:579-99, 27:993-999. For a full translation, see J. I. Crump, Jr., _Chan-Kuo Ts'e_ (Oxford: Clarendon Press, 1970).
10. Yili zhengzhu (Taibei, 1972 reprint), juan 3. See also the complete translation by John Steele, _The I-li_ (London: Probsthain, 1917).
11. Shuihudi Qinmu zhujian hengli xiaozu, ed., _Shuihudi Qinmu zhujian_ (Beijing: Wenwu, 1978.), 49-53, 67-68, 76-80, 84-90, 93-94, 150-54, 173, 181, 201-2, 204-5, 223. A thorough, scholarly translation of these texts is available, A. F. P. Hulsewé, _Remnants of Ch'in Law_ (Leiden: E. J. Brill, 1985), and was relied on here.
12. _Shiji_ (Beijing: Zhonghua shuju, 1962), 116:2991, 123:3160, 110:2879, 2890-92. Much of this history is translated in Burton Watson, trans., _Records of the Grand Historian of China,_ 2 vols. (New York: Columbia University Press, 1961).
13. Dong Zhongshu, _Chunqiu fanlu zhu_ (Taibei: Shijie shuju, 1962), 6:13a, 13:1b-2a, 11:6b-7a (pp. 135, 262-63,290-3).
14. Huan Kuan, _Yantie lun jiaozhu_ (Taibei: Shijie shuju ed., 1970), 1:1-11. See also the complete translation by Esson M. Gale, _Discourses on Salt and Iron_ (Leiden: E. J. Brill, 1931) and Journal of the North China Branch of the Royal Asiatic Society 65 (1934):73-110.
15. _Xiaojing_ (Shisanjing zhushu ed.). The couplets from the Book of Songs which end many of the sections have been omitted. For another translation of this work, see Mary Leslie Makra, trans., _The Hsiao Ching_ (New York: St. John's University Press, 1961).
16. Wang Fu, _Qianfu lun_ (Congshu jicheng ed.) 8:195-208. Lengthy excerpts (but not this section) of Wang Fu's work are translated in Margaret J. Pearson, _Wang Fu and the Comments of a Recluse_ (Tempe, Ariz.: Center for Asian Studies, 1989).
17. Part 1, Liu Xiang, _Lienü zhuan_ (Taibei, 1971 reprint of Ming illustrated edition), 3:33b-35a. Part 2, Fan Ye, _Hou-Han shu_ (Beijing: Zhonghua shuju, 1963), 28B:1003-4 commentary. Part 3, _Nüjie_ (Gujin tushu jicheng ed., ce 395) The _Lienü zhuan_ has been translated by Albert R. O'Hara, _The Position of Woman in Early China, According to the Lieh Nü Chuan, "The Biographies of Chinese Women,"_ (Washington, D.C.: Catholic University, 1945). The _Nüjie_ is translated in full in Nancy Lee Swann, _Pan Chao: Foremost Woman Scholar of China_ (New York: Century, 1932).
18. _Huangdi neijing suwen,_ 5, in Daozang (Taibei: Yiwen yinshuguan reprint.) This book has been translated by Ilza Veith, _The Yellow Emperor's Classic of Internal Medicine_ (Baltimore: Williams and Wilkins, 1949).
19. Yan Kejun, ed. _Quan Hou-Han wen,_ in Quan Shanggu Qin-Han Sanguo Liuchao wen (Taibei: Shijie shuju reprint), 75:3a-b; 98:2a-b; 102:4b5b.
20. Part 1, _Hou-Han shu_ (Beijing: Zhonghua shuju, 1963), 71:2299-2300. Part 2, Chen Shou, _Sanguo zhi_ (Bejing: Zhonghua shuju), 8:264 commentary. Part 3, Chang Ju, _Huayang guozhi_ (Congshu jicheng ed.), 2:16-17.
21. Ge Hong, _Baopuzi_ (Sibu beiyao ed.), 50:2a-8a. Another translation of this piece is found in James Ware, _Alchemy, Medicine, and Religion in China of A.D. 320_ (Cambridge: MIT University Press, 1966), pp. 6-21.
22. Part 1 from _Weishu_ (Beijing: Zhonghua shuju, 1974). Full translations of this text are found in James R. Ware, "Wei Shou on Buddhism," T'oung Pao 30 (1933), 100-81 and Leon Hurvitz, "Wei Shou, Treatise on Buddhism and Taoism," in Yünkang, the Buddhist Cave-Temples of the Fifth Century A.D. in North China, vol. 16 supplement (Kyoto: Jimbunkagaku kenkyüjo, 1956). Part 2, _Dazangjing,_ vol. 50, p. 351, 394-95. Part 3, Stein 4528, 4366, 1910, 3935, 1177. Texts reproduced in Lionel Giles, "Dated Chinese Manuscripts in the Stein Collection," Bulletin of the School of Oriental and African Languages 7 (1935): 820, 826, 830; 9 (1937): 8, 1044. Part 4, Pelliot 3821. Text reproduced in Jao Tsung-yi and Paul Demieville, _Airs de Touen-houng_ (Paris: Editions du Centre National de la Recherche Scientifique, 1971), plates 68-69.
23. Gan Bao, _Soushen ji_ (Beijing: Zhonghua shuju, 1979), 194-95, 203-4, 210-11.
24. Part 1, Fan Xiangyong, _Loyang jielan ji jiaozhu_ (Shanghai: Shanghai guji chubanshe, 1958), 2:117-18. Part 2, Yan Zhitui, _Yanshi jiaxun jijie_ (Taibei: Wenmingshuju, 1982), 60-62, 85, 87, 91, 100-2, 259. Complete translations of both these books are available. See W. F. J. Jenner, _Memories of Loyang: Yang Hsüan-chih and the Lost Capital (493-534)_ (Oxford: Clarendon Press, 1981) and Teng Ssu-yü, _Family Instructions for the Yen Clan (Yen-shih chia-hsün),_ by Yen Chih-t'ui (Leiden: E. J. Brill, 1968).
25. Tang Taizong, _Difan_ (Congshu jicheng ed.), 1:1a-4:43.
26. _Tanglü shuyi_ (Guoxue jiben congshu ed.) 19:6320:70, 13:112-113. Jiu-Tang shu (Beijing: Zhonghua shuju, 1975) 79:2723-26.
28. _Quan Tang shi_ (Beijing: Zhonghua shuju, 1960), 87:962, 890:10050; Zheng Chuhui, Minghuang zalu (Tangdai congshu ed.) 8a-9a. These and other related pieces are translated with copious notes in Paul W. Kroll, "The Dancing Horses of T'ang," T'oungPao 67 (1981), 240-68.
29. Part 1, Ikeda On, _Chūgoku kodai sekichō kenkyū_ (Tokyo, 1979), pp. 195-196, 198. Part 2, Niida Noboru, _Tōsō hōritsu bunsho no kinkyū_ (Tokyo: Daian, 1967 reprint of 1937 ed.), plate 4. Part 3, _Dunhuang wenwu yanjiusuo ziliao shi,_ "Cong yijian nubei maimai wenshu kan Tangdai di jieji yanpo," Wenwu, 1972:12, 68-71. Part 4 and 5, Niida Noboru, _Chūgoku hōoseishi kenkyūu: dorei, nōdohō, kazoku, sonrakuhō_ (Tokyo: Tokyo daigaku Tōy ō bunka kenkyūjū, 1962), pp. 30-31, 570-576.
30. Wang Dingbao, _Tang zhiyan_ (Taibei: Shijie shuju ed.), 3:29-30, 40; 4:47; 8:87, 89; 9:94, 95; 11:125
31. Ono Katsutoshi, _Nittō guhō junrei kōki no kenkyu_ (Tokyo: Suzuki gakujutsu zaidan, 1969), 2:418-5:81. For a complete translation of this diary, see _Ennin's Diary: Record of a Pilgrimage to China in Search of the Law,_ trans. Edwin O. Reischauer (New York: Ronald Press, 1955).
32. E. I. Kychanov, "'Krupinki zolota na ladoni'—posobie dlia izucheniia tangutskoi pis'mennosti," Zhanry i stili literatur Kitaia i Korei (Moscow, 1969), 213-22; E. I. Kychanov, _Vnov' cobrannye dragotsennye parnye izrecheniia_ (Moscow: Nauka, 1974), pp. 8, 33, 351, 158, 31, 43, 132, 146, 152, 155, 172, 245, 256, 261, 277, 278, 290, 313, 337, 349; Songshi (Beijing: Zhonghua shuju, 1977), 485:13995-96 and _Xu zizhi tongjian changbian_ (Taibei: Shijie shuju, 1961), 123:2a; Gule Maocai, _Fan Han heshi zhang zhong shu_ (Yinchuan: Ningxia renmin chubanshe, 1989), preface.
33. _Taishang ganying bian jian zhu_ (Kyoto: Chūmon, 1970 ed.). This book has been translated several times, including James Webster, _The Kan Ying Pien, Book of Rewards and Punishments_ (Shanghai: Presbyterian Mission Press, 1918).
34. "Chongyang lijiao shiwu lun," in Daozang (Taibei: Yiwen yinshuguan reprint).
35. _Sima Wenzheng gong chuanjiaji_ (Guoxue jiben congshu ed.), 42:543-45, 60:719-25; _Wang Linchuan quanji_ (Taibei: Shijie shuju, 1966), 463-64.
36. Fan Zhongyan, _Fan Wenzheng gong ji_ (Sibu congkan ed.), Addendum, lb—3b. These rules plus all of the amendments have been translated by Denis Twitchett in his "Documents of Clan Administration, I," Asia Major 8 (1960):1-35.
37. Reproduced by permission of Princeton University Press from _Chu Hsi's Family Rituals: A Twelfth-Century Manual for the Performance of Cappings, Weddings, Funerals, and Ancestral Rites,_ trans. Patricia Buckley Ebrey (Princeton: Princeton University Press, 1991), pp. 155-66.
38. Part 1, Hong Mai, _Yijian zhi_ (Beijing: Zhonghua shuju, 1981), pp. 746-47, 484-85, 1554-55. Part 2, Yuan Cai, _Yuan shi shifan_ (Congshu jicheng ed.), 1:17-21, 3:55-56. Yuan Cai's book has been translated in full by Patricia Buckley Ebrey in _Family and Property in Sung China: Yüan Ts'ai's_ "Precepts for Social Life" (Princeton: Princeton University Press, 1984).
39. Gong Baoan, _Songci sanbai shou jinyi_ (Xi'an: Shanxi renmin chubanshe, 1988), 238, 257, 267-68, 273, 348, 369.
40. _Zhuzi yulei_ (Beijing: Zhonghua shuju, 1986), 4:, 6:99, 9:152, 11:180, 12:211, 213, 13:246, 20:464, 63:1551-52, 89:2274-75, 2287, 2281, 103:2602, 113:2753, 2748, 114:2768, 121:2946, 2947, 126:3012.
41. "Duzheng jisheng," in Dongjing menghua lu, wai si zhong (Shanghai: Zhonghua shuju, 1962 ), pp. 91-101.
42. Zhen Dexiu, _Zhen Xishan ji_ (Congshu jicheng ed.), 7:114-115.
43. Chen Pu, _Nongshu_ (Congshu jicheng ed.), pp. 1-10.
44. Hu Zhiyu, _Zishan daquanji_ (Siku quanshu ed.) 15:19a-22b.
45. Cheng Duanli, _Dushu fennian richeng_ (Tanggui caotang congshu, 1864), preface, la-12b.
46. Guo Bi, _Yunshan riji_ in Zhu Wen and Ruan Wuming, ed., Song Yuan di riji xuan (Hong Kong: Taipingyang, 1957), pp. 112-115.
47. Ming Taizu, _Da gao,_ (Huang Ming zhishu ed.), 1:43 (pp. 45-46), 2:74 (pp. 217-220).
48. Yang Sichang, "Wuling jingdu lüe," (Shuofu xu ed.), la-13b. This essay is also translated in full by Chao Wei-pang, "The Dragon Boat Race in Wuling, Hunan," Folklore Studies 2 (1943): 1-18.
49. Quoted in Niida, _Chūgoku hūseishi kenkyū: dorei, nōdohō, kazoku, sonrakuhō,_ (Tokyo: Tokyo daigaku Tōyō bunka kenkyūjo, 1962), pp. 763, 773, 781-782.
50. Part 1 quoted in Niida, _Chūgoku hōseishi kenkyū: dorei, nōdohō, kazoku, sonrakuhō,_ pp. 806-811. Part 2, Zhang Han, _Songchuang meng yu_ (1896 ed.) 4:16b-24a. Part 3, Wang Daokun, _Taihan fumo_ (1633 ed.), 13:21a-23b, 30a-33a.
51. Xu Yikui, _Shifeng gao,_ in Wulin wangzhe yizhu (1894ed.), 2:3a-4a.
52. Fu Yiling, " _Mingdai Huizhou zhuangpu wenyue jicun,"_ Wenwu, 1960:2: 11-13; Ji Liuqi, _Mingji nanlüe_ (Taiwan wenxian congkan ed.), 9:266.
53. Shuihu zhuan (Taibei, 1972 ed.), 1:18-2:30. This novel has been translated in full by Pearl S. Buck, _All Men Are Brothers_ (New York: John Day, 1933).
54. Quoted in Taga Akigoro, _Sōfuku no kenkyū_ (Tokyo: Tōyō bunko, 1960), pp. 604-608.
55. Part 1, Taoan mengyi (Biji xiaoshuo daguan ed.), 5:12b-14a. Part 2, Mao Xiang, _Yingmeian yiyu_ (Taibei: Shijie shuju, 1959), pp. 4-6. For a complete translation, see _The Reminiscences of Tung Hsiao-wan,_ by Mao P'i-chiang, trans. Pan Tze-yen (Shanghai: The Commercial Press, 1931), pp. 16-29. Part 3, _Jin Ping Mei cihua_ (Tokyo: Daian, 1963 reprint of Ming, Wanli ed.), juan 2 (round 11), pp. 229-241. This novel has been translated in full by Clement Egerton, _The Golden Lotus,_ I-IV (London: Routledge, 1939).
56. Fuzhou fuzhi (1754 ed.) 68:17b-23b.
57. Part 1, Chen Rungjie, _Wang Yangming Quanxilu xiangzhu jiping_ (Taibei: Xuesheng shuju, 1983), pp. 291, 292-93, 297, 357. For a full translation, see Instructions for Practical Living and Other Neo-Confucian Writings by Wang Yang-ming, trans. by Wing-tsit Chan (New York: Columbia University Press, 1963). Part 2, Li Zhi, _Fenshu xufenshu_ (Beijing: Zhonghua shuju, 1975), pp. 29-31, 45-46, 52-53, 140-141, 101-102.
58. Yang Lien, _Yang Dahong xiansheng wenji_ (Congshu jicheng ed.), 1-7.
59. Wang Xiuchu, _Yangzhou shiriji_ (Shanghai: Shanghai shudian, 1982), pp. 229-68.
60. Retranslated from the texts collected by W. Scarborough, _A Collection of Chinese Proverbs_ (Changsha, 1926), and Cifford H. Plopper, _Chinese Religion Seen Through the Proverb_ (Shanghai, 1926).
61. Ye Mengzhu, _Yue shi bian,_ 6:1a-5a, 12a-19a, in Shanghai zhanggu congshu (Shanghai: Zhonghua shuju, 1936).
62. Zhang Ying, _Hengchan suoyan_ (Congshu jicheng ed.), pp. 1-9. This essay is translated in full in Hilary J. Beattie, _Land and Lineage in China_ (Cambridge: Cambridge University Press, 1979), pp. 140-151.
63. Lan Dingyuan, _Luzhou gong'an_ (1881 ed.), 2:11a-14a, 1:14a-16b.
64. Wang Youpu, _Shengyu guangxun yan,_ 9, in Wang Jieshan xiansheng quanji.
65. Part 1, Chūgoku nōson kankō chōsa kankōkai, _Chūgoku nōson kankō chōsa_ (Tokyo: Iwanami shoten, 1958), 6:268. Part 2, Imahori Seiji, "Shindai ni okeru sonraku kyōdotai," Rekishi kyōiku. 13:9 (1965), 38-51 (document, p. 50).
66. From Wu Jingzi, _The Scholars,_ trans. by Yang Hsien-yi and Gladys Yang (Beijing: Foreign Languages Press, 1957), with the romanization converted from Wade-Giles to pinyin.
67. _Gaoyang xianzhi_ (1826 ed.), 21:36a-b.
68. Translation adapted from that in China Repository 15 (1846):46-51.
69. Wu Yun, _Deyi lu_ (Taibei: Huawen shuju, 1969 reprint of 1869 ed.), 2:la-6a.
70. Sasaki Masaya, _Shinmatsu no himitu kessha, shiryō hen_ (Tokyo: Kindai Chūgoku kenkyū i-inkai, 1967), pp. 246-248, 1-2, 17-19.
71. Jiangsusheng Bowuguan, _Jiangsusheng Ming Qing yilai beike ziliao xuanji_ (Beijing: Sanlian shudian, 1959), pp. 14-15; _Yangwu yundong_ (Shanghai: Renmin chubanshe, 1957), pp. 404-406.
72. Quoted in Makino Tatsumi, _Kinsei Chūgoku sōzoku kenkyū_ (Tokyo: Ocha-no-mizu shobo, 1949), pp. 71-73.
73. R. David Arkush and Leo O. Lee, trans. and ed., _Land Without Ghosts: Chinese Impressions of America from the Mid-Nineteenth Century to the Present._ (Berkeley: University of California Press, 1989), pp. 84-95. Reproduced with permission of the publisher.
74. Part 1 and 2, Li Youning and Zhang Yufa, _Jindai Zhongguo nüquan yundong shiliao, 1842-1911_ (Taibei: Zhuanji wenxue she, 1975), pp. 577-580, 423-424. Part 3, _Yunnan zazhi,_ July 7, 1907, quoted in Yunnan zazhi xuanji (Beijing: Kexue chubanshe, 1958). Part 4, Hu Huaican, "Shifang beinü yi," Funü zazhi 6 (Jan. 1920): 1-4.
75. Yu Ziyi, "Ershi nian qian xiangcun xuexiao shenghuoli di wo," Jiaoyu zazhi 19 (Dec. 20, 1927): 30533-30545.
76. From Selected Stories of Lu Hsun, trans. by Yang Hsien-i and Gladys Yang (Peking: Foreign Languages Press, 1960), with romanization converted into pinyin.
77. Adapted from the translation by Liu Xiaohong in _Women of China,_ May 1989, pp. 40-43.
78. _Diyi ci guonei geming zhanzheng shiqi di nongmin yundong_ (Zhongguo xiandaishiziliaocongkan, Beijing, 1953), pp. 51-70. Peng Pai's report has been translated in full by Donald Holoch, _Seeds of Peasant Revolution: Report on the Haifeng Peasant Movement_ (Ithaca: Cornell University China-Japan Program, 1973).
79. Gong Yao et al., "Huoguo yangmin tanwu canbao zhi Zhang Zongchang," Yijing 6 (May 20, 1936): 316-320.
80. _Diyi ci guonei geming zhanzbeng shiqi di gongren yundong_ (Zhongguo xiandaishi ziliao congkan, Beijing, 1954), pp. 450-466.
81. Gu Jiegang, "Liangge chubin di daozizhang," reprinted in Gu Jiegang and Liu Wanzhang, Su Yue di hunsang (Zhongshan daxue minsu congshu, 1928-29), pp. 30-43.
82. Zhu Ziqing, Zhu Ziqing wenji (Beijing: Kaiming shudian, 1959), pp. 197-204.
83. Liu Xu, "Beiping di qigai shenghuo," reprinted in Li Jiarui, ed., Beiping fengsu leicheng (Shanghai: Commercial Press, 1939), pp. 405-408.
84. Trans. adapted from _President Chiang Kai-shek's Selected Speeches and Messages, 1937-1945_ (Taipei: China Cultural Service, n.d.), pp. 84-105, 262-70.
85. Trans. adapted from _Selected Works of Liu Shaoqi,_ vol. 1 (Beijing: Foreign Languages Press, 1984), pp. 74-81.
86. Adapted from Ting Ling, _The Sun Shines over the Sangkan River,_ trans, by Yang Hsien-yi and Gladys Yang (Beijing: Foreign Languages Press, 1954), pp. 203-217.
87. Renmin ribao, May 13, 1955; May 24, 1955; June 10, 1955; _Selected Works of Mao Tsetung,_ Volume 5 (Peking: Foreign Languages Press, 1977), pp. 176-78; Current Background 897 (Dec. 10, 1969): 14, 15, 32.
88. Wang Meng, "Zuzhibu xinlai di qingnian ren," Renmin wenxue, Sept. 1956. Trans. adapted from _Current Background_ 459 (June 28, 1957): 1-32.
89. Trans. adapted from _Memoirs of a Chinese Marshal—The Autobiographical Notes of Peng Dehuai (1898-1974),_ trans. Zheng Longpu (Beijing: Foriegn Languages Press, 1984), pp. 510-20.
90. Renmin ribao, Dec. 14, 1965. Trans. adapted from _Selections from the China Mainland Press_ (hereafter SCMP) 3609 (Jan. 4, 1966).
91. Trans. adapted from Chen Kuangsheng, _Lei Feng, Chairman Mao's Good Fighter_ (Beijing: Foreign Languages Press, 1968), pp. 14-16, 60-64, 71, 75-76.
92. _Xinmin wanbao_ (Nov. 2, 1965). Trans. adapted from Union Research Service 43 (Apr. 12, 1966): 57-59.
93. Part 1, New China News Agency release, Nov. 11, 1966, quoting Hongqi; trans. adapted from SCMP 3822 (Nov. 17, 1966): 27-28. Part 2, _Yangcheng wanbao,_ Aug. 25, 1966; trans. adapted from SCMP 3774 (Sept. 6, 1966): 19-20. Part 3, New China News Agency release, Nov. 19, 1966; trans. adapted from SCMP 3827 (Nov. 25, 1966): 19-23. Part 4, Dongfang hong, Sept. 21, 1967; trans. adapted from SCMP 4087 (Dec. 27, 1967): 1-3.
94. Translation adapted from Liu Xinwu, Wang Meng, and Others, _Prize-Winning Stories from China 1978-79_ (Beijing: Foreign Languages Press, 1981).
95. Part 1, "The Correct Handling of Love, Marriage, and Family Problems," _Chinese Sociology and Anthropology_ 1:3 (Spring 1969): 17-21; reprinted by permission of M. E. Sharpe, Inc. Part 2, _Nanfang ribao_ Feb. 8, 1975; trans. adapted from Union Research Service 79 (May 13, 1975): 148-51. Part 3, "Come, Let Us Talk of Love," _Chinese Sociology and Anthropology,_ Winter 1981-82, pp. 7-10, reproduced by permission of M. E. Sharpe, Inc. Part 4, _Women of China,_ Nov. 1989, pp. 1-5.
96. Part 1, _Sichuan Daily,_ July 4, 1987, trans. adapted from JPRS Report-China September 8, 1987. Part 2, Nü qingnian 7 (1986): 29-30, trans. from _Chinese Sociology and Anthropology_ 20:3 (Spring 1988), pp. 93 and 98-100, reproduced by permission of M. E. Sharpe, Inc.
97. Part 1, _Zhongguo funü bao,_ Feb. 27, 1985, p. 1; translation from _Chinese Sociology and Anthropology_ 20 (Fall 1987): 65-66. Part 2, Funü gongzuo 4 (1987): 9-10; trans. from _Chinese Sociology and Anthropology_ 21:3 (Spring 1989): 41-44. Part 3, _Zhongguo funü,_ January 1988, pp. 6-7; translation from Chinese Education 25:1 (Spring 1992): 70-74. The last three reproduced by permission of M. E. Sharpe, Inc. Part 4, China Daily, June 1, 1989.
98. Part 1, _Chinese Literature,_ Spring 1986, pp. 35-43. Part 2, Federal Broadcast Information Service-China, March 24, 1989, pp. 55-57.
99. Han Minzhu, ed. _Cries for Democracy: Writings and Speeches from the 1989 Chinese Democracy Movement_ (Princeton: Princeton University Press, 1990), pp. 41-42, 75-76, 82-83, 105-7, 234-36. Reproduced by permission of the publisher.
100. _Renmin ribao_ March 2, 1990, p. 6; trans. adapted from Federal Broadcast Information Service-China, March 8, 1990, pp. 24-28.
## **INDEX**
_For broad topics, see_ Contents According to Topics, pp. xv–xvii.
Admonitions for Women, selections from, –76
Adoption, ,
Agriculture, , –13, –63, –91, –25, , –21, –41, –89
Amitabha Buddha,
_Analects,_ selections from, –22
quotations from,
Ancestral rites, –5, –7, , –63, –44, , –29
Anger, ,
Anhui province, selections relating to, –25, –29
Arkush, R. David, translation by, –40
Artisans, , –22
Autobiographical writings, –96, –49, –96, –40, –53, –63, –72, –95;
_see also_ Diaries; Letters
Ban Zhao, selections by, –76
Bandits, –85, –37, , –22,
Barbarians, –55, –41; see also Non–Chinese
Beggars, –85, –400
Beijing, city of, –400
Biographies, –102, –94, –20
_Biographies of Heroic Women,_ selections from, –74
Birth, , –81
Birth control, –17, –81
Boats, , –10
_Book of Changes_
quotations from, ,
selections from, –10
_Book of Documents,_ selections from, –7
_Book of Etiquette and Ritual,_ selections from, –45
_Book of Lord Shang,_ selections from, –33
_Book of Rewards and Punishments,_ selections from, –145
_Book of Rites,_ quotations from,
_Book of Songs_
quotations from, , , , ,
selections from, –13
Books, ,
Bribes,
Buddhism and Buddhists, , –104, –36, –45, , , –62, –96,
Bureaucracy, –15, –54, –207, –66, –96, –34;
_see also_ Officials; Rulers
Burial, –22,
Cadres, –15, , –34, –41
Calligraphy, –201
Censors, –66
Censorship, –28
Ceremony, –300;
_see also_ Ancestral rites; Ritual
Chen, Jane, translations by, –25, –53, –48
Chen Liang, selection by,
Chen Pu, selection by, –91
Cheng Duanli, selection by, –98
Chiang Kaishek: _see_ Jiang Jieshi
Children, , –17, –59, –95, , –81, –84
_Chronicle of the Three Kingdoms,_ selections from, –85
Chu, state of, –16
_Chunqiu Fanlu,_ selections from, –59
City life, –85, –91, –400, –48, –95
Civil service examinations, , –31, , –308
Clark, Lucie, translation by, –104
Class consciousness, –46
_Classic of Filial Piety,_ 64–68
quotations from, –121
Clubs, –183
Cohen, Don, translation by, –93
Collectives, –41
Commerce, –63, –27, –85, –20,
Communes, –41
Communist Party, , , , –15, –34, –39
Concubines, , , , –52, ,
Confucian scholars, –26, –59, –63, –62, –66
Confucianism, –26, –59, –68, –77, –98, –62
Confucius,
quotations from, –22, , –63
Contracts, translations of, –27, –16, –25
Corruption, , –207, –77, –500
Cosmology, –59, –79
Coyle, Mark, translations by, –10, –26, –79, –45
Crops,
Cults, –82, –96
Cultural Revolution, –57, –69, –77
Customs, –10, –300, –17
Daoism and Daoists, –31, –96, –45, –50
Daughters, , –52, –55, –17, , –43
Daughters–in–law, –28
Dayuan,
Death
rituals for, , , –90 terms for,
Debate on salt and iron, the, –63
Debt, –53, –15, –90,
Deference, –45, , –300
Democracy, –500, –504
Deng Yingchao, selection by, –63
Destiny, –71, , , –81
Diaries, –36, –201, –79
Ding Ling, selection by, –21
Divination, –5, –7, –10, –82, –22
Divorce, –75,
Dong Zhongshu, selection by, –59
Dowries,
Dragon boat races, –10
Dunhuang documents, –89, –104, –27
Dunnell, Ruth, translation by, –41
Dynastic cycles, –22
Ebrey, Patricia, translations by, –13, –26, –31, –37, –41, –45, –53, –56, –59, –63, –68, –76, –82, –85, –99, , –108, –11, –19, –24, –27, –36, –54, –56, –63, –68, –71, –77, –94, –10, –52, –55, –58, –66, –79, –300, –12, –45
Education, –68, –98, , –308, –54, –46
Embezzlement,
Emperors: _see_ Rulers
Employment, –87
Ennin, selection by, –36
Entertainment, –24, –85, –97
Equality of men and women, –87
Estate managers,
Ethnic groups, –10,
Eunuchs, –66
Evil, –45
Examination system, , –31, , , –308
Extortion,
Extravagance, –63, , –91, –90, –97
Factories, –22, , –84, –32,
Family
business, , –40
division,
genealogy, –29
relationships,
rules, –44
virtues, –68
_see also_ Kinship; Relatives
Family Rituals, selections from, –163
Fan Zhongyan, selection by, –56
Farming: _see_ Agriculture
Fate, –71, , , –81
Feng Yan, selection by, –75
Fertilizer, –91
Festivals, , –10
Feudal ideology, , –74
Fiction, translation of, –108, –37, –52, –308, –59, –21, –34, –69
Filial piety, –21, –68, –22, –44,
Fiscal policies, –63
Five Classics, ,
Footbinding, –43
Four Olds, –51
Friends, –71, , , –59
Frugality, , –90, , , –74
Fujian province, selections relating to, –87, , –22
Funerals, , , , –90
Gambling, ,
Gan Bao, selections by, –108
Gang of Four, ,
Gardens,
Gazetteers, translations from, –85, –55, –10
Ge Hong, selection by, –96
Genealogies, translations from, –44, –29
Gentlemen (morally superior person), –26, –41, –45, –71
Gentry, –86, –91, –17, –22, , –72;
_see also_ Upper class
Geomancy, –22
Ghosts, –81, –107
Gibbs, Nancy, translations by, –74, –44, –47, –90, –400
Gods, –82, , –45, –96
Gossip, –31,474
Government, –23, –63, –15, –94;
_see also_ Officials;
Rulers
Great Leap Forward, –39
Grief, –57
Gu Jiegang, selection by, –90
Guangdong, province, selections relating to, –44, –96, –10, –72, –41, –57
Guangxi, province, selections relating to, –22, –90
Guangzhou, selection relating to, –12
Guests, –45, –37, –41
Guilds, –25
Guo Bi, selection by, –201
Guomindang: _see_ Nationalist Party
Han Feizi, selection by, –37
Hangzhou, –85
Hart, James, translations by, –7, –16
Heaven, , –59, –81;
_see also_ Destiny
Heroism, –16, –37
Hexagrams, –19
Historians,
_History of the Later Han,_ selection from, –84
_History of the State of Huayang,_ selection from,
Hong Mai, selections by, –66
Hongwu Emperor, selection by, –207
Housewives, , –43, –86
Housing, , –48
Hu Feng, selection by, –27
Human nature, –24, –26, –59
Humanity, –20,
Humility,
Hunan province, selections relating to, –10, –25,
Husbands, –65
Hustlers, , –400
Hwa, Lily, translations by, –71, –75, –104, , –50, –207, –20, –22, –25, –96, –302, –10
Illness, –79,
Immortals,
Industry, –22, –25, –84
Infanticide, –17
Inheritance, , –29
Intellectuals, –202, –62, –59, –28;
_see also_ Gentry; Upper class
_Intrigues of the Warring States,_ selections from, –41
Irrigation, , –302
Jiang Jieshi, selection by, –406
Jiangsu province, selection relating to, –17
Jin, state of, –16
Jin dynasty,
_Jin Ping Mei,_ selections from, –52
Jinshi degree, –31,
Karma, , –45
Keightley, David N., translation by, –5
Kidnapping,
Kinship, –156, –29, –90;
_see also_ Family
Kitchen god, –45
Labor service, –86
Lai, Chiu–yueh, translation by, –15
Lai, Jeh–hang, translations by, –96, –22
Lai, Walen, translations by, –102, –50
Lan Dingyuan, selection by, –96
Land reform, –21
Land tenure, –19
Landed property, –27, , –91, –66, –21
Landlords, –25, –32, –91, , –21
Lao Dan, selection by, –29
_Laozi,_ 81, , , ,
quotations by, ,
selection from, –29
Law, –53, –19, –96 translations of, –25
Lee, Leo O., translation by, –40
Legalism, –37, –48, –53, –63, –19
Lei Feng, –46
Letters, translations of, –75, –62, –27, –39, –75, –87
Li Jing, selection by, –87
Li Qingchao, selection by,
Li Zhi, selection by, –62
Liang Qichao, selection by, –40
Lineages, –56, –44, –29
Liu Guanxing, translation by, –77
Liu Shaoqi, selection by, –15
Liu Xiang, selection by, –74
Liu Xiaohong, translation by, –63
_Lives of Eminent Monks,_ selection from, –102
Lords, –35, –41,
Love, –13, –52, –77
Loyalty, –41, –76, –66
Lü Cai, selection by, –22
Lu Xun, selection by, –59
Luxuries, –63, –84
Lu You, selection by,
Magistrates, –96
Mandate of Heaven, ,
Manners, –45, –11, –300
Mao Xiang, selection by, –49
Mao Zedong, , , , , –55,
quotations by, ,
selections by, ,
Markets, –79,
Marriage, –13, –56, , –52, –29, –43, –77, –81;
_see also_ Wives
Marriage reform law,
Matchmakers, , ,
May Fourth Movement, , –63, –84
Medicine, –79,
Meditation,
_Melody in Dreams,_ selection from, –69
Mencius, –74
mother of, –74
quoted,
selections by, –24
Miners, –25
Minority groups, –10,
Monasteries, –102, –36
Money lending,
Mongols, –94
Monks, –102, –36, –50
Monopolies, government, –63
Mortgage,
Mothers, –74, , –65, , –61, –17, –95
Music,
Mutual Responsibility System, –87
Names,
Nationalism,
Nationalist Party, , , ,
Neo–Confucianism, –98, –44, –62
Newspaper and magazine articles, translations from, –29, –41, –57, –77, –81, –87, –95, –504
Non–Chinese (non–Han), –56, , –11, , –41, , –94, , –12, –40, –406, –504
Northern Expedition, ,
Officials, , –71, –54, –62, –96
Old age, ,
Opera,
Opium smoking, , –45,
Opium War, –12
Orphanages, –17
Painting, –201
Parents, –68, –95
Patriarchy, –56, –44
Peasants, –91, –25, –73, –21, –95;
_see also_ Agriculture; Villages
Peng Dehuai, selection by, –39
Peng Pai, selection by, –72
Perfect Truth Daoist sect, –50
Philosophy, –26, –31, –104, –62
Plowing, –90
Poetry, –13, , –71, –201
Political life, –96
Population
control of, –81
growth of, –69
size of, –23
Posters, big character, –500
Poverty, –94, –10, –17, –22
Prayers, –82, –63
Pregnancy, –81
Prostitutes,
Proverbs, –41, –81
_Qi,_ 57
Qiao, Prince, –82
Qin dynasty, ,
Qiu Jin, selection by, –44
Qu Yuan,
Quarrels, –99
Rebellions, –85, –79, –22
_Record of Searches for Spirits,_ selections from, –108
Red Guards, –57
Relatives, –56, –63, –18, , –44, –29
Religion, –31, –82, –104, –36;
_see also_ Ritual
Religious tracts, –82, –104, –45
Restaurants,
Retribution, –45,
Revisionism,
Revolution, –84,
Rice,
Ritual, –5, , –45, –11, –22, –63, –44, –300
Rulers, , –54, , –63, –15, –94, –207, –300
Rural life, –303, –308, –53, –95;
_see also_ Agriculture, Villages
Sage,
_Schedule for Learning,_ A, selection from, –98
Scholars, –37, , –71, ;
_see also_ Confucian scholars
_Scholars,_ selection from, –308
Schools, , –98, –308, –53,
Science, –79, –53
Secret societies, –22
Sects, –96
Self criticism, –27
Servants, , –56, , ,
Sexual relationships, –74
Shamans,
Shandong province, selections relating to, –77
Shang, Lord, selections by, –33
Shanghai, –84, –48
Sima Guang, selections by, –54
Sima Qian,
selections by, –56
Slaves, –27, , , –47
Small Sword Society, –322
Snobbery, –31
Social hierarchy, –303, –308
Social mobility, –53
Social organization, , –34, –72
Song Shouquan, translation by, –69
Songs, –13, ,
Sons, –74, , –29
_Spring and Autumn Annals_
quotation from,
selection from, –16
Standard of living, –48, –95
Stone inscriptions, translations of, –25
Strikes, –72, –84
Students, –98, –53, –500
Study, , –98, , –91
Sui dynasty, –89
Sun Yatsen, ,401
Sutras, –103
Taiping Rebellion, –22
Taizong, emperor of Tang, selection by, –15
Tanguts, –41
Taxes, –63, –86, –76
Teachers, –98, –29, –308, –65
Teahouses,
Temples, –36
Tenants, –25, –90, ,
Theft and robbery, –18,
Three Kingdoms Period,
Three People's Principles,
Tiananmen, –500, –504
Unions, labor, –73, –84
Upper class, –45, –98, –201, –91, –59;
_see also_ Gentry; Intellectuals
Uprisings, –85, –79, –22
Victims,
Village life, –12, –303, –308, –21
Visiting, –45
Wages, –25
Wang, Chunyu, translation by, –22
Wang Anshi, selection by,
Wang Daokun, selection by, –20
Wang Fu, selection by, –71
Wang Meng, selection by, –34
Wang Youpu, selection by, –300
Warehouses,
Warfare, –16
Warlords, –77,
_Water Margin,_ selection from, –37
Way of Great Peace, –85
Wealth, –90
Weddings, –74;
_see also_ Marriage
Weeding,
Wei Shou, selection by, –99
Weiming Yuanhao, selection by, –41
Westerners, –38, –504
Widows, –75, –67, –58
Wineshops, –80
Wives, , –40, –52, –55, –28, –87;
_see also_ Marriage
Wolff, Ernst, translation by, –95
Women
depictions of, –76, –68, –81
discussions of, –76, –52, –55, –77, –87
old age, ,
working, –87
_see also_ Concubines; Wives
Workers, –25, –84, –46
Wu Jingzi, selection by, –308
Xin Qiji, selection by,
Xiongnu, , –56
Xu Yikui, selection by, –22
_Xunzi,_ selections from, –26
Yan Zhitui, selection by, –11
Yan'an period, , ,
Yang, Gladys, translations by, –308, –59
Yang, Hsien–yi, translations by, –308, –59
Yang Lien, selection by, –66
Yang Sichang, selection by, –10
Yang Xingman, selection by, –83
Yang Xuanzhi, selection by, –10
Ye Mengzhu, selection by, –86
Yellow Emperor,
_Yellow Emperor's Classic of Medicine,_ selection from, –79
Yin and Yang, –10, –59, –79
You Zhi, selection by, –17
You Ziyi, selection by, –53
Yu, Clara, translations by, –96, –27, –31, –85, –87, –91, –98, –201, –12, –16, –25, –37, –44, –62, –86, –91, –17, –24, –29, –303, –72, –77, –84
Yuan dynasty,
Yuan Cai, selections by, –68
Yue Fei, selection by,
Zeng Zi, –68
Zhang Han, selection by, –19
Zhang Jue, –85
Zhang Lu,
Zhang Xiaoxiang, selection by,
Zhang Xiu, –85
Zhang Ying, selection by, –91
Zhang Yue, selection by,
Zhang Zongchang, –78
Zhejiang province, selections relating to, –86
Zhen Dexiu, selection by, –87
Zhu Xi, –96,
selection by, –163
Zhu Yuanzhang, selection by, –207
Zhu Ziqing, selection by, –95
_Zhuangzi,_ selections from, –31
Zong Pu, selection by, –69
Zuo Chronicle
quotation from,
selections from, –16
| {
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The Golden Age of American Musical Theatre
1943–1965
Corinne J. Naden
THE SCARECROW PRESS, INC.
Lanham • Toronto • Plymouth, UK
2011
Published by Scarecrow Press, Inc.
A wholly owned subsidiary of The Rowman & Littlefield Publishing Group, Inc.
4501 Forbes Boulevard, Suite 200, Lanham, Maryland 20706
http://www.scarecrowpress.com
Estover Road, Plymouth PL6 7PY, United Kingdom
Copyright © 2011 by Corinne J. Naden
All rights reserved. No part of this book may be reproduced in any form or by any electronic or mechanical means, including information storage and retrieval systems, without written permission from the publisher, except by a reviewer who may quote passages in a review.
British Library Cataloguing in Publication Information Available
Library of Congress Cataloging-in-Publication Data
Naden, Corinne J.
The golden age of American musical theatre : 1943–1965 / Corinne J. Naden.
p. cm.
Includes bibliographical references and index.
ISBN 978-0-8108-7733-7 (cloth : alk. paper) — ISBN 978-0-8108-7734-4 (ebook)
1. Musicals—United States—20th century—History and criticism. 2. Musicals—Stories, plots, etc. 3. Musical theater—United States—History—20th century. I. Title.
ML1711.N22 2011
792.609747'1—dc22 2010028844
™ The paper used in this publication meets the minimum requirements of
American National Standard for Information Sciences—Permanence of Paper
for Printed Library Materials, ANSI/NISO Z39.48-1992.
Printed in the United States of America.
In memory of Rose Blue,
and with thanks to Abby Simon and Trudi Neuhoff
for all their technical and uncomplaining help.
A very special thank you to
my longtime friend and avid theatregoer Harold C. Vaughan
for trusting me with all his original playbills.
## Contents
1 America's Unique Contribution 1
2 The History of Broadway 7
3 Golden Age Timeline 35
4 The Golden Age Musicals of Broadway 43
5 The Golden Age Stars of Broadway 147
6 The Theatres of Broadway 187
7 The Awards of Broadway 203
Appendix of Show Tunes 209
Bibliography 247
Index 253
About the Author 267
## America's Unique
Contribution
The musical, or musical comedy, is America's unique contribution to the world of the theatre. The words Broadway musical refer to any performance incorporating music and dance in one of thirty-eight professional theatres that each seat 500 or more people in the Times Square district of the borough of Manhattan, New York City. The Vivian Beaumont at Lincoln Center (uptown at 65th Street) is the thirty-ninth Broadway-class theatre. It is the only one not located in the Times Square district, which is roughly defined as the area between 40th and 53rd streets and 6th and 9th avenues. The district got its name from the Times Tower, headquarters of the New York Times, built in 1904, on 43rd Street just off Broadway. Nonmusical performances, known as plays or dramas, are also performed in the Broadway theatre district.
To the English-speaking world, Broadway theatre, along with London's West End district, generally represents commercial theatre at its highest level. It is the theatre area most well known to the American general public, the most prestigious for performers, and the most lucrative for all those involved in the business of putting on a show. Historically, the shows that make it to Broadway are seen as more mainstream or less experimental than many of the performances Off- and Off-Off-Broadway or in regional theatres throughout the country.
Off-Broadway refers to plays or musicals performed in New York City in theatres seating 100 to 499 patrons. Originally the term referred to location, not size. These productions are generally less publicized, less expensive, and less well-known. A number of shows that began in these smaller theatres have made it to Broadway, such as A Chorus Line, Hair, and Sunday in the Park with George. Off-Broadway theatres include the Astor Place on Lafayette Street, the Cherry Lane on Commerce, and the Orpheum on Second Avenue.
Off-Off-Broadway theatres generally have fewer than 100 seats. They began in 1958 as a reaction to Off-Broadway. The term was supposedly first used by Jerry Talmer of the Village Voice and referred to coffeehouses in Greenwich Village. There are a number of Off-Off-Broadway theatres scattered about the city, including La MaMa on Second Avenue, the Flea on White Street, and the Collapsable Giraffe in Brooklyn.
Off- and Off-Off-Broadway often present cutting-edge or experimental plays or musicals, many by first-time playwrights and performers. In addition to these productions, nearly 2,000 not-for-profit professional theatres operate around the United States, thanks in large measure to the National Endowment for the Arts (NEA). Since 1965, it has offered musicals and modern plays, classics, and new works to a theatre-loving public. The NEA is a public agency established by Congress. It supports new and established arts with the aim of bringing the arts to all Americans. NEA activities range from youth education to increasing access to high quality theatre. For instance, it launched Shakespeare in American Communities in 2003. In addition, it introduced American Masterpieces; theatre companies tour the states with outstanding American musicals.
The musicals that appear on Broadway usually have a longer run than nonmusical plays. Fiddler on the Roof, which opened in 1964, ran for a record-setting total of 3,242 performances. It kept the record for the longest-running Broadway musical for almost ten years, until Grease topped it. The aim of all Broadway shows is to make a profit for the producers and investors. Early audience response, advertising, the star quality of the leads, and word of mouth all generally contribute to how long a musical will run—and usually, therefore, how financially successful it will be; however, even a fairly long run does not always guarantee that the musical finishes in the profit column. Some Broadway theatre is presented as a regular subscription season, such as Lincoln Center Theater, the Roundabout Theatre Company, or Manhattan Theatre Club. In that case, the run of the show is predetermined.
Most Broadway shows are open-ended (with many exceptions), meaning they will run as long as it is profitable to do so. But producers and investors (known as backers or angels) do not necessarily have to make a profit "right now." If the show meets weekly operating expenses, it may stay open in the expectation that it will eventually pay back the initial costs. In addition to a hoped-for long Broadway run, producers often assemble a new cast and crew for a national tour. Some productions have settled down in major U.S. cities for a long run. Others play for one or two weeks. Smaller cities are serviced by "bus and track" tours; the cast usually travels by bus, and the equipment goes by railroad. These tours may play half a week or even a "one-nighter" in a town before moving on to the next.
Most Broadway theatres schedule evening performances Tuesday through Saturday, with an 8 p.m. curtain, and afternoon matinees on Wednesday and Saturday at 2 p.m. and on Sunday at 3 p.m. This schedule gives actors and crew members a Sunday-evening-until-Tuesday-evening weekend. When performances are not scheduled, the theatre is said to be "dark."
The American musical that is today so much a part of the Broadway theatre scene can trace its origins back to Europe in the first decades of the twentieth century, to the immigrants who arrived from the Old World with operalike performances known as operettas. Although the background of the Broadway musical may be in Europe and its antecedents may be traced to burlesque and vaudeville, to minstrels and music halls, the shows that began in the late nineteenth century and still light the marquees of Broadway are mainly all-American. From those decades of building a new art form, this book concentrates on the Golden Age of America's musical theatre. The time span is twenty-two years, from Oklahoma! in 1943 to On a Clear Day You Can See Forever in 1965.
In the 1920s, as theatre was truly taking hold in the country, it soon faced a troubling challenge—the motion picture. In 1927, The Jazz Singer, starring Al Jolson, became the first "talking" film (actually, that first talkie is silent with sequences of music and voices). People began to wonder whether this new art form—which immediately became very popular—might not replace live theatre altogether.
But the theatre survived, and one of the main reasons was the splendid period of the 1920s and 1930s, when Jerome Kern, Cole Porter, and George and Ira Gershwin enchanted crowds with timeless, memorable tunes and sophisticated comedy. And during this time came a giant step—Show Boat (December 27, 1927), based on the novel by Edna Ferber, about life on the Mississippi River. It is generally considered to be America's first true musical. Show Boat was distinct from the productions that preceded it because it provided a plot with music that was a central part of the narrative. That distinction started a change on Broadway that evolved, after the lean years of the Great Depression, into the 1943 blockbuster production of Oklahoma!. In his autobiography, Musical Stages (1975), Richard Rodgers said that Oklahoma! was significant because all the parts were a complement to each other rather than overshadowing each other. This is part of what makes the American musical and the Golden Age what they still are today.
Other great musicals followed in the same vein, such as Carousel (1945) and South Pacific (1949), both the work of Richard Rodgers and Oscar Hammerstein II. In 1956, Alan Jay Lerner and Frederick Loewe collaborated on what many consider the finest of all American musical comedies—My Fair Lady.
Such musicals continued into the 1960s, with Fiddler on the Roof in 1964 considered the last true masterpiece of the Golden Age. But by about mid-decade, the American musical that audiences had grown to know and love had begun to change perceptively. Although some shows continued in the old vein, pure spectacle began to take over with productions that mainly featured extravagant light settings and dramatic staging. Rock and roll provided the music. Hair (1967) is a notable example; enter not only stroboscopic lighting and very loud music, but also nudity, which would have shocked theatre audiences in the Golden Age. Broadway also changed in that individual people became more famous than the shows they staged, such as the highly successful works of Andrew Lloyd Webber, among others. Theatre tickets became increasingly expensive; rock music ushered in by the Beatles often drowned out the old melodies; the traditional sentimental composers seemed out of sync; and the new creative direction of Bob Fosse and Stephen Sondheim, among others, began to change the shape of the traditional musical. These new-age musicals were often devoted to the direction and choreography of one person, such as Fosse. So, to mark the distinction of a changing Broadway, we end the twenty-two years of the Golden Age in 1965, with On a Clear Day You Can See Forever.
After that, the "old" musicals seemed about to fade into the background, but not so. The musicals of the Golden Age are still with us, revived time and again. Their songs and their incredible variety never die. The magic still lingers. Twenty-first-century audiences are as thrilled when a brassy young woman sings "Diamonds Are a Girl's Best Friend" as were audiences back in 1949, when Carol Channing brought them to their feet in Gentlemen Prefer Blondes. It was during this twenty-two-year period that Broadway showed off its greatness time and again, exhibiting some of its finest productions, masterpieces of plot, music, dance, and dialogue.
In The Golden Age of American Musical Theatre, chapter 2, "The History of Broadway," traces the beginnings of theatre in New York's Times Square district. It details its growth through the decades of the twentieth century until the end of the twenty-two-year period known as the Golden Age.
Chapter 3, "Golden Age Timeline," lists Broadway productions chronologically between 1943 and 1965. Not noted are operettas, revues, follies, revivals, dance revues, and other shows that can be loosely termed burlesque or vaudeville acts.
"The Golden Age Musicals of Broadway," chapter 4, gives opening dates and theatre production credits, casts, synopses, major songs of the scores, awards, and other pertinent information about these memorable productions. Also noted but not given full data are those musicals designated as flops (marked with an *), which can be difficult to define. The term is somewhat ambiguous because it is not so easy to determine what "flopped" on Broadway either because critics and audiences did not like them or they were not commercial successes. Most would concede that a production lasting not even a week was definitely a flop; even worse, some shows closed on opening night. But there were also instances of musicals running for as long as a year that did not recover their original investments. To the backers and cast members, those might also be considered unsuccessful. Producers aim to entertain, but they also aim to make money. Theatre prices are set before the show opens and according to the capacity of the theatre. At that point, the producers cannot know what the demand for tickets will be. Demand is also influenced by economics and world events. During the 2001–2002 season, for instance, a slowdown in the U.S. economy and terrorist attacks dropped the Broadway attendance figure by 8 percent. Here, the cutoff line to designate a flop is set at fewer than 161 (1–160) performances, or no more than three months.
Chapter 5, "The Golden Age Stars of Broadway," features short biographies and awards for some of the great entertainers during this period. "The Awards of Broadway," chapter 7, highlights the opposite end of the Broadway flop, the special recognition to the best of the theatre. And chapter 6, "The Theatres of Broadway," gives historical data on the buildings that house these memorable productions.
The Golden Age of American Musical Theatre opens with Oklahoma!, when as never before, the whole idea of what was musical theatre in New York began to change. It ends with On a Clear Day You Can See Forever to mark the distinction of a changing Broadway. For the longtime devotee or the novice just about to fall under the spell of the theatre, this is a look back at a spectacular period on the American stage. For beauty and talent, for glorious costumes and innovative staging, for true magic when the lights went down, this was surely the Golden Age.
# 2
## The History of Broadway
Native Americans called it the Wickquasgeck Trail. To the Dutch, it was Breede weg. It is the oldest north–south main street in New York City. It is also one of the longest boulevards in the country, stretching 150 miles from the Battery downtown to the upstate capital of Albany. Although it was renamed in the late nineteenth century, Broadway has come to mean much more than a mere address. To most New Yorkers, to thousands of people throughout the country and the world, Broadway simply means theatre.
Although the actual street covers the entire length of Manhattan Island, its most famous area is near Times Square, where Broadway crosses Seventh Avenue in midtown. This is the area, between 42nd and 53rd streets, known as the theatre district or the Great White Way. The nickname comes from a newspaper headline of February 3, 1902, in the New York Evening Telegram. It read, "Found on the Great White Way." The inspiration stemmed from the millions of lights on theatre marquees and billboards, especially around Times Square. When The Red Mill opened in 1906, theatre owners put colored electric lights in front of the buildings, but colored lights burned out too quickly and were soon replaced with white ones, hence the nickname. As far back as 1880, almost a mile of Broadway was lit by arc lamps, making it one of the first U.S. streets with electric lights.
Operettas, Revues, and Follies
The beginnings of what we know as the American musical trace back to Europe and especially England with such works as The Beggar's Opera (1728) by John Gay. It created an opera based mainly on folk music. These productions are known as operettas. They are operalike performances with dialogue, a romantically sentimental plot, and elaborate dancing scenes all interspersed with songs and orchestral music. The operetta came from the French opera comique in the mid-nineteenth century. Jacques Offenbach is generally regarded as having written the first operettas, for example, Les deux aveugles in 1858, although some give the credit to Florimond Ronger, known as Herve, said to have written L'Ours et le pacha in 1842; however, Offenbach popularized the musical form. His operettas portray life in a rather grotesque way that borders on the pornographic.
The outstanding composer of operettas in the German language was Austrian Johann Strauss Jr. His Die Fledermaus (1874) became the most performed operetta in the world. The fame for operettas in English rests with W. S. Gilbert and Sir Arthur Sullivan. They wrote fourteen such works that remain popular to this day, such as HMS Pinafore and The Pirates of Penzance. Other noted operetta composers in the United States were Victor Herbert, Sigmund Romberg, and Rudolf Friml.
Besides operettas, revues were very popular in early America, and they are still performed today. This is multiact entertainment with music, sketches, and dance. Its heyday was in the early twentieth century, from about 1916 to 1932. Revues frequently satirized news stories or contemporary figures, usually in an irreverent manner. The first popular American revue (spelled review until Florenz Ziegfeld used the French spelling) was The Passing Show (1894) by George Lederer. Many well-known entertainers got their start in revues, such as W. C. Fields. Cole Porter wrote for the revue Hitchy-Koo in 1919. Richard Rodgers and Lorenz Hart presented The Garrick Gaieties in 1925. Today, revues are common as student entertainment in various universities.
Out of the revue grew the stage extravaganza known as the follies made popular by Chicago-born Florenz Ziegfeld, who promoted the beauty of the American girl. His shows included daring costumes, comedy, and burlesque routines. They were a popular form of entertainment from the Follies of 1907 until 1931. By 1908, the Ziegfeld Follies were a fixture on Broadway, and they made stars of the performers, notably Eddie Cantor and Fanny Brice, who made a big hit singing "Rose of Washington Square." Brice last appeared on stage in the Follies of 1936.
The Beginnings of Musical Comedy
Beginning with the operetta, musical theatre was working toward the Golden Age in America for some time. The first musical comedy opened in New York City on September 12, 1866. It was called The Black Crook, a sort of melodrama and ballet. Opera buffs went to see it, and so did patrons of burlesque. It did not call itself a musical, but it was the beginning of one, with dance and music added to tell the story. (The first production to actually call itself a musical comedy was The Black Domino/Between You, Me, and the Post, which also debuted in 1866.) The opening night performance of The Black Crook kept patrons spellbound—and perhaps numb—for five and a half hours, but it was a great hit and ran for more than a year. It would later be revived on Broadway eight times.
The Black Crook opened at Niblo's Garden, a huge place in lower Manhattan that sat 3,200 people. At that time, what theatre there was in New York City—and for that matter in the country—was in the southern end of the island. The first theatre was opened in 1750 by actor-managers Walter Murray and Thomas Kean. It was located on Nassau Street, with seating for about 280. Other theatres followed and, by the 1840s, P. T. Barnum had an entertainment complex in lower Manhattan. The Astor Place Theatre opened in 1847 and two years later was the scene of a riot, fought along class lines.
Some twenty-six years before the Astor Place, the Broadway Theatre had opened in lower Manhattan, catering mostly to working class people. To avoid having to mingle with the "lower class," wealthier theatregoing New Yorkers preferred their productions at the Astor Place, about a twelve-minute
walk from the Broadway. The theatre had high ticket prices and a dress code of kid gloves for gentlemen. William Charles Macready was the lead actor at the Astor Place on May 7, 1849, for the opening of Shakespeare's Macbeth. In deliberate competition, the Broadway decided to present Macbeth on the very same night. Edwin Forrest, a former friend of Macready's and a favorite of the working class, was the lead.
On opening night, a mob stormed the Astor Place and pelted Macready with eggs and old shoes until he got off the stage. An unwilling Macready was convinced—and financially backed—by wealthy patrons to try again. He took the stage once more on May 10. By the time the curtain went up, thousands of people were mingling in the streets around the theatre. Before long, the first window was broken, and the fight was on; in the end, twenty-five died, with at least thirty-eight injured. The National Guard had to be called in, and when the rioters still would not give up, the soldiers fired into the crowd.
Everyone was much calmer in 1878, when Gilbert and Sullivan's HMS Pinafore was imported from England. Although known as an operetta, it might more precisely be called a light opera. Works by Gilbert and Sullivan, even though dated by their period, have been constantly revived. And their influence stemmed further than that. In 1973, Max Wilk published a book entitled They're Playing Our Song, in which he interviewed composers and lyricists from Broadway and Hollywood. A number of them, including Johnny Mercer and Sammy Cahn, said W. S. Gilbert was their main influence in writing lyrics.
In the late 1890s, George Edwardes came to New York with his London Gaiety Girls, which he said was a musical comedy, not to be confused with a burlesque show. Burlesque was a cousin of vaudeville. With prominently featured music, it was a satire, a parody of almost anything. The performances consisted of one act and lasted about an hour and a quarter.
The 1900s
By the 1900s, theatre had gradually been moving up to midtown, as owners and producers tried to escape high real estate prices. Theatres did not actually arrive in the Times Square district until the early part of the decade; a large number of them were built in the 1920s and 1930s. As transportation improved, so did street lighting, and more and more people felt it safe to be out at night. That increased theatre attendance and meant that plays could run longer. Theatre attendance was also helped by a decision made in 1900. A series of underground railways—subways—were started by the Interborough Rapid Transit Company. When they neared completion in 1904, the New York Times had already moved into the Times Tower, a patch of land north of 42nd Street and bounded on either side by Broadway and Seventh Avenue.
Although most of New York's "theatre" was downtown, between Union Square and 24th Street, producer Rudolf Aronson had his eye on a vacant lot way uptown, at Broadway and 39th Street. His Casino opened in 1882, with the city's first roof garden. Lillian Russell and Marie Dressler appeared at the Casino, among other well-known names.
The popularity of Gilbert and Sullivan and others was followed by the giant of the operetta, Irish-born Victor Herbert, who received his musical training in Germany. When his wife, Therese Foster, got a contract to sing at the Metropolitan Opera in New York City, they both came to the United States. Just before the turn of the century, Herbert began composing the music for a string of some thirty operettas and musicals that brought him lasting fame. Among his biggest successes were Babes in Toyland (1903), Naughty Marietta (1910), and Sweethearts (1913). These sentimental productions set up a tradition of a play that was based on songs and musical numbers.
In 1900, a British production came to town at the Casino Theatre. By this time, theatregoers were paying up to $2.00 a performance. Florodora, about lovely ladies and handsome gentlemen in the Philippines, ran for 553 performances. But what was most remembered of that era was not the show but one of the showgirls, although not an original member of the cast. Sixteen-year-old Evelyn Nesbit joined the Florodora chorus girls and caught the interest of architect Stanford White, a married man and notorious womanizer. Supposedly, an affair began at White's apartment, which supposedly contained a red velvet swing. (The 1955 movie The Girl in the Red Velvet Swing detailed the affair and subsequent tragedy.) Although Nesbit was courted by John Barrymore, she married Harry Kendall Thaw, son of a coal baron and rumored cocaine addict, in 1905. The following year, the couple met White at a Madison Square Garden theatre performance. During the song "I Could Love a Million Girls," Thaw shot White three times in the face. Judged insane, Thaw stayed in prison until 1913. In 1915, he was declared sane. Nesbit got a divorce but no money.
For all its success, Florodora was not musical comedy, but it was getting closer in the person of the Yankee Doodle Dandy himself, George M. Cohan from Providence, Rhode Island (1878–1942). In 1905, in his third attempt on Broadway, Cohan presented Little Johnny Jones. It was also his third flop. This time, however, he took the show on tour and gave it two new songs. They were "I'm a Yankee Doodle Boy" and "Give My Regards to Broadway," which along with Irving Berlin's "There's No Business Like Show Business" (1940), became the national anthem of the Broadway theatre.
This was just the beginning for the brash young man from Rhode Island. The rest of the decade was his. Cohan's next production, Forty-Five Minutes from Broadway (1906), was a hit, and the song "Mary Is a Grand Old Name" became a standard. So did such songs as "You're a Grand Old Flag." He was so successful that at the beginning of the next decade, he opened his own theatre (appropriately named Cohan's) on the corner of Broadway and 43rd Street. Cohan would dominate Broadway for years.
George M. Cohan was arrogant and self-assured. He did not have the talent perhaps of Ira Gershwin or Oscar Hammerstein, but he brought a great gift to the American theatre. For audiences that were used to the extravagance of the operetta on stage, Cohan gave them the start of something new, just the beginning of a story line that was enhanced by—not interrupted by—the music and dancing around it. From these beginnings would emerge Broadway's Golden Age.
In 1904, The Earl and the Girl, with Eddie Foy, opened at the Lyric Theatre and transferred to the Casino the following year, where it ran for 148 performances. One of the songs was "How'd You Like to Spoon with Me?" written by a twenty-year-old unknown named Jerome Kern.
By this time, the Broadway area was getting used to what would become household names in the world of theatre. Playwright David Belasco arrived in New York City in 1882. During his long career, he wrote, directed, or produced more than 100 plays and became the most powerful personality in the theatre. A young Mary Pickford appeared in his The Warrens of Virginia at the Belasco Theater in 1907. Belasco was known as the "Bishop of Broadway" because he always dressed in black, which made him look like a priest. In 1910, he renamed the Stuyvesant Theater on 44th Street for himself; it is still in operation.
Also gaining fame were the Shubert brothers, Samuel, Lee, and Jacob. In 1900, they leased the Herald Square Theatre at Broadway and 35th Street. Samuel died from injuries suffered in a train wreck in 1905, but the Shuberts established what became the largest theatre empire in the twentieth century. The Sam S. Shubert Theatre on West 44th Street, opened in 1913, is a city landmark and remains in operation today.
Broadway was changing but not always for the better. While most of the theatres were relatively small, the Hippodrome opened in 1905 with a capacity to seat 5,000. It took up an entire block between 43rd and 44th streets on Sixth Avenue. The opening show on April 12 had 280 chorus girls, to say nothing of a parade of elephants and dancing horses. The audience was somewhat overawed, and it wasn't long before the Hippodrome ran into financial trouble. It was eventually taken over by the Shuberts.
But things progressed in other areas. The first "moving" electrical billboard was built in the city in 1906. And in 1907, the first of twenty lavish musical revues appeared on Broadway. They were produced by Ziegfeld, inspired by the Folies Bergere of Paris, and known as the Ziegfeld Follies. The Follies of 1907, at $2.50 a ticket, began these lavish productions that glorified the American girl with spectacular production numbers. The Follies girls were decked out in elaborate costumes by leading designers, and their clothes became the talk of Broadway. Many of the top entertainers of the time appeared in the Follies. In 1936, the movie The Great Ziegfeld, with William Powell, honored Ziegfeld and won an Oscar for Luise Rainer, who played his first wife, Anna Held. The hit song of the show was "A Pretty Girl Is Like a Melody." A second movie, Ziegfeld Follies, in 1936, featured Judy Garland and Fred Astaire. The last of these elaborate reviews on stage appeared at the Winter Garden Theatre in 1957.
The 1910s
As World War I (1914–1918) occupied much of the decade, changes were occurring in Broadway theatre. A young playwright named Eugene O'Neill was introduced to audiences at a summer theatre in Provincetown, Massachusetts. George and Susan Cook converted a stable in Greenwich Village in downtown Manhattan to the Playwright's Theatre. In 1915, some village residents formed the Washington Square Players, producing some fifty plays. During one of the productions, Katherine Cornell was introduced to the theatre world.
But the decade really belonged to Cohan. He had a string of hits, including Get Rich Quick Wallingford and The Little Millionaire. In 1917, he published one of his most memorable tunes, "Over There." Years later, he was honored by President Franklin Roosevelt for his contribution to the war effort.
With Cohan and other soon-to-be-famous names, Broadway was slowly changing. To be sure, the European operetta influence was still strong. In fact, another giant of the operetta, Hungarian-born Sigmund Romberg, had a big hit with Maytime (1917), to be followed by such productions as The Student Prince and The Desert Song. Romberg had moved to the United States in 1909. He published a few songs and came to the attention of the Shubert brothers, who hired him to write music for their theatre shows. One of Romberg's early tunes and still a jazz-blues classic is "Lover, Come Back to Me."
As Romberg was enjoying success, other newcomers in a decidedly different musical vein were also entering the Broadway scene. Alexander's Ragtime Band (1911), which was really a march, not rag, made Irving Berlin (1888–1989) a songwriting star. He would go on to become one of America's most prolific songwriters, eventually composing some 3,000 tunes, including "White Christmas" and "God Bless America." His first full-length musical stage work was Watch Your Step (1914), with Irene and Vernon Castle in the leading roles. In 1917, Berlin enlisted in the army during World War I and staged a musical revue, Yip Yip Yaphank. His song "God Bless America" was written for the show as a patriotic tribute, but Berlin decided against using it. The song was released more than twenty years later and remains today one of his most successful, especially as sung by Kate Smith. Berlin's big hit on Broadway was Annie Get Your Gun in 1946, but Miss Liberty in 1949 did not do well. His second greatest triumph was Call Me Madam in 1950 with Ethel Merman. His last show on Broadway, Mr. President (1962), did poorly, and after that, Berlin retired.
Between 1914 and 1920, another songwriter was hard at work. Jerome Kern scored sixteen Broadway productions during that period, including the hit song "They Didn't Believe Me" for the musical The Girl from Utah (1914). Musical comedy as we know it wasn't quite here yet, but the discerning among the theatregoing public were beginning to get a glimpse of something new, of songs and dances that were an integral part of the plot. As yet, it wasn't fully developed, and it didn't have a name.
The 1920s
Broadway was a bustling place in the 1920s, with ticket prices as high as $3.50 a seat. World War I was over, and crowds wanted to celebrate. The so-called Roaring Twenties was an era of great social and political change, of recklessness and irresponsibility—and Broadway was no exception. Perhaps as many as seventy theatres were booming on Broadway in that decade, with a record 264 productions in 1928. Another great boost to the theatre world was the emergence of the Theatre Guild, organized in 1919 by Lawrence Langner and others. It evolved from the Washington Square Players group with the purpose of producing noncommercial plays by American and foreign playwrights. The Theatre Guild was especially effective on Broadway from the 1920s through the 1970s.
Productions in the early 1920s were often revues, such as Frivolities of the 1920s. It opened in January 1920 with two sets and seventeen scenes. New to theatre in that decade was the emergence of African American actors. Before that time, black performers usually played in revues or other burlesque forms of entertainment. If a black character was called for on Broadway, the face behind the makeup was usually white, but Charles Gilpin, a black actor, opened on Broadway in Eugene O'Neill's The Emperor Jones in November 1920. The door was now open for the black performer.
The year 1925 was in some ways also an opening door for the Golden Age of musical comedy in the United States. In that year, four musicals took over Broadway. No, No Nanette, with 321 performances and music by Vincent Youmans, was the hit of the decade. The story involved the pretty young ward of a bible salesman who goes off to Atlantic City—unchaperoned. Forty-six years later, the Broadway revival ran for 891 performances and brought 1930s film star Ruby Keeler out of retirement to play the bible salesman's wife.
Rudolf Friml's operetta The Vagabond King made it for 511 performances with matinee idol Dennis King, who stops a revolt against Louis XI of France. Topping that was Sunny (517 performances) with the first of several collaborations for Jerome Kern and lyricists Oscar Hammerstein II and Otto Harbach. It starred popular actress Marilyn Miller as a circus bareback rider who marries a millionaire. Next came the work of Rodgers and Hart in Dearest Enemy, with 286 performances about a New York lass and a British officer in the American Revolution.
No story of Broadway in the 1920s can be complete without mention of its chronicler and adopted son, Damon Runyon (1880–1946). Runyon was a newspaperman best known for his stories about the Broadway theatre world, writing of such hustlers, gamblers, and gangsters known as Harry the Horse, Big Jule, or Nathan Detroit. To Runyon, the ladies of Broadway were "daffy dames," "dolls," or "tough Broads." It was Broadway slang as only Runyon knew it. Besides his stories, Runyon left his mark on the Great White Way with the highly successful musical Guys and Dolls (1950), based on two of his stories, "The Idyll of Miss Sarah Brown" and "Blood Pressure."
Theatre was making a mark in the 1920s, even facing such challenges as the motion picture. Then came a giant step toward musical comedy as we know it. Show Boat opened on December 17, 1927, at the Ziegfeld Theatre. With a score by Jerome Kern and lyrics and book by Oscar Hammerstein II, who also directed, it is generally considered to be America's first true musical, lasting for 572 performances. It set new standards for those who produced shows and those who wrote the scores. Show Boat was distinct from the operettas, follies, and revues that preceded it because it was the first to provide a plot with music that was a central part of the narrative. It was significantly different from the operettes or light musical comedies that preceded it. Such songs as "Ol' Man River," "Why Do I Love You?" and "Make Believe" were not only lovely to the ear but a real part of the story line. That distinction started a change on Broadway that would, in 1943, evolve into the first true blockbuster musical of the Golden Age.
The story of Show Boat involves the lives of Cap'n Andy Hawks and his wife, Parthy Ann, who live and work on the Mississippi River in their show boat Cotton Blossom. It also concerns their daughter Magnolia and Gaylord Ravenal, a gambler. When Julie, mulatto star of the river show, and Steve, the leading man, must leave because of prejudice about their mixed marriage, Magnolia and Gaylord take over. After they marry, they go to Chicago, but Gaylord cannot give up gambling. They break up, and Magnolia begins a career in a café and is eventually reunited with her parents. In all, the time span covers forty-seven years.
Kern had been attracted by Ferber's best-selling 1926 novel about life on the turbulent Mississippi River, but Edna Ferber was less than enthusiastic about having her serious book turned into a musical comedy. With Kern's promise to get the best librettist in the business, Ferber agreed, and Kern got Oscar Hammerstein II. The result is what is often called the first true American musical play and one of the most influential works of the American musical theatre.
The original production of Show Boat lasted four and a half hours, but it was trimmed to just more than three hours before reaching Broadway. The role of Joe, the stevedore who sings "Ol' Man River," was especially written for noted black concert singer Paul Robeson, but he had to back out because of his schedule, so the part went to Jules Bledsoe. Robeson later sang the part in four productions (1928 in London, 1932 in New York City, 1936 in Hollywood, and a revival in Los Angeles in 1940), for which he became famous.
Show Boat was the first racially integrated musical comedy, with both black and white performers appearing on the stage together. It was the first to speak of interracial marriage. The show was also criticized because a racial epithet was used in an opening song in the first scene, but it was changed in many productions. However, through the years there have been critics who say that the show is prejudiced because it is based on racial caricatures.
Show Boat closed in 1929, but it has since enjoyed many revivals, the latest productions including two at the Uris Theatre in New York City in 1983 and 1994. A 1983 revival in Washington, D.C., featured Andy Rooney as Cap'n Andy. The musical comedy has also enjoyed many performances in London's West End. It was made into a film in 1929, 1936, and 1951. The stage show won the Tony Award for Best Revival of a Musical in 1995 and the Laurence Olivier Award for Best Musical Revival in 2008.
It would take almost two decades before the triumph of Show Boat was finally realized in Oklahoma!. Even so, after 1927, Broadway would never be the same again; however, the decade did end on an interesting musical note. Star Jeanette MacDonald appeared in a forgettable production at the Casino called Boom Boom. No one paid any attention to a young member of the chorus named Archibald Leach. He later moved to Hollywood and became famous as Cary Grant. Not long after the show ended, the Casino closed to make room for the expanding garment industry in the city. In less than fifty years, the theatre district had expanded so much that the Casino, once the most uptown theatre, was now the most downtown.
The 1930s
The big word in the 1930s was Depression. It affected nearly everything and everyone, and Broadway was no exception. The 1929–1930 theatre season offered 233 productions. The first year of the new decade produced 187; by the end of the decade, the number was down to 98. Producer David Belasco died in 1931, a year after Stephen Sondheim, who would make a big mark on Broadway, was born. Most noteworthy for the musical was the introduction of Ethel Merman in George and Ira Gershwin's Girl Crazy. When she held a note for sixteen bars in her rendition of "I Got Rhythm," the audience was astounded. So was George Gershwin, who supposedly told her never to go near a voice teacher. Writer-critic Scott Siegel wrote that she "could hold a note longer than Chase Manhattan."
A Pulitzer Prize winner was Allison's House at Eva Le Gallienne's Civic Repertory Theater on 14th Street. After winning the Pulitzer, the play moved uptown. The Theater Guild also produced plays on Broadway, such as Maxwell Anderson's Elizabeth the Queen. The second Theatre Guild play proved even more interesting. It was Green Grow the Lilacs by Lynn Riggs, with a cast that included a cowboy named Curly. Set in Oklahoma, it was nominated for the Pulitzer Prize but lost out to Allison's House. It ran for sixty-four performances, but in 1943 the show began a much brighter history, when Rodgers and Hammerstein transformed it into Oklahoma!
George S. Kaufman and Moss Hart began the first of eight collaborations in the early part of the decade. Kaufman and collaborator Morrie Ryskind wrote the book for the first musical to win the Pulitzer Prize for drama. It was Of Thee I Sing (1931), with music and lyrics by George and Ira Gershwin.
Kaufman and Ryskind first had the idea of a musical about political parties fighting over a new national anthem, but the result was the first musical that was definitely satiric in tone. Brooks Atkinson, writing in the New York Times, said it was, "funnier than the government, and not nearly so dangerous." It concerns John P. Wintergreen, who is running for president on a "love" platform. He will marry the winner of the beautiful girl pageant in Atlantic City, New Jersey. Instead, he falls in love with Mary Turner, who is running the pageant. When he marries her, the pageant winner, Diana, sues, but the court rules for Mary; however, in Act II, Diana is gaining support and Wintergreen is urged to divorce Mary, but Mary announces she is pregnant. Now France gets involved, because Diana is somehow distantly related to Napoleon. In the end, all is well, and Mary gives birth to twins.
Somehow, the audiences liked this, and it ran for 441 performances with budding star George Murphy in the chorus. This was the longest-running Gershwin show during George's lifetime. The story line may have been a bit convoluted, but the music was delightful, with such melodies as "Love Is Sweeping the Country," "Who Could Ask for Anything More?," "Who Cares?," and, of course, "Of Thee I Sing."
The show was revived in 1933 at the Imperial and in 1952 at the Ziegfeld, both directed by Kaufman. It was never made into a movie, but it did appear on television in 1972. A sequel hit Broadway in 1933 as Let 'Em Eat Cake, a much darker satire than the first. In this, Wintergreen is defeated for reelection, and he and the vice president form a Fascist movement to take over the government. The critics and public were not impressed, and the show was a flop, with no memorable songs. Besides Porgy and Bess, which is often called an opera rather than musical, that was the last Broadway musical for the Gershwins.
The 1940s
This was not the best of times for Broadway. Still not quite out of the Great Depression, America was soon plunged into war with the rest of the world. One of the victims was the theatre, with only seventy-two productions during 1940–1941. Many of the theatres on Broadway became film houses, and television was looming as real competition. By 1948, the unemployment rate for Broadway actors would reach a shocking 80 percent.
Theatre professionals decided that what audiences needed at the time was an escape from reality, the more lighthearted entertainment the better. Irving Berlin, reigning as the top U.S. composer, did his best with Louisiana Purchase, which opened in 1940, and This Is the Army, in 1942. Audiences delighted in such tunes as "I Left My Heart at the Stage Door Canteen" and "Oh, How I Hate to Get Up in the Morning," performed by Berlin himself.
Cole Porter was also busy during this period. Panama Hattie (1940) starred Ethel Merman and became the first Broadway musical to last more than 500 performances since the 1920s. Let's Face It in 1941 showcased Eve Arden and Danny Kaye. Merman was back in 1943 with Something for the Boys, a bit of silliness near a military base that ran for more than a year.
But others, such as Richard Rodgers and Lorenz Hart, were looking for a little more than fluff. They presented Pal Joey, whose antihero title character is a hustler who gets rich by deceiving a wealthy mistress. New star Gene Kelly was in the title role, and the romantically beautiful "Bewitched, Bothered, and Bewildered" was the hit song. The subject matter may have been on the seamy side, but audiences flocked to it for a year.
Ira Gershwin returned to Broadway after the death of his brother George for Lady in the Dark, which starred Danny Kaye and Gertrude Lawrence in the longest run of her career. In 1942, the longest-running show for Rod-
gers and Hart opened. It was By Jupiter, with Ray Bolger.
By this time, however, Hart was well on the way to becoming lost in alcohol. Rodgers asked him to sober up so they could work on an adaptation for a new musical. Hart turned him down and headed for Mexico. Rodgers began to collaborate with Oscar Hammerstein II. With that step, the Golden Age of musical theatre in America was about to begin. And so it did in 1943, when the curtain went up on the first true musical—Oklahoma!
Oklahoma! marks the beginning of The Golden Age of American Musical Theatre. It was also the first collaboration between perhaps the most extraordinary musical theatre team of the Golden—or any other—Age: composer Richard Rodgers (1902–1979) and lyricist/librettist Oscar Hammerstein II (1895–1960). Born in New York City, Rodgers already had a string of hits when he teamed with Hammerstein. Born in Pennsylvania, Hammerstein came from a distinguished theatrical family. He first collaborated with Jerome Kern, producing the great hit Show Boat. Together, Rodgers and Hammerstein so influenced the theatre world that after 1943, nearly every musical on Broadway incorporated music and dance as part of the story line, not distinct from it.
Oklahoma! was a perfect blend of story, music, and dance as never before. It was so smoothly done that most audiences did not realize at the time they were watching something different. It simply flowed. With a tightly constructed plot, the libretto loosely followed the story line instead of using song and dance as separate elements. In premusical comedy productions, the action of the play would literally stop for a song or dance and then pick up again where the conversation had left off. But now, the song or dance either more fully explained the conversation or extended or changed it. Everything was totally integrated and, for the first time, the choreography (by Agnes de Mille) actually advanced the plot.
The play that Rodgers had first wanted to adapt with Hart was Green Grow the Lilacs, which had opened on Broadway in 1931, and closed after sixty-four performances. Named for a popular folk song at the time, it was set in the Indian Territory (Oklahoma) of 1900 and starred rather sophisticated film actor Franchot Tone as a cowboy called "Curly." Green Grow the Lilacs is largely forgotten today; Oklahoma! is still one of the most popular American musicals of all time.
But in the early 1940s, no one was much interested in investing in this adaptation from Rodgers and his new partner. For one thing, Hammerstein hadn't had a Broadway hit since the 1930s. And there were other drawbacks: Green Grow the Lilacs had pretty much been a dud; Rodgers was without Hart for the first time, and this was choreographer de Mille's first musical; the title when the show opened in New Haven, Connecticut, was Away We Go, which the critics found boring; there were no racy jokes; and chorus girls did not appear until forty-five minutes into the first act.
Some changes were made during preview performances, including change of title, made in Boston. De Mille staged a dance with the chorus coming right down to the footlights in a V formation. They sang O-K-L-A-H-O-M-A, Oklahoma, and then yelled "yeeeow!" The Boston audience howled with applause. And the show's name was changed. Before it opened for real, an exclamation point was added, making it Oklahoma! The musical opened on Broadway on March 31, 1943, with empty seats in the St. James Theater, but Rodgers and Hammerstein did not have to worry for long. By the first act intermission, they knew they had a hit—and so did everyone else.
The reviews were simply raves. The show was a runaway—an astounding 2,212 performances. Compare that to two of the longest-running hits of the 1930s: George and Ira Gerswin's Of Thee I Sing, which opened in 1931 and ran for 441 performances, and Cole Porter's Anything Goes (1934), which had a string of 440. Oklahoma! was the first musical to win a Pulitzer Prize (1944), a Special Citation in Letters given to Rodgers and Hammerstein. The musical also broke all existing box office records.
The story line is straightforward. Set in the territory before statehood, farm girl Laurey must choose to go to a dance with Jud, the farmhand she fears, or Curly, the cowboy she loves. As it turns out, Jud proves to be a murderer whom Curley is forced to kill in self-defense. Murder in a musical? It was unheard of, but it worked.
The choreography by Agnes de Mille helped to make it work. One of the show's most notable features is a fifteen-minute first act ballet, which is often called the dream ballet, during which Laurey tries to make up her mind about which man to choose. And whereas the musicals of the 1920s and 1930s generally presented one or two memorable songs, Oklahoma! sent its audiences out into the street with several unforgettable lines running through their heads. There was "Oh, What a Beautiful Mornin'," "The Surrey with the Fringe on Top," "I Cain't Say No," "People Will Say We're in Love," and, of course, "Oklahoma." For the first time, the original cast recorded the album of a Broadway show, a practice that is common today. The album brought in more than one million sales. The original cast album of Oklahoma! is still in print in various electronic forms.
To bolster what looked like poor sales at first, the Theatre Guild wanted a star's name on the marquee, such as Shirley Temple, but Rodgers and Hammerstein were insistent on lesser-known names. They were right, for raves went to the original cast as well. It starred Alfred Drake (beginning his reign as Broadway's top male musical star) as Curley, Joan Roberts as Laurey, Betty Garde as Aunt Eller, Lee Dixon as Will, Celeste Holm as playful Ado Annie (gaining the stardom she would keep into the next century), and Howard Da Silva as Jud. In time, these actors were replaced by others who also made a name on Broadway and in films, including Howard Keel, John Raitt, Shelley Winters, and Florence Henderson. Touring companies of Oklahoma! played all over the United States for the next ten years and in foreign countries as well. In fact, it broke all records—with 1,151 performances—at London's Drury Lane Theatre.
On a sad note, amid all the jubilation on opening night, Lorenz Hart was in the audience and sober to see his former partner's triumph. He was said to have been stunned by the audience reaction. After that, Hart agreed to work on a revival of A Connecticut Yankee with Rodgers, but on opening night, he showed up drunk again. He was thrown out of the theatre during the second act. A couple of nights later, Frederick Loewe found him sitting on a curbside in the icy November weather. Hart caught pneumonia and died a few days later at the age of forty-eight.
Why was Oklahoma! so successful? For the same reason that it opens these twenty-two years of musical comedy on Broadway. All elements of the show—music, lyrics, ballet—were a perfect blending. And all these elements had a definite and close connection with the plot. Usher in the Golden Age.
Rodgers and Hammerstein continued their winning ways in the 1940s. They received an Oscar in 1946 for "It Might as Well Be Spring" in the film version of State Fair. (A previous winner, Hammerstein was the only person named Oscar ever to win an Oscar.) But their next big Broadway successes were Carousel and South Pacific.
Carousel opened at the Majestic on April 19, 1945, right across from the St. James, which was still playing Oklahoma! In this adaptation, Rodgers and Hammerstein had a different problem than in their earlier work. The new musical was based on Liliom, with a carnival setting and Hungarian background. The original drama had been revived in the 1930s and again in 1940, starring Ingrid Bergman and Burgess Meredith on Broadway. Now the Theatre Guild wanted it adapted for a musical, but there was a problem with playwright Ferenc Molnar. The author wanted nothing to do with changing his work in such a way; however, he was persuaded to see Oklahoma!, and that changed his mind—providing Rodgers and Hammerstein would do the adapting and not change the spirit of the play.
Rodgers and Hammerstein themselves weren't so sure about the setting, or the plot for that matter. So, they suggested taking the plot out of Hungary and putting it into New England. Once that was approved, they kept the original spirit of the play but made many other changes. In the original, Liliom is a bully at a carousel who has an affair with Julie, who becomes pregnant. He attempts a robbery to get money for the child and kills himself rather than get caught. When he returns to earth years later, he tries to give his now fifteen-year-old daughter a star, which she refuses. Liliom goes back to purgatory.
In the adaptation, once again with choreography by Agnes de Mille, Liliom becomes the more sympathetic Billy Bigelow and, in this case, he marries Julie. He kills himself to avoid capture and comes back fifteen years later. He sees his daughter graduate and sings "You'll Never Walk Alone." Then he returns to heaven. The sweeter ending delighted Broadway audiences for more than 899 performances. But the real success of the musical was undoubtedly the score, which, besides Billy's song, included "What's the Use of Wond'rin'" and "When the Children Are Asleep." The musical was also successful in the film version, which starred Gordon MacRae as Billy and Shirley Jones as Julie.
And then came South Pacific in 1949. It was based on two short stories by James Michener in his Pulitzer Prize–winning book Tales of the South Pacific. It also gave the Pulitzer Prize for Drama (1950) to Rodgers and Hammerstein, with cowriter Joshua Logan, and the show closely beat out Kiss Me, Kate as the best musical of the year. In addition, it picked up ten Tony Awards. The story takes place in the South Pacific during World War II and deals with a romance between Navy Ensign Nellie Forbush, from Little Rock, Arkansas, and a middle-aged French planter named Emile de Becque. The secondary romance involves young Lieutenant Cable and his attraction to Liat, daughter of Polynesian Bloody Mary.
The musical had two main attractions. One was the two leads. Mary Martin got her Broadway start in Cole Porter's Leave It to Me but went to Hollywood to star in ten films for Paramount. She returned to Broadway for South Pacific and took the show to London as well. Martin would later win Tonys for Peter Pan (1954) and The Sound of Music (1959). Ezio Pinza was on his second career when he starred in South Pacific. Born in Rome, Italy, he sang at La Scala opera house in Milan and at the New York Metropolitan Opera over a long career. After retirement from the Met in 1948, he went on to new fame as Emile de Becque.
The other main attraction was the score, which audiences loved. The songs are perfect for the plot, including "Some Enchanted Evening," "Bali Ha'i," "Happy Talk," "I'm in Love with a Wonderful Guy," "Younger Than Springtime," and a showstopper by the group of sailors, seabees, and marines called "Bloody Mary." Another great pleaser was Martin's rendition of "I'm Gonna Wash That Man Right Outa My Hair." More than the song itself, audiences became intrigued with what the nightly washing was doing to Martin's scalp. It made wonderful newspaper copy. Martin had her hair cut very short for the role and also wore brightly colored turbans when she was off stage.
One song that caused political turmoil was Cable's rendition of "Carefully Taught," which sings about the ways in which people learn prejudice and how they are taught from their parents which people to hate. Hammerstein admitted the song was a protest against racial prejudice. Georgia legislators introduced a bill condemning the lyrics as un-American, but the song survived, and so did the show, including a highly successful revival at the Vivian Beaumont Theatre in 2008.
The 1950s
Broadway ruled in the 1950s, even though the number of theatre houses continued to decline. People were preoccupied with war in Korea, or trouble with Cuba, or the assassinations of John F. Kennedy and Martin Luther King Jr., but there was still time for a show tune. In fact, the 1950s formed the heart of the Golden Age of American musical theatre, with Rodgers and Hammerstein at the forefront. Show after show won rave reviews, and many are still revived today. In fact, the decade produced an astounding number of hit shows, including Call Me Madam and Guys and Dolls in 1950, The King and I in 1951, Can-Can and Kismet in 1953, The Pajama Game in 1954, Damn Yankees in 1955, the wondrous My Fair Lady in 1956, West Side Story in 1957, Flower Drum Song in 1958, Gypsy and The Sound of Music in 1959, and many others. It was an inspired time for musical comedy.
Guys and Dolls might best be described in two words: "New Yorky." Some critics called it the best of all American musical comedies. It was based on a story by Damon Runyon, a longtime newspaperman and portrayer of the Broadway scene. His characters included such favorites as Harry the Horse, Angie the Ox, and Nicely Nicely Johnson. The musical concerns two love affairs: a fourteen-year engagement between gambler Nathan Detroit and Miss Adelaide, a nightclub singer, and the romance between even bigger gambler Skye Masterson and Miss Sarah Brown of the Save a Soul Mission. Such tunes as "Luck Be a Lady," "If I Were a Bell," "A Bushel and a Peck," and "Sit Down You're Rockin' the Boat" delighted audiences and critics alike.
Successful as it was, Guys and Dolls faced a serious contender for the best on Broadway. Rodgers and Hammerstein's The King and I opened at the St. James on March 29, 1951, exactly eight years after Oklahoma! in the same theatre. It was based on Margaret Landon's Anna and the King of Siam, which was the story of governess Anna Leonowens who goes to Siam to teach King Mongkut's children in the early 1860s. It starred Gertrude Lawrence as Anna and Yul Brynner, who was fairly unknown at the time, as the king. The story concerns the two main characters as they match strong wills against each other.
Some critics found this musical the most spectacular of all works by Rodgers and Hammerstein, and audiences seemed to agree. It certainly was a huge production. Supposedly, sets and costumes filled six carloads, but it was the score that audiences found so enchanting, the way in which the tunes carried the plot. Early in the show, Anna and her son arrive in Siam and are visibly frightened by the sight of apparently unfriendly natives. So, Anna sings "I Whistle a Happy Tune." That was to be followed by such marvelous songs as "I Have Dreamed," "We Kiss in a Shadow," "Hello, Young Lovers," "Getting to Know You," and the wonderful scene between Anna and the King with "Shall We Dance?"
As the king, Yul Brynner, a former circus acrobat, surprised everyone with his powerful performance. He was the king of Siam, and his shaved head—shaved for the play—became his trademark. Brynner returned for a revival in 1985, knowing he was dying of cancer. He received a special Tony for his portrayal of the king, a role he played 4,524 times.
In 1954, producers Frederick Brisson, Robert Griffith, and Harold Prince had a hit on their hands with The Pajama Game, which ran for more than 1,000 performances. Feeling that if it worked once it could work again, they assembled the same production staff and once again adapted a popular book for the stage. In this case, it was The Year the Yankees Lost the Pennant, by Douglass Wallop. The result was a 1,019-performance hit called Damn Yankees. It seemed to promise a bright future, especially for the music and lyrics team of Richard Adler and Jerry Ross. Tragically, Ross died a few months after the musical opened of a chronic bronchial disease. He was twenty-nine years old.
The plot involves middle-aged Joe Boyd, a long-suffering fan of the Washington Senators baseball team. He sells his soul to Mr. Applegate, who is really the Devil. In return, he becomes slugger Joe Hardy. He leaves his wife Meg and helps the Senators move up in the standings. But Joe misses his wife, so Applegate Devil sends out temptress Lola, but Joe does not fall for her; however, false information is released about Joe and he is forced to court. Lola realizes he truly loves Meg and gets him to the Senators' final game on time. Joe hits a home run, and the Senators win the pennant. Applegate promises to make Joe young again and get a World Series victory, but Joe wants to be with Meg and refuses the deal.
The lead role of Lola had to be a dancer, said the producers. After Mitzi Gaynor turned the role down, the offer went to Gwen Verdon, who had sung just one song in Can-Can. It was a wise choice. In fact, she was so good that she caused what were really the only two criticisms of the show. Lola was so seductive that it seemed impossible anyone could resist her, certainly not a starstruck jock like Joe. In addition, whenever Lola walked off the stage, audience interest seemed to flicker. No wonder the hit song of the show was Lola's "Whatever Lola Wants, Lola Gets." The other two lead parts were played by Stephen Douglass as Joe Hardy and Ray Walston as Mr. Applegate.
Damn Yankees was revived on Broadway in 1994 and ran for 718 performances. Bebe Neuwirth was Lola, and Jerry Lewis took over the part of Mr. Applegate in 1995; however, the 1994 revival contained many revisions, so most consider the first true revival to be produced by the City Center Encores in July 2008. The movie production came out in 1958, with most of the original cast back in their roles, with the exception of the part of Joe Hardy, played by Tab Hunter.
The following year in this splendid decade of the musical theatre on Broadway appeared what some consider the finest of all American musical comedies. My Fair Lady opened on March 15, 1956, at the Mark Hellinger and ran for 2,717 performances (a record at the time). It has been called the perfect musical.
The show is based on George Bernard Shaw's Pygmalion, which had a long history of stage success before Alan Jay Lerner and Frederick Loewe adapted it. The story concerns Eliza Doolittle, a Cockney flower girl whose speech is overheard by gentleman Henry Higgins, who laments, "Why Can't the English Learn to Speak?." He tells his companion, Colonel Pickering, that in six months he could have her speaking like a lady. The very next day, Eliza arrives at his doorstep. She heard his boast and wants him to make good on it. What follows is Eliza's wondrous but painstaking transformation. Just as all is despair, she "gets it" in one of the most marvelous of showstoppers, "The Rain in Spain," in which Eliza, Henry, and the Colonel romp around the room in joy at her pronunciation. From there, Higgins takes her to the Ascot Racecourse, where Freddy Eynsford-Hill falls for her. The final test is the Embassy Ball, where Eliza fools them all into believing she was "born Hungarian."
But now Eliza feels used by Higgins, so she leaves his home. He awakens to find that he is lost without her; however, when he goes to find her, Eliza says she does not need him anymore. Higgins returns home to discover that, "I've Grown Accustomed to Her Face." When he hears a Cockney accent again, he sees that Eliza has returned. Will they get together? As the musical ends, Higgins says only, "Eliza, where the devil are my slippers?" In addition to the melodies noted above, the splendid score includes "Wouldn't It Be Loverly?" "I Could Have Danced All Night," "On the Street Where You Live," and "Get Me to the Church on Time."
Lerner and Loewe had first tried to adapt Pygmalion in the 1930s at producer Gabriel Pascal's request, but there were problems. Was there really a love story between Eliza and Higgins, which is essential in most all musicals? And what about a secondary romance, which is also usually the case? So, they gave up and abandoned the project for two years. When they went back to it, Broadway had changed, and the objections they first saw didn't seem important.
Next came the problem of casting. Noël Coward was first choice for Henry Higgins. He turned it down, and the role went to Rex Harrison, which proved a marvelous decision. The role of Eliza was more difficult. Mary Martin was offered the part and turned it down. After some fifty young women were auditioned, the part went to a relative unknown. She was Julie Andrews, whose only Broadway role had been in an English import, The Boy Friend. It proved to be another wise choice. Getting someone to direct was easy. Moss Hart heard just two songs and said yes.
Before Broadway, the production held a tryout at the Shubert Theatre in New Haven, Connecticut, but on opening night, Rex Harrison locked his dressing room door and declared he was not going on. The apparent stage fright declined about an hour before curtain call, and the performance was a triumph.
My Fair Lady broke records on Broadway, in London, and probably all over the world. It has been revived on Broadway three times, in 1976, 1981, and 1993. In 2007, the New York Philharmonic staged a full-costume concert rendition. When it had reached the 2,717th performance of its initial run, My Fair Lady became the longest-running musical comedy and the third-longest presentation of a drama in the history of New York theatre. Broadway had truly become accustomed to its face.
Interestingly, when the musical was adapted for film, Jack Warner of Warner Bros. insisted that the part of Eliza go to Audrey Hepburn because she was a box office star. Reportedly, Elizabeth Taylor had wanted the role as well. Rex Harrison was once again Henry Higgins. Both Andrews and Hepburn denied that there was any problem between them over the casting, but some saw vindication for Andrews when she won an Oscar for Mary Poppins. On that same night, Harrison won his Oscar for My Fair Lady, which was presented to him by Hepburn. A diplomat, Harrison thanked both Elizas for his award.
The magic of My Fair Lady might not have been matched, but the rest of the decade held some splendid moments as well. In 1957, a musical adaptation of Shakespeare's Romeo and Juliet opened at the Winter Garden. It is called West Side Story. It is still frequently produced today in regional theatres, schools, and opera companies. Directed and choreographed by Jerome Robbins, with music by Leonard Bernstein and lyrics by Stephen Sondheim in his Broadway debut, the production would win a Tony for choreography and a nomination for Best Musical, losing out to The Music Man.
The American Jets and Puerto Rican Sharks are rival teenage gangs in the city. At a neighborhood dance, Tony, former member of the Jets, and Maria, newly arrived from Puerto Rico, fall in love. They plan to marry, but first Maria asks Tony to stop a rumble between the gangs. He agrees and, in the fight, Shark leader Bernardo stabs Jet leader Riff, and Tony, in a rage, kills Bernardo. Finally, Tony is killed by another gang member, and all members of both gangs gather over his body, suggesting the feud may now come to an end.
Audiences loved this show, and they still do, but in at least two ways, it was far different from the usual Broadway musical. For one thing, the ending is not a happy one, even with a vague hope of peace between the gangs. For another, the songs were without humor, except for two that can hardly be called sunny. When the Shark girls sing "America," they are contrasting—frequently on the dark side—the differences between life in the United States and Puerto Rico. In "Gee, Officer Krupke," the American Jets carry on about delinquency.
Sunny or not, Bernstein's score is so appealing. In fact, since its opening, many critics have called this musical his most distinguished contribution to Broadway. The songs well express the passion and hates of the characters. There is "Somewhere," "I Feel Pretty," "One Hand, One Heart," and the beautifully expressed feelings between Tony and Maria in "Tonight."
West Side Story was revived in 1964 by the New York City Center Light Opera Company for a limited engagement and at Lincoln Center in 1968. The Broadway revival opened at the Minskoff in 1980 for 333 performances, directed by Jerome Robbins. His Broadway production in 1989 featured several dances from the original show. Besides national and world touring companies, West Side Story enjoyed a run of 1,039 performances in London's West End.
The decade was nearing an end, but there was still much to entertain theatre buffs. In 1958, Rodgers and Hammerstein were back with Flower Drum Song, featuring for the first time in Broadway history a mostly Asian cast. The two had already shown interest in the Far East with South Pacific and The King and I. This time a high school friend of Hammerstein's got him interested in the novel, telling of cross-cultural conflict in the early 1950s.
Shy Mei Li and her father are illegal immigrants in San Francisco. She is to marry Sammy Fong, a nightclub owner, but hip Sammy is interested in showgirl Linda Low. He sends Mei Li to Master Wang's home, hoping to interest his shy son, Wang Ta. Master Wang is happy, but how can the arranged marriage be cancelled? Ta falls for Linda, until he meets Mei Li. After many complications, the Three Family Association decides that Sammy and Mei Li must marry, even though they don't want to, but at the wedding, the bride confesses she is an illegal alien. The marriage contract is off, and Sammy and Linda and Ta and Mei Li are now free to marry.
Miyoshi Umeki, Keye Luke, and Pat Suzuki led the Asian cast, with Juanita Hall, an African American of South Pacific fame, and Larry Blyden, as the non-Asians. The show ran for 600 performances and won six Tony nominations. Much of the praise went to the sweet and gentle score, which included "You Are Beautiful," "A Hundred Million Miracles," "I Am Going to Like It Here," "Don't Marry Me," "Love Look Away," and "The Other Generation."
The Broadway revival opened in 2002 for 169 performances. In it, Mei Li is more than a mail order bride but has escaped the communist regime at home. It enjoyed a run of 464 performances in London's West End in 1960.
Fittingly for the major decade of the Golden Age, the last year ended with two outstanding hits: Gypsy and The Sound of Music. Based on the memoirs of famed striptease artist Gypsy Rose Lee, Gypsy centers not on her but on her mother, Rose, the ultimate stage mom, played by Ethel Merman in perhaps her crowning role.
During the Great Depression, Rose plays the vaudeville circuit, pushing her children, Louise (based on Gypsy Rose Lee) and talented Baby June (based on Lee's sister, actress June Havoc). Rose persuades former agent Herbie to be their manager. As the girls grow up, June gets tired of the circuit and leaves. Rose is now determined to make Louise a star, but her second-rate act ends up in burlesque. In disgust at Rose's ambition, Herbie leaves, and Louise no longer needs her mother. The two argue, but at the end there is a hint of a reconciliation.
The original production ran for 702 performances and received eight Tony nominations. It was revived on Broadway in 1974, 1989, 2003, and 2008. It enjoyed 300 performances in London's West End. Rosalind Russell (who could not sing) played Rose in the 1962 film production, and Bette Midler took the role in the television movie in 1993.
The last big show of the 1950s belonged to Rodgers and Hammerstein. It was their final work together (Hammerstein died a few months after the opening) and contained probably more hit tunes than any of their other works. The Sound of Music opened at the Lunt-Fontane on November 16, 1959.
Based on the memoirs of the Trapp Family singers (with a few changes) and set in Austria just before World War II, the musical opens in an abbey where postulant Maria (Mary Martin) is being sent by the Mother Abbess as governess to the seven children of widower Captain Georg von Trapp (Theodore Bikel). The Abbess hopes that during those few months Maria will consider whether she is cut out to be a nun.
Maria disapproves of the militaristic way in which the children are being raised, and she teaches them to sing ("Do-Re-Me"). In time, the oldest child, Liesl, secretly begins to meet young Rolf. Baroness Elsa Schraeder arrives, presumably to marry the captain. Maria returns to the Abbey to take her vows, but the Abbess feels she is running away from her feelings for von Trapp and tells her to return.
Finally, Maria and von Trapp realize their love for one another and they marry. A telegram arrives for the captain to join the German navy. The von Trapp family asks for a last chance to sing together on stage. They sing "So Long, Farewell" and leave the stage in groups. When the Nazis search for them, they are missing. Rolf discovers them at the Abbey, but because of Lisel, he does not report them. The von Trapps flee over the mountains to safety.
The original production shared the Tony Award for Best Musical with Fiorello! and won Best Actress for Mary Martin, among other awards. The original cast album sold three million copies. The London production ran for 2,385 shows and was revived there in 1981 and 2006. It was revived on Broadway in 1998 and ran for fifteen months.
The 1960s
The Golden Age was nearing its end in the 1960s, but the shows produced during those first few years of the decade were an impressive offering of musical comedies that resulted in an amazing number of performances. There was Bye Bye Birdie (607 shows), Camelot (873), How to Succeed in Business without Really Trying (1,417), Oliver! (774), Hello, Dolly! (2,844), Funny Girl (1,348), and Fiddler on the Roof (3,242), among others.
Bye Bye Birdie opened on April 14, 1960, with a cast that included Dick Van Dyke, Chita Rivera, and Paul Lynde. Inspired by pop singer Elvis Presley, who got his draft notice for the army in 1957, this is the story of rock star Conrad Birdie, who gets drafted. This upsets agent Albert Peterson and his sweetheart, Rosie Alvarez, since they are about to lose money with Birdie gone. They devise a publicity stunt to have Birdie record one more song before he leaves. He is to give one last kiss to a lucky girl from his fan club, but she falls in love with him. Mayhem follows, Conrad lands in jail, Albert gets him out so he can report to the army, and Albert and Rosie leave for Pumpkin Falls, Iowa, where he will be an English teacher.
It won four Tonys in all, including Best Musical and Best Featured Actor. One of the songs, "Put on a Happy Face," became a popular hit and has been used in many television commercials. The successful musical became a film in 1963, with Dick Van Dyke again in the role of Albert, and it was adapted for television in 1995, with Jason Alexander in the lead.
Lerner and Loewe's Camelot opened at the Majestic on December 3, 1960, with Richard Burton, Julie Andrews, Robert Goulet, and Roddy McDowall in the cast. Although reviews of the opening were mixed, the production was stimulated by Ed Sullivan on his television show The Toast of the Town and by its association with the John F. Kennedy administration; Kennedy had been a classmate of Loewe's at Harvard.
The plot concerns King Arthur (Burton) and his marriage to Guenevere (Andrews), which is threatened when she and Lancelot (Goulet) fall in love. The two are torn by their loyalty to the king and their love for each other, but after Lancelot and Guenevere leave for France, Arthur must wage war against him. Before the final battle, Arthur comes face to face with them both and forgives them. Lancelot and Guenevere go their separate ways. Despite the mixed reviews, Camelot won four Tonys, including Best Actor and Best Actress. Goulet had a hit recording with "If Ever I Would Leave You."
Another big Tony winner (seven) that also won the Pulitzer Prize for Drama was How to Succeed in Business without Really Trying, which opened on October 14, 1961. Robert Morse starred as J. Pierrepont Finch, a window washer who thinks that all he needs to know to succeed is contained in the book he is reading. In startling fashion, he rises in the World Wide Wicket Company and in the end becomes chairman of the board with an eye on running for U.S. president.
The audiences loved it, and Morse won the Tony for Best Actor. The London production opened in 1963, and it was revived on Broadway in 1995. The 1967 film also starred Morse in the lead role.
The next big hit of the 1960s was Oliver!, which opened at the Imperial on January 6, 1963. It was the first musical adaptation of a Charles Dickens work to make a hit on Broadway. The London production had opened in 1960 and ran for 2,618 performances. It was revived in London in 1994 and 2009. A North American tour in 2003 ran for two years.
The plot centers on young Oliver and his life in the workhouse, which becomes unbearable when he dares to ask for more food from the heartless Mr. Bumble. Oliver goes from bad to worse as he gets mixed up with the criminal Fagin, who teaches young boys how to pick pockets. All ends well when wealthy Mr. Brownlow realizes that Oliver is actually his grandson, and Fagin decides it's time to straighten out his life.
A great hit of the 1960s starred the irrepressible Carol Channing as the irrepressible Dolly Levi in Hello, Dolly! It opened to rave reviews on January 16, 1964, at the St. James. Channing was actually the third choice for the role. It was originally intended for Ethel Merman, but she turned it down, as did Mary Martin, although both later played the part. As it turned out, Channing then had the chance to create what is her most memorable role on Broadway.
The story is based on Thornton Wilder's The Merchant of Yonkers, which was a flop in 1938. Wilder expanded the role of Dolly and revised it into The Matchmaker in 1955. It concerns the world's biggest meddler, Dolly Levi, and her attempts to bring romance to several couples. While she is doing so, she causes mayhem everywhere, but in the end she gets grumpy and wealthy Horace Vandergelder for herself.
The original production, directed and choreographed by Gower Champion, became the longest-running Broadway musical at the time, surpassing My Fair Lady. It won ten Tonys, including Best Musical and Best Actress for Channing and Best Choreography for Champion. The record of ten Tonys went unchallenged until The Producers won twelve in 2001. Louis Armstrong had a hit record with "Hello, Dolly" in 1964. At age sixty-two, he was the oldest person ever to reach number one on the pop chart. The red satin gown Channing wore in the production is now at the National Museum of American History, part of the Smithsonian in Washington, D.C. The 1969 film version, with Barbra Streisand in the lead, was nominated for seven Oscars and won three.
Hello, Dolly! has been revived three times on Broadway, in 1975 (an all-black production with Pearl Bailey) and in 1978 and 1995 (both with Channing). Mary Martin starred in the London production in 1965 and in a U.S. tour that same year.
Streisand was back on Broadway for a magnificent performance as Fanny Brice in Funny Girl, which opened on March 26, 1964, at the Winter
Garden. It was nominated for eight Tonys but failed to win because of tough competition from Hello, Dolly! The musical was produced by Ray Stark, who was Brice's son-in-law.
The plot revolves around Brice, film star and comedienne, and her stormy relationship with gambler and husband Nicky Arnstein, played by Sydney Chaplin. Set in the New York City area around World War I, it looks back on Brice's life as she awaits the return of her husband from prison. When he does return, the two decide to go their separate ways.
The songs were a great triumph for Streisand, including "I'm the Greatest Star," "His Love Makes Me Beautiful," "Don't Rain on My Parade," "Sadie, Sadie," and "Who Are You Now?" She also starred in the film version in 1968 opposite Omar Sharif and shared the Oscar for Best Actress with Katharine Hepburn (for her role in The Lion in Winter). It was the top-grossing movie of the year.
The last great production of the Golden Age held the record for almost ten years as the longest-running Broadway musical. It is Fiddler on the Roof with Zero Mostel, based on tales by Sholem Aleichem and set in Tsarist Russia in 1905. Mostel plays Tevye the milkman, who tries to keep religious traditions and see that his five daughters get married. His three oldest are very strong willed, and each one's choice of a husband moves further away from the old ways. In the end, the Russians force Tevye, his wife, and two daughters from their village, and they head to America for a new life.
After Mostel left the show, Herschel Bernardi, Theodore Bikel, and then Leonard Nimoy took the role, but the show was such a success and continues to enjoy such popularity that it no longer matters who is cast in the part of Tevye the milkman. The show and the music are enough. Fiddler on the Roof was nominated for ten Tonys and won nine. It was revived on Broadway in 1976, 1981, 1990, and 2004. It ran in London in 1983, 1994, and 2007, as well tours in Britain in 2003 and 2008 and the United States in 2009. The film version (1971), with Chaim Topol as Tevye, won three Oscars. Fiddler on the Roof tops the list of great Broadway success stories.
The Golden Age of American Musical Theatre ends with On a Clear Day You Can See Forever, to mark a changing Broadway. It opened on October 17, 1965. This was not the greatest or biggest or most-remembered hit of the period, although critics liked the score, and it starred Barbara Harris, which added up to a run of 280 performances. It concerns quirky Daisy Gamble (Harris), with low self-esteem and a smoking habit, for which she sees psychiatrist Mark Bruckner (John Cullum), who discovers she had a previous life as Melinda in eighteenth-century England. Things get complicated when Bruckner falls for Melinda. Daisy gets angry and goes to the airport, only to have her ESP tell her that the plane will crash. She now realizes her special powers and returns to Mark.
The musical received three Tony nominations, and the title song was recorded by Barbra Streisand, Robert Goulet, and Johnny Mathis. The London premiere opened in 2000. The 1970 film version starred Streisand and Yves Montand.
From Oklahoma! to On a Clear Day You Can See Forever covers a memorable and never-fading period in the American musical theatre. The talent was the best, the scores most melodic, the dances most foot-tapping. On any given night on Broadway, in one of the thirty-nine theatres and in any of the many revivals today, it was and is a time to listen and love, a time to stand up and cheer, and a time to tell each entire cast to go break a leg.
# 3
## Golden Age Timeline
1943
March 31: Oklahoma!
October 7: One Touch of Venus
December 2: Carmen Jones
1944
January 13: The Jackpot
January 28: Mexican Hayride
April 8: Follow the Girls
April 20: Allah Be Praised!
May 18: Dream with Music
October: 5 Bloomer Girl
November 16: Sadie Thompson
December 28: On the Town
1945
April 19: Carousel
November 8: The Girl from Nantucket
November 10: Are You with It?
November 22: The Day before Spring
December 21: Billion Dollar Baby
1946
January 21: Nellie Bly
February 6: Lute Song
February 13: The Duchess Misbehaves
March 30: St. Louis Woman
May 16: Annie Get Your Gun
November 4: Park Avenue
December 22: Beggar's Holiday
1947
January 9: Street Scene
January 10: Finian's Rainbow
March 13: Brigadoon
April 3: Barefoot Boy with Cheek
June 2: Louisiana Lady
October 9: High Button Shoes
October 10: Allegro
1948
January 29: Look, Ma, I'm Dancin'
May 5: Hold It!
June 3: Sleepy Hollow
September 16: Heaven on Earth
September 20: Magdalena
October 7: Love Life
October 11: Where's Charley?
November 13: As the Girls Go
December 30: Kiss Me Kate
1949
April 7: South Pacific
July 15: Miss Liberty
October 30: Lost in the Stars
November 25: Texas, L'il Darlin'
December 8: Gentlemen Prefer Blondes
1950
January 6: Happy as Larry
March 23: Great to be Alive
October 12: Call Me Madam
November 10: Guys and Dolls
December 21: Out of This World
1951
March 29: The King and I
April 8: By the Beautiful Sea
April 18: Make a Wish
April 19: A Tree Grows in Brooklyn
May 14: Flahooley
June 13: Courtin' Time
June 21: Seventeen
November 1: Top Banana
November 12: Paint Your Wagon
1952
March 21: Three Wishes for Jamie
June 25: Wish You Were Here
October 14: Buttrio Square
October 27: My Darlin' Aida
1953
February 11: Hazel Flagg
February 18: Maggie
February 25: Wonderful Town
May 7: Can-Can
May 28: Me and Juliet
September 8: Carnival in Flanders
December 3: Kismet
1954
March 3: The Girl in Pink Tights
March 11: The Golden Apple
May 13: The Pajama Game
September 20: The Boy Friend
October 20: Peter Pan
November 4: Fanny
December 2: Hit the Trail
December 30: House of Flowers
1955
January 27: Plain and Fancy
February 24: Silk Stockings
April 18: Ankles Aweigh
May 5: Damn Yankees
May 16: The Roar of the Greasepaint—The Smell of the Crowd
May 26: Seventh Heaven
November 10: The Vamp
November 30: Pipe Dream
1956
March 15: My Fair Lady
March 22: Mr. Wonderful
May 3: The Most Happy Fella
June 13: Shangri-La
November 15: L'il Abner
November 29: Bells Are Ringing
December 6: Happy Hunting
1957
April 13: Shinbone Alley
May 14: New Girl in Town
September 26: West Side Story
October 17: Copper and Brass
October 31: Jamaica
November 6: Rumple
December 19: The Music Man
1958
January 23: The Body Beautiful
February 4: Oh Captain!
February 21: Portofino
April 3: Say, Darling
October 11: Goldilocks
December 1: Flower Drum Song
December 22: Whoop-Up
1959
February 5: Redhead
March 9: Juno
March 19: First Impressions
April 23: Destry Rides Again
May 11: Once Upon a Mattress
May 12: The Nervous Set
May 21: Gypsy
October 7: Happy Town
October 22: Take Me Along
November 16: The Sound of Music
November 23: Fiorello!
December 7: Saratoga
1960
February 10: Beg, Borrow or Steal
March 8: Greenwillow
April 14: Bye Bye Birdie
September 29: Irma La Douce
October 17: Tenderloin
November 3: The Unsinkable Molly Brown
December 3: Camelot
December 16: Wildcat
December 26: Do Re Mi
1961
January 16: The Conquering Hero
March 2: 13 Daughters
April 3: The Happiest Girl in the World
April 13: Carnival
May 18: Donnybrook!
October 3: Sail Away
October 10: Milk and Honey
October 14: How to Succeed in Business without Really Trying
October 23: Kwamina
November 2: Kean
November 18: The Gay Life
December 27: Subways Are for Sleeping
1962
January 27: A Family Affair
March 15: No Strings
March 19: All American
March 22: I Can Get It for You Wholesale
May 8: A Funny Thing Happened on the Way to the Forum
May 19: Bravo Giovanni
October 3: Stop the World—I Want to Get Off
October 12: Let It Ride
October 20: Mr. President
November 10: Nowhere to Go But Up
November 17: Little Me
1963
January 6: Oliver!
March 18: Tovarich
April 15: Sophie
April 19: Hot Spot
April 23: She Loves Me
May 16: The Beast in Me
October 3: Here's Love
October 17: Jennie
October 24: 110 in the Shade
December 8: The Girl Who Came to Supper
1964
January 16: Hello, Dolly!
February 16: Foxy
February 27: What Makes Sammy Run?
March 26: Funny Girl
April 4: Anyone Can Whistle
April 7: High Spirits
April 17: Café Crown
May 26: Fade Out—Fade In
September 22: Fiddler on the Roof
September 30: Oh! What a Lovely War
October 20: Golden Boy
October 27: Ben Franklin in Paris
November 10: Something More!
November 23: Bajour
December 15: I Had a Ball
1965
February 6: Kelly
February 16: Baker Street
March 18: Do I Hear a Waltz?
April 25: Half a Sixpence
May 11: Flora, the Red Menace
October 4: Pickwick
October 10: Drat! The Cat!
October 17: On a Clear Day You Can See Forever
# 4
## The Golden Age Musicals
of Broadway
Note: Entries marked with an * are designated as flops, indicating a run of fewer than 161 (1–160) performances.
*ALL AMERICAN (March 19, 1962; Winter Garden Theatre; 80 performances). Director: Joshua Logan; Composer: Charles Strouse; Lyricist: Lee Adams; Librettist: Mel Brooks; Choreographer: Danny Daniels. Ray Bolger, as university professor Fodorski, led the cast in a show that applied engineering principles to football strategies and featured muscular men stripped to the waist. Critics found the songs unmemorable, and the production was not helped by a city newspaper strike, which cut off most advertising.
Tony nominations: Best Actor in a Musical (Bolger), Best Direction of a Musical
*ALLAH BE PRAISED! (April 20, 1944; Adelphi Theatre; 20 performances). Directors: Robert H. Gordon and Jack Small; Composers: Don Walker and Baldwin Bergersen; Lyricist/Librettist: George Marion Jr.; Choreographer: Jack Cole. This is a confusing tale about a search for a missing American, played by Edward Roecker, in the postwar harems of Sultanbad. When he is finally discovered, it turns out that he is the sultan.
ALLEGRO (October 10, 1947; Majestic Theatre; 315 performances)
Production credits: Producer: Theatre Guild; Director/Choreographer: Agnes de Mille; Composer: Richard Rodgers; Lyricist/Librettist: Oscar Hammerstein II
Original cast: Marjorie Taylor (Annamary Dickey), Dr. Joseph Taylor (William Ching), Joe Jr. (John Battles), Jennie Brinker (Roberta Jonay), Emily West (Lisa Kirk), Charlie Townsend (John Conte)
Synopsis: In 1905, Marjorie and Joe have a son, Joe Jr. His father wants him to become a doctor, but Grandma says the child will decide. Joe Jr. grows into a shy lad who falls in love with Jenny. When he finishes college and does become a doctor, he goes back to their small town and they marry. But it is the Depression and times are hard. At Jenny's urging, they move to Chicago, where Joe builds a successful practice; however, his wife begins to cheat on him. When Joe finally realizes that, he moves back to his small town.
Songs: "Joseph Taylor Jr."; "I Know It Can Happen Again"; "One Foot, Other Foot"; "Children's Ballet"; "The Winters Go By"; "A Fellow Needs a Girl"; "Freshman Dance"; "It's a Darn Nice Campus"; "She Is Never Far Away"; "So Far"; "Money Isn't Everything"; "Yatata, Yatata, Yatata"; "The Gentleman Is a Dope"; "Allegro"; "Come Home"
Comments: This Broadway Musical collaboration (after Oklahoma! [1943] and Carousel [1945]) by Richard Rodgers and Oscar Hammerstein was the first time that Hammerstein did not adapt from an older work.
ANKLES AWEIGH (April 18, 1955; Mark Hellinger Theatre; 172 performances)
Production credits: Producers: Howard Hoyt, Reginald Hammerstein, and Fred F. Finklehoffe; Director: Fred F. Finklehoffe; Composer: Sammy Fain; Lyricist: Dan Shapiro; Librettists: Guy Bolton and Eddie Davis; Choreographer: Tony Charmoli
Original cast: Tommy (Bill Costin), Elsey (Betty Kean), Wynne (Jane Kean), Dinky (Lew Parker), Spud (Gabriel Dell), Lt. Bill Kelley (Mark Dawson), Captain Zimmerman (Mark Allen), Admiral Pottles (Will Hussung), Chipolata (Thelma Carpenter), Joe Mancinni (Mike Kellin), Tony (Herb Fields), Lucia (Betty George), The Duchess (Karen Shepard)
Synopsis: In what critics called a typical 1950s musical, Wynne, a Hollywood starlet, violates a clause in her contract while filming a movie in Sicily and weds a navy flier. He is Bill Kelley, whose ship is on maneuvers in the Mediterranean Sea. With the help of her sister, Elsey, and the groom's service buddies, Dinky and Spud, the bride dons the guise of a sailor and stows away on his ship. Their honeymoon in many exotic Mediterranean settings is constantly interrupted by demands from her studio in addition to those from some serious top navy brass. The young marrieds find themselves in the middle of a spy ring, led by Kelley's former girlfriend from Morocco. What with a chorus line, old-fashioned tap dancing routines, and comedians, the lovers are never alone. But in the end, Bill is cleared of all crimes and becomes a hero.
Songs: "Italy"; "Old-Fashioned Mothers"; "Skip the Build-Up"; "Nothing at All"; "Walk Like a Sailor"; "Headin' for the Bottom"; "Nothing Can Replace a Man"; "Here's to Dear Old Us"; "His and Hers"; "La Festa"; "Ready Cash"; "Kiss Me and Kill Me with Love"; "Honeymoon"; "The Villain Always Gets It"; "The Code"; "Eleven O'Clock Song"
Comments: Sonny Tufts was the original lead in the show, but he left while the production was still on the road. The musical returned somewhat to vaudeville-style entertainment; critic Walter Kerr in the Tribune did not think it worked.
ANNIE GET YOUR GUN (May 16, 1946; Imperial Theatre; 1,147 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II; Director: Joshua Logan; Composer/Lyricist: Irving Berlin; Librettists: Herbert Fields and Dorothy Fields; Choreographer: Helen Tamiris
Original cast: Annie Oakley (Ethel Merman), Frank Butler (Ray Middleton), Colonel William F. Cody (William O'Neal), Charlie Davenport (Marty May), Trainman (John Garth III), Foster Wilson (Art Barnett), Dolly Tate (Lea Penman), Winnie Tate (Betty Ann Nyman), Tommy Keeler (Kenny Bowers), Minnie Oakley (Nancy Jean Rabb), Jessie Oakley (Camilla De Witt), Nellie Oakley (Marlene Cameron), Little Jake Oakley (Clifford Sales), Waiter (Leon Bibb), Porter (Clyde Turner), Chief Sitting Bull (Harry Bellaver)
Synopsis: Based loosely on the real life cowgirl, the show features Annie Oakley, a poor country girl who happens to be very accurate with a gun. When Buffalo Bill's Wild West show gets to Cincinnati, Ohio, star and womanizer Frank Butler challenges anyone to a shooting match. Annie wins, and her talent lands her in the show. She immediately falls for Frank, but Frank wants a dainty girl, which Annie is not, and he and Annie can agree on very little; however as time passes, Frank becomes interested in Annie. But when the show plays in Minneapolis, Annie does a surprise trick, which angers Frank, and he leaves to join a competing show. Both competing shows go broke, and Frank and Annie meet again at a reception and decide to make up and marry, but when Annie shows Frank all the sharpshooting medals she has won, he becomes angry again; however, they agree to one last shooting match between the two sharpshooters. Annie is advised by Sitting Bull to lose. Reluctantly, she loses the match to win the man, and they merge the shows.
Songs: "Doin' What Comes Natur'ly"; "The Girl That I Marry"; "You Can't Get a Man with a Gun"; "There's No Business Like Show Business"; "They Say It's Wonderful"; "I Got Lost in His Arms"; "I Got the Sun in the Morning"; "Anything You Can Do"
Comments: The producers originally chose Jerome Kern to write the score, but when he died, Irving Berlin was called in and produced what is generally regarded as his greatest work. As for Ethel Merman, if she had not been before, she became the leading musical comedy star of her generation in this production. Merman had been playing this type of role in musicals of the 1930s, tough and big-hearted more than glamorous, but this time, the role was just perfect for her voice and her talents. The road company starred Mary Martin. Judy Garland was originally supposed to play the role in the movie, but Betty Hutton became Annie in the 1950 movie version, with Howard Keel as her rival. The show won a Tony in 1999 for Best Revival.
*ANYONE CAN WHISTLE (April 4, 1964; Majestic Theatre; 9 performances). Director: Arthur Laurents; Composer/Lyricist: Stephen Sondheim; Librettist: Arthur Laurents; Choreographer: Herbert Ross. Angela Lansbury, Lee Remick, and Harry Guardino starred in a show about a corrupt mayoress (Lansbury) and the efforts to save a bankrupt town by advertising a miracle—water flowing from a rock. Critics thought Sondheim's music was fresh and original but not the show.
Tony nomination: Best Choreography
ARE YOU WITH IT? (November 10, 1945; New Century Theatre; 164 performances)
Production credits: Producers: Richard Kollmar and James W. Gardiner; Director: Edward Reveaux; Composer: Harry Revel; Lyricist: Arnold B. Horwitt; Librettists: Sam Perrin and George Balzer; Choreographer: Jack Donohue; Original source: George Malcolm Smith's novel Slightly Imperfect
Original cast: Wilbur Hawkins (Johnny Downs), Marge Keller (Jane Dulo), Bunny La Fleur (Dolores Gray), Goldie (Lew Parker), Cleo (June Richmond), Vivian Reilly (Joan Roberts), Sally Swivelhips (Diane Adrian), Mr. Bixby (Sydney Boyd), Cicero (Bunny Briggs), Snake Charmer's Daughter (Jane Deering), Carter (Lew Eckels), Office Boy (Hal Hunter), Balloon Seller (Mildred Jocelyn), Strong Man (William Lundy), Policeman (Duke McHale), Georgetta (Buster Shaver), George (George Shaver), Olive (Olive Shaver), Mr. Mapleton (Johnny Stearns), Loren (Loren Welch)
Synopsis: The setting is Hartford, Connecticut, where Goldie, a carnival barker, persuades Wilbur to join the troop. He has been fired from his job at the insurance company because he missed a decimal point. Literal and serious-minded, Wilbur does not seem to be the carnival type, although he does try to fit in, even though he looks out of place when he orders a glass of milk at Joe's Bar Room. But it is there that he meets Vivian and falls in love.
Songs: "Five More Minutes in Bed"; "Nutmeg Insruance"; "When a Good Man Takes to Drink"; "Poor Little Me"; "Are You with It?"; "Send Us Back to the Kitchen"; "Here I Go Again"; "This Is My Beloved"; "Slightly Slightly"; "Just Beyond the Rainbow"; "In Our Cozy Little Cottage of Tomorrow"
AS THE GIRLS GO (November 13, 1948; Winter Garden Theatre; 414 performances)
Production credits: Producer: Michael Todd; Director: Howard Bay; Composer: Jimmy McHugh; Lyricist: Harold Adamson; Librettist: William Roos; Choreographer: Hermes Pan
Original cast: Waldo Wellington (Bobby Clark), Lucille Thompson Wellington (Irene Rich), Kenny Wellington (Bill Callahan), Mickey Wellington (Betty Lou Barto), Tommy Wellington (Donny Harris), Guard and Secret Service Man (John Shehan), Kathy Robinson (Betty Jane Watson), Barber (Hobart Cavanaugh), Guard and Ross Miller (Jack Russell), White House Visitor (John Brophy), Miss Swenson (Cavada Humphrey), Butler (Curt Stafford), Floyd Robinson (Douglas Luther), Diane (Mildred Hughes), Photographers (Kenneth Spaulding and William Reedy), Daphne (Dorothea Pinto), Blinky Joe (Dick Danna), Darlene (Rosemary Williamson), Secret Service Man (George Morris), Secret Service Women (June Kirby and Truly Barbara), Secretary (Ruth Thomas), President of Potomac College (Douglas Luther), Premier Danseuse (Katharine Lee)
Synopsis: The year is 1953, and the first woman has been elected president of the United States. She is now guarded by Secret Service women, and her husband is known as the First Gentlemen. With little to do, he mainly spends his time in the company of the beautiful girls who guard his wife. In his spare time, the First Gentlemen both helps and hinders his son Kenny's romance with Kathy Robinson.
Songs: "As the Girls Go"; "Nobody's Heart but Mine"; "Brighten Up and Be a Little Sunbeam"; "Rock, Rock, Rock"; "It's More Fun Than a Picnic"; "American Cannes"; "You Say the Nicest Things, Baby"; "I've Got the President's Ear"; "Holiday in the Country"; "There's No Getting Away from You"; "Lucky in the Rain"; "Father's Day"; "It Takes a Woman to Get a Man"
Tony Award: Best Conductor and Musical Director (Max Meth)
Comments: As a sign of things to come, the top ticket theatre price jumped to $7.20, unheard-of when Broadway tickets averaged about $4.00. The show, which cost $300,000 to produce, was hurt by an American Society of Composers, Authors, and Publishers (ASCAP) strike.
BAJOUR (November 23, 1964; Shubert Theatre; 311 performances)
Production credits: Producers: Edward Padula, Carol Masterson, Harris Masterson, and Norman Twain; Director: Lawrence Kasha; Composer/Lyricist: Walter Marks; Librettist: Ernest Kinoy; Choreographer: Peter Gennaro
Original cast: Johnny Dembo (Herschel Bernardi), Lt. Lou MacNiall (Robert Burr), Helen Kirsten (Mae Questel), Steve (Gus Trikonis), Emily Kirsten (Nancy Dussault), Anyanka (Chita Rivera), King of Newark (Herbert Edelman)
Synopsis: In this production set in present-day New York, Johnny Dembo and his gypsy family are studied by anthropologist Emily Kirsten, who reports their movements to Lt. Lou MacNial, her cousin. Dembo wants to marry his son Steven to Anyanka, the daughter of a gypsy king in Newark, New Jersey, but for the marriage to go ahead, Anyanka must pull off a swindle (a bajour in the gypsy language), which she does with the help of an unsuspecting Emily.
Songs: "Move Over, New York"; "Where Is the Tribe for Me?"; "The Haggie"; "Love-Line"; "Words, Words, Words"; "Mean"; "Bajour"; "Must It Be Love?"; "Soon"; "I Can"; "Living Simply"; "Honest Man"; "Guarantees"; "Love Is a Chance"; "The Sew-Up"; "Move Over, America"
Tony nominations: Best Actress in a Musical (Dussault), Best Choreography (Gennaro)
Comments: With a weak plot and not outstanding score, the show depended on Chita Rivera, who kept it on the boards for the season.
BAKER STREET (February 16, 1965; Broadway Theatre; 311 performances)
Production credits: Producer: Alexander H. Cohen; Director: Harold Prince; Composer/Lyricists: Marian Grudeff and Raymond Jessel; Librettist: Jerome Coopersmith; Choregrapher: Lee Beeker Theodore
Original cast: Professor Moriarty (Martin Gabel), Irene Adler (Inga
Swenson), Sherlock Holmes (Fritz Weaver), Mrs. Hudson (Paddy Edwards), Wiggins (Teddy Green), Killers (Avin Harum, Tommy Tune, and Christopher Walken), Captain Gregg (Patrick Horgan), Inspector Lestrade (Daniel Keyes), Perkins (George Lee), Duckbellows (Bert Michaels), Murillo (Jay Norman), Nipper (Sal Pernice), Dr. Watson (Peter Sallis), Macipper (Mark Jude Sheil), Daisy (Virginia Vestoff), Baxter (Martin Wolfson)
Synopsis: The musical is loosely based on the Sherlock Holmes stories by Arthur Conan Doyle, set in London in 1897, the Diamond Jubilee in the reign of Queen Victoria. The celebration is depicted by an elaborate royal possession of Bil Baird's marionettes. In this version, Irene Adler becomes an associate of Holmes rather than an opponent, which opens up the opportunity for romance between the two.
Songs: "It's So Simple"; "I'm in London Again"; "Leave It to Us, Gov"; "Letters"; "Cold, Clear World"; "Finding Words for Spring"; "What a Night This Is Going to Be"; "I Shall Miss You"; "Roof Space"; "A Married Man"; "I'd Do It Again"; "Pursuit"; "Jewelry"
Tony Award: Best Scenic Design of a Musical (Motley). Tony nominations: Best Actress in a Musical (Swenson), Best Author (Coopersmith), Best Costume Design of a Musical (Motley)
Comments: Dancer Tommy Tune made his Broadway debut in this production. Before opening night, producer Cohen established a dress code for the audience—jackets and ties for men, dresses for women—but quickly vetoed it when the mixed reviews came in. The top ticket theatre prices were now $9.90.
*BAREFOOT BOY WITH CHEEK (April 3, 1947; Martin Beck Theatre; 106 performances). Producer/Director: George Abbott; Composer: Sidney Lippman; Lyricist: Sylvia Dee; Librettist: Max Shulman; Choreographer: Richard Barstow. In another Abbott musical frolic, Nancy Walker played the lead as a woman who tries to convert the University of Minnesota to her "pink" views. She also tries to win the heart of Asa Hearthrug, but loses him to Clothilde Pfefferkorn. Critics said Walker's clowning kept the show running as long as it did.
*THE BEAST IN ME (May 14, 1963; Plymouth Theatre; 4 performances). Director: John Lehne; Composer: Don Elliot; Lyricist/Librettist: James Costigan; Librettist: W. S. Gilbert; Choreographer: John Butler; Original source: Based on the book Fables for Our Times by James Thurber. This musical could not be saved, even with the talents of Kaye Ballard. Audiences did not warm to almost all characters in the sketches and songs being portrayed as animals.
*BEG, BORROW, OR STEAL (February 10, 1960; Martin Beck Theatre; 5 performances). Director: David Doyle; Composer: Leon Pober; Lyricist/Librettist: Bud Freeman; Choreographer: Peter Hamilton. Beatniks Betty Garrett and Eddie Bracken played sister and brother who ran a health food store in a run-down section of a huge U.S. city in the 1950s. They meet with friends at the Pit. The focus of attention is the sister's agony over choosing between another beatnik or a square type of guy.
*BEGGAR'S HOLIDAY (December 6, 1946; Broadway Theatre; 111 performances). Director: Nicholas Ray; Composer: Duke Ellington; Lyricist/Librettist: John Latouche; Choreographer: Valerie Bettis. Duke Ellington's music was lost in this production with Alfred Drake playing an American gangster type. An updated version of John Gay's The Beggar's Opera, it included an interracial relationship that resulted in pickets outside the theatre each night, which might have shortened the run.
BELLS ARE RINGING (November 29, 1956; Shubert Theatre; 925 performances)
Production credits: Director: Jerome Robbins; Composer: Jule Styne; Lyricists/Librettists: Betty Comden and Adolph Green; Choreographers: Jerome Robbins and Bob Fosse
Original cast: Ella Peterson (Judy Holliday), Jeff Moss (Sydney Chaplin), Blake Barton (Frank Aletter), Inspector Barnes (Dort Clark), Olga (Norma Doggett), Charles Bessemer, Another Anchor, Singer, and Nightclub (Frank Green), Telephone Man (Eddie Heim), Larry Hastings (George S. Irving), Sandor (Eddie Lawrence), Mrs. Mallet (Jeannine Masterson), Maitre D'Hotel (David McDaniel), Ludwig Smiley (Frank Milton), Man from Corvello Mob (John Perkins), Carol (Ellen Ray), Michelle (Michelle Reiner), Paul Arnold (Steve Roland), Madame Grimaldi (Donna Sanders), Sue (Jean Stapleton), Waiter (Ed Thompson), Dr. Kitchell (Bernie West), Francis (Jack Weston), Gwynne (Pat Wilkes), Police Officer (Gordon Woodburn)
Synopsis: Ella Peterson works for a telephone-answering service but can't seem to stop meddling in her customers' lives. Aspiring playwright Jeff Moss gets special attention, and they fall in love, although they have never met and she pretends to be a motherly old lady. Unbeknownst to Ella, she also takes orders for what is actually a betting ring. In come the police and out goes romance, but in the end the two are reunited.
Songs: "Bells Are Ringing"; "Better Than a Dream"; "Do It Yourself"; "Drop That Name"; "Hello, Mazurka"; "Hello, Hello There!"; "I Met a Girl"; "I'm Goin' Back"; "Is It a Crime?"; "It's a Perfect Relationship"; "It's a Simple Little System"; "Just in Time"; "Long Before I Knew You"; "The Midas Touch"; "Mu-Cha-Cha"; "The Party's Over"; "Salzburg"; "Santa's Lullaby"; "You've Got to Do It"
Tony Awards: Best Actress in a Musical (Holliday), Best Featured Actor in a Musical (Chaplin). Tony nominations: Best Musical, Best Choreography (Robbins/Fosse)
Comments: The main reason for the show's success was the charm and talent of Judy Holliday in her first star billing role on Broadway.
BEN FRANKLIN IN PARIS (October 27, 1964; Lunt-Fontanne Theatre; 216 performances)
Production credits: Producers: George W. George and Frank Granat; Director/Choreographer: Michael Kidd; Composer: Mark Sandrich Jr.; Lyricist/Librettist: Sidney Michaels
Original cast: Captain Wickes (Sam Greene), Benjamin Franklin (Robert Preston), Temple Franklin (Franklin Kiser), Benjamin Franklin Bache (Jerry Schaefer), Footman (Anthony Falco), Louis XVI (Oliver Clark), Vergennes (Art Bartow), Turgot (Clifford Fearl), Madame La Comtesse Diane de Vobrillac (Ulla Sallert), British Grenadier (Roger Le Page), David Lord Stormont (Byron Webster), Pierre Caron de Beaumarchais (Bob Kaliban), Jacques Finque (John Taliaferro), Pedro Count de Aranda (Jack Fletcher), Bookseller and Abbe de Morellet (Herb Mazzini), Janine Nicolet (Susan Watson), Spanish Aide-de-Camp (Kip Andrews), Spanish Solider (Art Matthews), Spanish Ambassador's Daughter (Suzanne France), Yvonne (Lauren Jones)
Synopsis: Ben Franklin arrives in Paris with his two grandsons to win over the king to the side of the colonies in their war against England. Franklin reunites with an old love, the Countess Diane de Vobrillac, and asks her to help persuade the king, but she needs proof that the colonies will triumph. He gets her to ride in a hot air balloon with him and also gets her to agree to help if he can find another country to contribute to the colonies' war effort. She agrees, Franklin gets Spain involved, and in the end the king greets him as the first ambassador from the new United States of America.
Songs: "We Sail the Seas"; "I Invented Myself"; "Too Charming"; "What Became of Old Temple"; "Half the Battle"; "A Balloon Is Ascending"; "To Be Alone with You"; "You're in Paris"; "How Laughable It Is"; "Hic Haec Hoc"; "God Bless the Human Elbow"; "When I Dance with the Person I Love"; "Diane Is"; "Look for Small Pleasures"; "I Love the Ladies"
Tony nomination: Best Author (Sidney Michaels)
Comments: Critics called the score mediocre and the book trite, but Robert Preston kept it running. The highlight of the evening was Ben Franklin landing on stage in a balloon.
BILLION DOLLAR BABY (December 21, 1945; Alvin Theatre; 219 performances)
Production credits: Producers: Paul Feigay and Oliver Smith; Director: George Abbott; Composer: Morton Gould; Lyricists/Librettists: Betty Comden and Adolph Green; Choreographer: Jerome Robbins
Original cast: Cigarette Girl and Singer (Jeri Archer), Dapper Welch (David Burns), M. M. Montague (Robert Chisholm), J. C. Creasy (Horace Cooper), Champ Watson (Danny Daniels), Pa Jones (William David), Jerry Bonanza (Don De Leo), Neighbor (Douglas Deane), Watchman (Robert Edwin), Miss Texas (Althea Elder), Neighbor (Helen Gallagher), Reporter (Alan Gilbert), Georgia Motley (Mitzi Green), Neighbor (Maria Harriton), Art Leffenbush (Eddie Hodge), Maribelle Jones (Joan McCracken), Rocky (James Mitchell), Ma Jones (Emily Ross), Master of Ceremonies (Richard Sanford)
Synopsis: The show is set on Staten Island, New York, and in Atlantic City, New Jersey, in the late 1920s. Marabelle Jones, an ambitious young woman, ditches her nice-guy boyfriend for a gangster on the run. She is looking for wealth in the Prohibition Era. Her rise to fame includes a gaudy gangster funeral and finally a wealthy tycoon type—all this before the Stock Market crash of 1929.
Songs: "Million Dollar Smile"; "Who's Gonna Be the Winner"; "Dreams Come True"; "Charleston"; "Broadway Blossom"; "Speaking of Pals"; "There I'd Be"; "One-Track Mind"; "Bad Timing"; "The Marathoners"; "A Lovely Girl"; "Havin' a Time"; "The Marathon Dance Faithless"; "I'm Sure of Your Love"; "A Life with Rocky"; "The Wedding"
Comments: Reviewers felt that the show ran as long as it did, despite a mediocre score, because it faced no real competition for several months.
BLOOMER GIRL (October 5, 1944; Shubert Theatre; 567 performances)
Production credits: Producers: Nat Goldstone and John C. Wilson; Directors: E. Y. Harburg and William Schorr; Composer: Harold Arlen; Lyricist: E. Y. Harburg; Librettists: Sid Herzig and Fred Saidy; Choreographer: Agnes de Mille
Original cast: Evelina Applegate (Celeste Holm), Hetty (Arlene Anderson), Paula (Lee Barrie), Herman Brasher (William Bender), Horatio (Matt Briggs), Jeff Calhoun (David Brooks), Hamilton Calhoun (Blaine Cordner), Gus (John Call), Augustus (Hubert Dilworth), Dolly Bloomer (Margaret Douglass), Delia (Nancy Douglass), Hiram Crump (Dan Gallagher), Julia (Toni Hart), Governor Newton (Butler Hixon), Sheriff Quimby (Charles Howard), Alexander (Richard Huey), Prudence (Eleanor Jones), Lydia (Claudia Jordan), Joshua Dingle (Robert Lyon), Phoebe (Carol MacFarlane), Ebenezer Mimms (Joe E. Marks), Daisy (Joan McCracken), Octavia (Pamela Randell), Serena (Mabel Taliaferro), Wilfred Thrush (Vaughn Trinnier), Pompey (Dooley Wilson)
Synopsis: Based on the struggles of Dolly Bloomer for civil rights, the show takes place in Civil War days, where Evelina Applegate has a mind of her own in Cicero Falls, New York. She refuses to marry her father's choice and instead backs her aunt's campaign to replace the hoopskirt, which her father manufactures, with the more comfortable bloomer. In addition, she decides to marry a southern slaveholder.
Songs: "When the Boys Come Home"; "Evelina"; "Welcome Hinges"; "Farmer's Daughter"; "It Was Good Enough for Grandma"; "Eagle and Me"; "Right as the Rain"; "T'Morra', T'Morra'"; "Rakish Young Man with the Wiskuhs"; "Sunday in Cicero Falls"; "I Got a Song"; "Satin Gown and Silver Shoe"; "Liza Crossing the Ice"; "Never Was Born"; "Man for Sale"
Comments: "Evelina" became one of the most popular tunes of the 1940s.
*THE BODY BEAUTIFUL (January 23, 1958; Broadway Theatre; 60 performances). Director: George Schaefer; Composer: Jerry Bock; Lyricist: Sheldon Harnick; Librettists: Joseph Stein and Will Glickman; Choreographer: Herbert Ross. A rich and handsome Dartmouth graduate (Steve Forrest) decides that he will box his way to fame and glory. The problem is that his girlfriend hates boxing. Singer Barbara McNair made her Broadway debut in this show.
THE BOY FRIEND (September 30, 1954; Royale Theatre; 485 performances)
Production credits: Producers: Cy Feuer and Ernest Martin; Director: Vida Hope; Composer/Lyricist/Librettist: Sandy Wilson; Choreographer: John Heawood
Original cast: Hortense (Paulette Girard), Nancy (Millicent Martin), Maisie (Ann Wakefield), Fay and Lolita (Stella Claire), Dulcie (Dilys Lay), Polly (Julie Andrews), Marcel and Pepe (Joe Milan), Alphonse (Buddy Schwab), Pierre (Jerry Newby), Madame Dubonnet (Ruth Altman), Bobby Van Husen (Bob Scheerer), Percival Browne (Eric Berry), Phillipe (Jimmy Alex), Monica (Berkley Marsh), Lord Brockhurst (Geoffrey Hibbert), Lady Brockhurst (Moyna MacGill), Susanne (Lyn Connorty), Gendarme (Douglas Deane), Waiter (Lyn Robert)
Synopsis: A reminder of the Jazz Age, the musical is set on the French Riviera in the 1920s. Polly arrives at the school for young ladies and tells everyone about her supposed boyfriend who will soon arrive from Paris. Polly's widowed father arrives instead and is attracted to the headmistress, once an old flame of his. Polly ends up as the only one without a boyfriend and a partner for the dress ball. Tony delivers her costume, and they are attracted to each other. They meet later at the ball, where Tony is at first mistaken for a thief. But it ends happily when Polly's father and the headmistress are to be married and Polly and Tony find love.
Songs: "Perfect Young Ladies"; "The Boy Friend"; "Won't You Charleston with Me?"; "Fancy Forgetting"; "I Could Be Happy with You"; "Sur La Plage"; "A Room in Bloomsbury"; "You Don't Want to Play with Me Blues"; "Safety in Numbers"; "It's Never Too Late to Fall in Love"; "Poor Little Pierrette"
Comments: The delight of the show was the arrival of Julie Andrews on Broadway.
*BRAVO GIOVANNI (May 19, 1962; Broadhurst Theatre; 76 performances). Director: Stanley Prager; Composer: Milton Schafer; Lyricist: Ronny Graham; Librettist: A. J. Russell; Choreographer: Carol Haney. Opera singer Cesare Siepi and Michelle Lee starred in a tale about the problems of a small, family-style trattoria in Rome. An upscale restaurant opens next door, and a friend suggests that the owner make a tunnel from his basement to steal food from the new restaurant's dumbwaiter.
Tony nominations: Best Composer and Lyricist, Best Choreography, Best Conductor and Musical Director
BRIGADOON (March 13, 1947; Ziegfeld Theatre; 581 performances)
Production credits: Producer: Cheryl Crawford; Director: Robert Lewis; Composer: Frederick Loewe; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Agnes de Mille
Original cast: Stuart Dalrymple (Delbert Anderson), Fiona MacLaren (Marian Bell), Jean MacLaren (Virgina Bosler), Meg Brockie (Pamela Britton), Tommy Albright (David Brooks), Jane Ashton (Frances Charles), Andrew MacLaren (Edward Cullen), Maggie Anderson (Lidija Franklin), Mr. Lundle (William Hansen), Kate MacQueen (Margaret Hunter), Jeff Douglas (George Keane), Fishmonger (Bunty Kelley), Harry Veaton (James Mitchell), MacGregor (Earl Redding), Angus McGuffie (Walter Scheff), Archie Beaton (Elliot Sullivan), Charlie Dalrymple (Lee Sullivan), Sandy Dean (Jeffrey Warren)
Synopsis: Tommy and Jeff, two Americans lost in a Scottish wood, come upon a quaint village where the people are celebrating the upcoming marriage of Jean and Charlie. Tommy and Jean's sister Fiona are attracted to each other, as are Jeff and Meg, but Tommy is troubled because he feels the village is so odd, such as the fact that the villagers don't know about telephones. Fiona takes him to the schoolmaster, who tells Tommy that the village of Brigadoon is under a spell. It will return for only one day every 100 years. Learning this, the Americans flee, but Tommy's love is so strong that he returns to Scotland. The village reappears just long enough to take him in.
Songs: "Once in the Highlands"; "Brigadoon"; "Down on MacConnachy Square"; "Waitin' for My Dearie"; "I'll Go Home with Bonnie Jean"; "The Heather on the Hill"; "The Love of My Life"; "Jeannie's Packing Up"; "Come to Me, Bend to Me"; "Almost Like Being in Love"; "The Chase"; "There But for You Go I"; "My Mother's Weddin' Day"; "From This Day On"
Tony Award: Best Choreography (de Mille)
Comments: Al Jolson popularized "Come to Me, Bend to Me" on his radio shows. "Almost Like Being in Love" became an instant hit. The score was also the highlight of the highly successful movie version in 1954 with Gene Kelly, Van Johnson, and Cyd Charisse, and directed by Vincente Minnelli.
*BUTTRIO SQUARE (October 14, 1952; 59th Street Theatre; 7 performances). Director/Choreographer: Eugene Loring; Composer: Arthur Jones and Fred Stamer; Lyricist: Gen Genovese; Librettists: Billy Gilbert and Gen Genovese; Choreographer: Eugene Loring. Billy Gilbert headed a show about U.S. soldiers in an Italian village where fraternizing is forbidden. Critics called it tedious and trite, with too much strenuous dancing. The audience agreed, and the show closed in less than one week.
BY THE BEAUTIFUL SEA (April 8, 1954; Majestic Theatre; 270 performances)
Production credits: Producers: Robert Fryer and Lawrence Carr; Director: Marshall Jamison; Composer: Arthur Schwartz; Lyricist: Dorothy Fields; Librettists: Herbert Fields and Dorothy Fields; Choreographer: Helen Tamiris
Original cast: Cora Belmont (Mary Harmon), Molly Belmont (Cindy Robbins), Lillian Belmont (Gloria Smith), Ruby Monk (Mae Barnes), Mrs. Koch (Edith True Case), Carl Gibson (Cameron Prud'homme), Lottie Gibson (Shirley Booth), Half-Note (Robert Jennings), Diabolo (Thomas Gleason), Baby Betsy Busch (Carol Leigh), Mickey Powers (Richard France), Dennis Emery (Wilbur Evans), Flora Busch (Anne Francine), Willie Slater (Ray Dooley), Sidney (Eddie Roll), Mr. Curtis (Paul Reed), Burt Mayer (Larry Laurence), Viola (Gaby Monet)
Synopsis: In 1907, vaudevillian Lottie returns to the family boardinghouse on Coney Island after another tour. One of the boarders is actor Dennis Emery, with whom she falls in love. But there are problems. Dennis needs $1,000 to get his show working again, so Lottie decides to help him out by raising the money, even if that includes jumping out of a hot air balloon. To complicate her problems, Dennis's ex-wife shows up at the boardinghouse with his seventeen-year-old daughter. Already unhappy about the divorce, the daughter has no intention of sharing her father with Lottie.
Songs: "Mona from Arizona"; "The Sea Song"; "Old Enough to Love"; "Coney Island Boat"; "Alone Too Long"; "Happy Habit"; "Good Time Charlie"; "I'd Rather Wake Up by Myself"; "Hooray for George the Third"; "More Love Than Your Love"; "Lottie Gibson Specialty"; "Throw the Anchor Away"
Comments: The presence of Shirley Booth on stage was mainly the reason for the run.
BYE BYE BIRDIE (April 14, 1960; Martin Beck Theatre; 607 performances)
Production credits: Producers: Edward Padula, in association with L. Slade Brown; Director/Choreographer: Gower Champion; Composer: Charles Strouse; Lyricist: Lee Adams; Librettist: Michael Stewart
Original cast: Albert Peterson (Dick Van Dyke), Rose Grant (Chita Rivera), Ursula Merkle (Barbara Doherty), Kim MacAfee (Susan Watson), Mrs. MacAfee (Marijane Maricle), Mr. MacAfee (Paul Lynde), Mae Peterson (Kay Medford), Conrad Birdie (Dick Gautier), Mayor (Allen Knowles), Mayor's Wife (Amelia Haas), Hugo Peabody (Michael J. Pollard), Randolph MacAfee (Johnny Borden), Mrs. Merkle (Pat McEnnis)
Synopsis: Singing star Conrad Birdie is about to be drafted. That means Albert Peterson, his agent, will lose his commissions and will not be able to marry Rose Grant. Rose comes up with a plan to write a hit song so they can have the royalties while Birdie is away. Mayhem develops when they choose Kim as the girl Birdie will sing to in her hometown of Sweet Apple because she falls for him. But all ends well when Kim goes back to her boyfriend. Albert and Rose are happy, and Birdie is headed for the army.
Songs: "An English Teacher"; "The Telephone Hour"; "How Lovely to be a Woman"; "We Love You, Conrad!"; "Put on a Happy Face"; "Normal American Boy"; "One Boy"; "Honestly Sincere"; "Hymn for a Sunday Evening"; "What Did I Ever See in Him?"; "A Lot of Livin' to Do"; "Baby, Talk to Me"; "Shriners' Ballet"; "Spanish Rose"; "Rosie"
Tony Awards: Best Musical, Best Featured Actor in a Musical (Van Dyke), Best Choreography, Best Direction of a Musical. Tony nominations: Best Featured Actor in a Musical (Gautier), Best Featured Actress in a Musical (Rivera), Best Scenic Design (Robert Randolph), Best Conductor and Musical Director (Elliott Lawrence)
Comments: This show was Gower Champion's first direction on Broadway.
*CAFÉ CROWN (April 17, 1964; Martin Beck Theatre; 3 performances). Director: Jerome Eskow; Composer: Albert Hague; Lyricist: Marty Brill; Librettist: Hy Kraft; Choreographer: Ronald Field. The musical is set in and around the Café Crown on Second Avenue and 12th Street in New York City in the early 1930s, where the cafe's busboy (Sam Levene) dreams of a future in the theatre.
CALL ME MADAM (October 12, 1950; Imperial Theatre; 644 performances)
Production credits: Producer: Leland Hayward; Director: George Abbott; Composer/Lyricist: Irving Berlin; Librettists: Howard Lindsay and Russel Crouse; Choreographer: Jerome Robbins
Original cast: Mrs. Sally Adams (Ethel Merman), Secretary of State (Jeffrey Lumb), Supreme Court Justice and Grand Duke Otto (Owen Coll), Congressman Wilkins (Pat Harrington), Henry Gibson (William David), Kenneth Gibson (Russell Nype), Senator Gallagher (Ralph Chambers), Secretary to Mrs. Adams (Jeanne Bal), Butler (William Hail), Senator Brockbank (Jay Velie), Cosmo Constantine (Paul Lukas), Pemberton Maxwell (Alan Hewitt), Clerk (Stowe Phelps), Hugo Tantinnin (E. A. Krumschmidt), Sebastian Sebastian (Henry Lascoe), Princess Maria (Galina Talva), Court Chamberlain (William David), Maid (Lily Paget), Grand Duchess Sophie (Lilia Skala)
Synopsis: Mrs. Sally Adams is totally without diplomatic skills, but that does not stop her from becoming the new ambassador to Lichtenburg. She gets the job due to her one area of expertise—she is a dazzling society hostess. But when Sally arrives to take over duties in Lichtenburg, she immediately falls for Cosmo, the prime minister, while her assistant, Kenneth, becomes enchanted with Princess Maria; however, opposing factors doom both love affairs, and life becomes unbearable for all. In the end, the lovers win out in both cases.
Songs: "Mrs. Sally Adams"; "The Hostess with the Mostest on the Ball"; "Washington Square Dance"; "Lichtenburg"; "Can You Use Any Money Today?"; "Marrying for Love"; "The Ocarina"; "It's a Lovely Day Today"; "The Best Thing for You Would Be Me"; "Something to Dance About"; "Once a Time Today"; "They Like Ike"; "You're Just in Love"
Tony Awards: Best Actress in a Musical (Merman), Best Featured Actor in a Musical (Nype), Best Original Score (Berlin), Best Stage Technician (Pete Feller)
Comments: Reviewers called Ethel Merman a "blowsy delight." This was Irving Berlin's last Broadway success, honoring the famous hostess of Washington, D.C., Pearl Mesta, who was appointed ambassador to Luxembourg by President Harry S Truman. Elaine Stritch was Merman's standby. The 1953 movie version featured Merman, along with Donald O'Connor, Vera-Ellen, George Sanders, and Walter Slezak.
CAMELOT (December 3, 1960; Majestic Theatre; 873 performances)
Production credits: Producers: Alan Jay Lerner, Frederick Loewe, and Moss Hart; Director: Moss Hart; Composer: Frederick Loewe; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Hanya Holm; Original source: Based on the novel The Once and Future King by T. H. White
Original cast: Sir Dinadan (John Cullum), Sir Lionel (Bruce Yarnell), Sir Gwilliam (Jack Dabdoub), Merlyn (David Hurst), Arthur (Richard Burton), Guenevere (Julie Andrews), Nimue (Marjorie Smith), Pages (Leland Mayforth and Peter De Vise), Lancelot Du Lac (Robert Goulet), Dap (Michael Clarke-Laurence), King Pellinore (Robert Coote), Clarius (Richard Kuch), Lady Anne (Christina Gillespie), Lady Sybil (Leesa Troy), Sir Sagramore (James Gannon), Herald (John Starkweather), Sir Castor of Cornwall (Frank Bouley), Lady Catherine (Virginia Allen), Mordred (Roddy McDowall), Morgan Le Fey (M'el Dowd), Sir Ozanna (Michael Kermoyan), Scottish Knight (Paul Huddleston), Tom (Robin Stewart)
Synopsis: In this love triangle, Arthur and Guenevere are nervous about their forthcoming marriage, and once they are married, Lancelot falls in love with her. He goes away but returns to court her secretly. Mordred discovers the two and exposes the romance. When the lovers flee to France, Arthur follows and confronts them just before he is going into battle.
Songs: "I Wonder What the King Is Doing Tonight?"; "The Simple Joys of Maidenhood"; "Camelot"; "The Lusty Month of May"; "Then You May Take Me to the Fair"; "How to Handle a Woman"; "Before I Gaze at You Again"; "If Ever I Would Leave You"; "The Seven Deadly Virtues"; "The Persuasion"; "Fie on Goodness!"; "I Loved You Once in Silence"; "Guenevere"
Tony Awards: Best Actor in a Musical (Burton), Best Scenic Design, Best Costume Design, Best Conductor and Musical Director. Tony nomination: Best Actress in a Musical (Andrews)
Comments: Director Moss Hart suffered a heart attack before the show opened. The costs of production had risen to more than $500,000 even before it got to Broadway. The musical opened to mixed reviews despite the attraction of Alan Jay Lerner and Frederick Loewe, Julie Andrews, and Richard Burton. Some critics thought the production suffered because it was too often compared to My Fair Lady.
CAN-CAN (May 7, 1953; Shubert Theatre; 892 performances)
Production credits: Producers: Cy Feurer and Ernest Martin; Director/Librettist: Abe Burrows; Composer/Lyricist: Cole Porter; Choreographer: Michael Kidd
Original cast: Bailiff (David Collyer), Registrar and Doctor (Michael Cavallaro), Judge Paul Barriere (C. K. Alexander), Court President (David Thomas), Judge Aristide Forestier (Peter Cookson), Claudine (Gwen Verdon), Gabrielle (Mary Anne Cohan), Marie (Beverly Purvin), Celestine (Jean Kraemer), Hilaire Jussac (Erik Rhodes), Boris Adzinidzinadze (Hans Conried), Hercule (Robert Penn), Theophile (Phil Leeds), Etienne (Richard Purdy), Waiter (Clarence Hoffman), La Mome Pistache (Lilo), Second Waiter and Prosecutor (Ferdinand Hilt), Café Waiter (Jon Silo), Café Customer (Joe Cusanelli), Jailer (Deedee Wood), Model (Pat Turner), Mimi (Dania Krupska), Policeman and Second (Arthur Rubin)
Synopsis: Two stories take place in this production: In one, a judge, Aristide Forestier, investigates outrageous dancing at a café in Montmartre and falls in love with the café's owner, La Mome Pistache. After that, he helps to get the dance, the can-can, legalized. In the other story, Claudine, one of the café dancers, has two suitors, Boris and Hilaire, who end up fighting a duel on a rooftop.
Songs: "Maidens Typical of France"; "Never Give Anything Away"; "C'Est Magnifique"; "Quadrille"; "Come Along with Me"; "Live and Let Live"; "I Am in Love"; "If You Loved Me Truly"; "Montmartre"; "Never, Never Be an Artist"; "It's All Right with Me"; "Every Man Is a Stupid Man"; "The Apaches"; "I Love Paris"; "Can-Can"
Tony Awards: Best Featured Actress in a Musical (Verdon), Best Choreographer (Kidd)
Comments: Cole Porter's score was at first coolly received but eventually became a main reason for the long run. The other reason was Gwen Verdon, whose dancing was spectacular. After her opening night performance of an Apache number, the audience would not let the show continue until she came out for an extra bow.
CARMEN JONES (December 2, 1943; Broadway Theatre; 502 performances)
Production credits: Producer: Billy Rose; Director: Charles Friedman; Composer: Georges Bizet; Lyricist/Librettist: Oscar Hammerstein II; Choreographer: Eugene Loring; Original source: Based on Meilhac and Halevy's adaptation of Carmen
Original cast: Carmen (Muriel Smith and Muriel Rahn, alternating), Joe (Luther Saxon and Napoleon Reed, alternating), Cindy Lou (Carlotta Franzell and Elton J. Warren, alternating), Husky Miller (Glen Bryant), Frankie (June Hawkins), Remo the Drummer (Cosy Cole). Nearly all the original cast was new to the theatre.
Synopsis: With an all-black cast, the story of the volatile Carmen is modernized. Carmen Jones, a parachute maker, is interested in Joe, an air force man, who in turn is in love with sweet Cindy Lou, but Carmen charms and seduces him. However, while waiting for Joe to be released from military prison, she gets involved with boxer Husky Miller. Carmen gives in to the luxurious life he can offer her and abandons Joe. When Joe returns to try to convince her to come back to him, she spurns him and he kills her.
Songs: "Lift 'Em Up and Put 'Em Down"; "Dat's Love"; "You Talk Just Like My Maw"; "Dere's a Cafe on de Corner"; "Beat Out Dat Rhythm on a Drum"; "Stan' Up and Fight"; "Whizzin' Away along de Track"; "Dis Flower"; "De Cards Don't Lie"; "My Joe"; "Dat's Our Man"
Comments: Because the original story, although modernized, and score were retained, the lead singers had to alternate because the roles were so strenuous. The 1954 film version starred Dorothy Dandridge in the lead role. She became the first African American actress nominated for an Oscar.
CARNIVAL (April 13, 1961; Imperial Theatre; 719 performances)
Production credits: Producer: David Merrick; Director/Choreographer: Gower Champion; Composer/Lyricist: Bob Merrill; Librettist: Michael Stewart; Original source: Based on material by Helen Deutsch
Original cast: Jacquot (Pierre Olaf), Mr. Schlegel (Henry Lascoe), Roustabouts (George Marcy, Tony Gomez, Johnny Nola, and Buff Shurr), Cyclist (Bob Murray), Miguelito (George Marcy), Dog Trainer (Paul Sydell), Wardrobe Mistress (Carvel Carter), Harem Girls (Nicole Barth, Iva March, and Beti Seay), Bear Girl (Jennifer Billingsley), Princess Olga (Luba Lisa), Band (C. B. Bernard and Peter Lombard), Stilt Walker (Dean Crane), Jugglers (Martin Brothers), clowns (Bob Dixon and Harry Lee Rogers), Strongman (Pat Tolson), Gladys Zuwicki (Mary Ann Niles), Gloria Zuwicki (Christine Bartel), Gypsy (Christine Bartel), Marco the Magnificent (James Mitchell), Incomparable Rosalie (Kaye Ballard), Greta Schlegel (June Meshonek), Lili (Anna Maria Alberghetti), Paul Berthalet (Jerry Orbach), Aerialist (Dean Crane), Dr. Glass (Igors Gavon)
Synopsis: Based on the film Lili but with a new score, this is the story of an orphan who is taken in by the folk at a small carnival in Europe. Lili fails at several jobs with the run-down troupe; however, she becomes the center of a rivalry between Marco the Magnificent, the troupe's magician, and Paul Berthalet, a puppeteer with an injured leg. Marco seems to be winning her affections, but Paul communicates through his charming puppets. Lili finally joins the puppet act, and in the end she dramatically rejects the beguiling Marco and exits with Paul, the one who is true.
Songs: "Direct from Vienna"; "A Very Nice Man"; "Fairyland"; "I've Got to Find a Reason"; "Mira"; "Sword, Rose, and Cape"; "Humming"; "Yes, My Heart"; "Everybody Likes You"; "Magic, Magic"; "Tanz Mit Mir"; "Carnival Ballet"; "Yum Ticky"; "The Rich"; "Beautiful Candy"; "Her Face"; "Grand Imperial Cirque de Paris"; "I Hate Him"; "Always, Always You"; "She's My Love"
Tony Awards: Best Actress in a Musical (Alberghetti), Best Scenic Design of a Musical (Will Steven Armstrong). Tony nominations: Best Musical, Best Author of a Musical, Best Featured Actor in a Musical (Olaf), Best Direction of a Musical, Best Producer of a Musical
Comments: The two stars of the show were Anna Maria Alberghetti and Gower Champion's choreography.
*CARNIVAL IN FLANDERS (September 8, 1953; New Century Theatre; 6 performances). Director: Preston Sturges; Composer: Jimmy Van Heusen; Lyricist: Johnny Burke; Librettist: Preston Sturges; Choreographer: Helen Tamiris. Based on a 1934 French comedy and set in seventeenth-century Flanders, starring John Raitt and Dolores Gray, the show concerns a Spanish duke and his entourage descending upon a small community. In the shortest-lived Tony-honored performance ever, Gray won the Tony for Best Actress in a Musical.
CAROUSEL (April 19, 1945; Majestic Theatre; 890 performances)
Production credits: Producer: Theatre Guild; Director: Rouben Mamoulian; Composer: Richard Rodgers; Lyricist/Librettist: Oscar Hammerstein II; Choreographer: Agnes de Mille; Original source: Based on Ferenc Molnar's play Lilion, adapted by Benjamin F. Glazer
Original cast: Carrie Pipperidge (Margot Moser), Julie Jordan (Iva Withers), Mrs. Mullin (Jean Casto), Billy Bigelow (John Raitt), Nettie Fowler (Christine Johnson), Louise (Bambi Linn), Jigger Craigin (Murvyn Vye), Enoch Snow (Eric Mattson), Carrie (Jean Darling)
Synopsis: In the late 1800s, rowdy carnival barker Billy Bigelow wants to meet the lovely Julie Jordan but proves to be unexpectedly shy. He vows to change for the better, and they are married in June; however, when they are expecting a child, Billy and his evil friend Jigger stage a holdup to get money. Billy kills himself rather than be caught. He is allowed to return to earth and redeem himself and see his now grown daughter, Louise. When she refuses to accept a star he has stolen, he is angry and slaps her. For that, he returns to purgatory, but he knows she and Julie have a good life without him.
Songs: "You're a Queer One, Julie Jordan"; "When I Marry Mister Snow"; "If I Loved You"; "June Is Bustin' Out All Over"; "When the Children Are Asleep"; "Blow High, Blow Low"; "This Was a Real Nice Clambake"; "Geraniums in the Winder"; "What's the Use of Wond'rin"; "You'll Never Walk Alone"; "The Highest Judge of All"
Comments: This production was said to be the most ambitious and successful score ever written by Richard Rodgers. Instead of an overture, the show opened with a dance-pantomine set to the marvelous "Carousel Waltz," originally written for Paul Whiteman's jazz band but never performed by him. In this most musical musical, "If I Loved You," sung by Billy, runs nearly ten minutes. The 1956 movie version starred Gordon MacRae and Shirley Jones.
*THE CONQUERING HERO (January 16, 1961; ANTA Theatre; 8 performances). Director: Albert Marre; Composer: Moose Charlap; Lyricist: Norman Gimbel; Librettist: Larry Gelbart; Choreographer: Todd Bolender. The timeliness of a man mistaken as a World War II hero (Tom Poston) was lost on 1961 audiences. There was much trouble in this production before opening night, including the fact that Bob Fosse was replaced as both director and choreographer.
*COPPER AND BRASS (October 17, 1957; Martin Beck Theatre; 36 performances). Director: Marc Daniels; Composer: David Baker; Lyricist: David Craig; Librettists: Ellen Violet and David Craig; Choreographer: Anna Sokolow. Nancy Walker was unable to bring to life this musical story of Katey O'Shea, a somewhat scatterbrained policewoman in New York City who constantly gets everything mixed up. Critics felt that one of Walker's first-act numbers correctly caught the tenor of the show; it was entitled "I Need All the Help I Can Get."
*COURTIN' TIME (June 14, 1951; National Theatre; 37 performances). Director: Alfred Drake; Composers: Don Walker and Jack Lawrence; Lyricists: Jack Lawrence and Don Walker; Librettist: William Roos; Choreographer: George Balanchine. Eden Phillpotts's play The Farmer's Wife, originally about a young farming couple in rural Nebraska, is set to music with a Maine 1898 setting. Trouble plagued the production; Lloyd Nolan was replaced by director Alfred Drake, who was later replaced by Joe E. Brown.
DAMN YANKEES (May 5, 1955; 46th Street Theatre; 1,019 performances)
Production credits: Producers: Frederick Brisson, Robert E. Griffith, and Harold S. Prince, in association with Albert B. Taylor; Director: George Abbott; Composers/Lyricists: Richard Adler and Jerry Ross; Librettists: George Abbott and Douglas Wallop; Choreographer: Bob Fosse; Original source: Adapted from Wallop's book The Year the Yankees Lost the Pennant
Original cast: Meg (Shannon Bolin), Joe Boyd (Robert Shafer), Applegate (Ray Walston), Sister (Jean Stapleton), Joe Hardy (Stephen Douglass), Henry (Al Lanti), Sohovik (Eddie Phillips), Smokey (Nathaniel Frey), Vernon (Albert Linville),Van Buren (Russ Brown), Rocky (Jimmie Komack), Gloria (Rae Allen), Lynch (Del Horstmann), Welch (Richard Bishop), Lola (Gwen Verdon), Miss Weston (Janie Janvier)
Synopsis: This is a new approach to the Faustian legend about selling one's soul to the devil. Applegate (the devil) appears to Joe Boyd to accept his soul in exchange for making the Washington Senators champions of the baseball world. Suddenly, average Joe is athlete Joe Hardy. A winning streak follows, but Joe misses his wife. His wife, however, does not recognize him as a young man. Thinking that Joe might not go through with the plan to sell his soul, Applegate sends Lola to Joe as a warning. Instead, Joe goes home to his wife and watches the Senators lose again.
Songs: "Six Months Out of Every Year"; "Goodbye, Old Girl"; "Heart"; "Shoeless Joe from Hannibal, Mo"; "A Man Doesn't Know"; "A Little Brains"; "Whatever Lola Wants"; "Who's Got the Pain?"; "The Game"; "Near to You"; "Those Were the Good Old Days"; "Two Lost Souls"
Tony Awards: Best Musical, Best Actor in a Musical (Walston), Best Actress in a Musical (Verdon), Best Featured Actor in a Musical (Brown), Best Choreography (Fosse), Best Conductor and Musical Director (Hal Hastings), Best Stage Technician (Harry Green). Tony nominations: Best Actor in a Musical (Douglass), Best Featured Actress in a Musical (Allen)
Comments: Jerry Ross died shortly after the opening, and Richard Adler left the Broadway scene for years. During tryouts, Gwen Verdon as Lola did not appear until well into the first act. It was soon noted that whenever she was on, audience interest visibly increased; therefore, by the time the show hit Broadway, Lola appeared on stage much earlier in the production.
THE DAY BEFORE SPRING (November 22, 1945; National Theatre; 167 performances)
Production credits: Producer: John C. Wilson; Director: Edward Padula; Composer: Frederick Loewe; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Anthony Tudor
Original cast: Lucille (Bette Anderson), Peter Townsend (John Archer), May Tompkins (Lucille Benson), Voltaire (Paul Best), Harry Scott (Robert Field), Leonore (Lucille Floetman), Plato (Ralph Glover), Susan (Ariouine Goodjohn), Gerald Barker (Tom Helmore), Alex Maitland (Bill Johnson), Freud (Hermann Leopoldi), Marjorie (Estelle Loring), Katherine Townsend (Irene Manning), Eddie Warren (Dwight Marfield), Christopher Randolph (Patricia Marshall), Joe McDonald (Don Mayo), Anne (Betty Jean Smythe)
Synopsis: Katherine and Peter Townsend go back to Harrison University for their tenth reunion, where Katherine is reunited with Alex Maitland, with whom she almost eloped ten years before. Stirred by a novel that he has written about her, Katherine decides to leave her husband and run away with Maitland again. This time, as before, the car breaks down. In the end, all is forgiven—at least partly.
Songs: "The Day Before Spring"; "God's Green World"; "You Haven't Changed at All"; "My Love Is a Married Man"; "Friends to the End"; "A Jug of Wine"; "I Love You This Morning"; "Where's My Wife?"; "This Is My Holiday"
Comments: Alan Jay Lerner and Frederick Loewe were reunited in this production. The cast and music were good, but the story—which included a ballet for each of the main characters—proved to be tedious on stage. The show was revived by the York Theatre Company in New York City in 2007 and included material missing from the production since it closed in 1946.
DESTRY RIDES AGAIN (April 23, 1959; Imperial Theatre; 473 performances)
Production credits: Producers: David Merrick, in association with Max Brown; Director/Choreographer: Michael Kidd; Composer/Lyricist: Howard Rome; Librettist: Leonard Gershe
Original cast: Bartender and Bailey (Ray Mason), Frenchy (Dolores Gray), Wash (Jack Prince), Sheriff Keogh (Oran Osburn), Kent's Gang (Marc Breaux, Swen Swenson, and George Reeder), Mayor Slade (Don McHenry), Claggett (Don Crabtree), Kent (Scott Brady), Chloe (Libi Staiger), Rose Lovejoy (Elizabeth Watts), Jack Tyndall (Nolan Van Way), Destry (Andy Griffith), Stage Driver (Chad Block), Ming Li (Reiko Sato), Mrs. Claggett (May Muth), Clara (Rosetta LeNoire), Dimples (Sharon Shore)
Synopsis: Adapted from a 1939 Marlene Dietrich and James Stewart film, the musical is set in the Wild West at the turn of the century. Destry is hired to stop a murderous gang that is terrorizing the town, but he is actually a shy sort against violence. Kent is the leader of the gang, and he unsuccessfully tries to get his girlfriend, Frenchy, to seduce Destry. In a gun battle that he is forced to enter, Destry must resort to violence. Frenchy helps save his life. With the gang gone, peace returns to the town, and Destry and Frenchy realize that they are in love.
Songs: "Bottleneck"; "Ladies"; "Hoop-de-Dingle"; "Tomorrow Morning"; "Ballad of the Gun"; "I Know Your Kind"; "I Hate Him"; "Paradise Alley"; "Anyone Would Love You"; "Once Knew a Fella"; "Every Once in a While"; "Fair Warning"; "Are you Ready, Gyp Watson?"; "Not Guilty"; "Only Time Will Tell"; "Respectability"; "That Ring on the Finger"; "I Say Hello"
Tony Award: Best Choreography. Tony nominations: Best Direction of a Musical (Kidd), Best Actor in a Musical (Griffith), Best Actress in a Musical (Gray)
Comments: Although it ran more than a year, the show was a financial failure; however, reviewers praised Kidd's choreography, especially the number where the dancers fill the air with slashing bullwhips.
DO I HEAR A WALTZ? (March 18, 1965; 46th Street Theatre; 220 performances)
Production credits: Producer: Richard Rodgers; Director: John Dexter; Composer: Richard Rodgers; Lyricist: Steven Sondheim; Librettist: Arthur Laurents; Choreographer: Herbert Ross; Original source: Based on Arthur Laurents's play The Time of the Cuckoo
Original cast: Leona Samish (Elizabeth Allen), Mauro (Christopher Votos), Signora Fioria (Carol Bruce), Eddie Yaeger (Stuart Damon), Mrs. McIllhenny (Julienne Marie), Mr. McIllhenny (Jack Manning), Giovanna (Fleury D'Antonakis), Vito (James Dybas), Renato di Rossi (Sergio Franchi), Man on Bridge (Steve Jacobs), Mrs. Victoria Haslam (Helon Blount)
Synopsis: Lonely and alone in Venice, Leona Samish has convinced herself that she will hear a waltz in the air when the right man comes along. Then she meets romantic shopowner Renato and is enchanted when he gives her a necklace, but enchantment turns to sorrow when she later learns he is married. To make matters worse, she discovers that he has not paid for the necklace, which she is now obligated to do. And there is one more final blow, when Leona discovers that the romantic-appearing Renato is not only a liar, but he has also been given a commission on the sale of the necklace.
Songs: "Someone Woke Up"; "This Week Americans"; "What Do We Do? We Fly!"; "Someone Like You"; "Bargaining"; "Here We Are Again"; "Thinking"; "No Understand"; "Take the Moment"; "Moon in My Window"; "We're Gonna Be All Right"; "Do I Hear a Waltz?"; "Stay"; "Perfectly Lovely Couple"; "Thank You So Much"
Tony nominations: Best Actress in a Musical (Allen), Best Composer and Lyricist, Best Scenic Design (Beni Montresor)
Comments: This was the shortest run of a Richard Rodgers musical during the era, due mainly to a competent but not outstanding score and the absence of a big star.
*DONNYBROOK! (May 18, 1961; 46th Street Theatre; 68 performances). Director/Choreographer: Jack Cole; Composer/Lyricist: Johnny Burke; Librettist: Robert E. McEnroe; Original source: Based on the film The Quiet Man (1952). Art Lund and Joan Fagan played the roles created by John Wayne and Maureen O'Hara in this story of a prizefighter who killed a man in the ring in the United States and returns to Ireland with a vow never to fight again. But he woos a tempestuous lass who wants a man who will stand up and fight for her.
DO RE MI (December 26, 1960; St. James Theatre; 400 performances)
Production credits: Producer: David Merrick; Director: Garson Kanin; Composer: Jule Styne; Lyricists: Betty Comden and Adolph Green; Librettist: Garson Kanin; Choreographers: Marc Breaux and Dee Dee Wood
Original cast: Hubert Cram (Phil Silvers), Kay Cram (Nancy Walker), Fatso O'Rear (George Mathews), John Henry Wheeler (John Reardon), Brains Berman (David Burns), Tilda Mullen (Nancy Dussault), Skin Demopoulos (George Givot), Moe Shtarker (Al Lewis)
Synopsis: Hubert and Kay Cram live the high life anytime one of his hairbrain schemes pays off, but this time they feel they have really run into success. Hubert decides to get into the jukebox business, even though such a move means he will have to associate with the mob. Although the scheme pays off and they are soon very wealthy, Kay begins to long for the good old days. Finally, Hubert is forced out of the jukebox business, and things return to normal, until his next big idea.
Songs: "Adventure"; "All of My Life"; "All You Need Is a Quarter"; "Ambition"; "Asking for You"; "Cry Like the Wind"; "Fireworks"; "He's a V.I.P."; "I Know about Love"; "It's Legitimate"; "The Juke Box Hop"; "The Late, Late Show"; "Make Someone Happy"; "Success"; "Take a Job"; "V.I.P."; "Waiting, Waiting"; "What's New at the Zoo?"; "Who Is Mister Big?"
Tony nominations: Best Musical, Best Actor in a Musical (Silvers), Best Actress in a Musical (Walker), Best Featured Actress in a Musical (Dussault), Best Direction of a Musical (Kanin)
Comments: This was another show with a good run that ended in the loss column. The strength of the production rested with its two star comics.
*DRAT! THE CAT! (October 10, 1965; Martin Beck Theatre; 8 performances). Director/Choreographer: Joe Layton; Composer: Milton Schafer; Lyricist/Librettist: Ira Levin. The story revolves around a love affair between a policeman and a heiress in 1890s New York society, where a cat burglar is plundering the rich. Patrolman Bob Purefoy vows to uphold the law as he guards the social event of the season; however, he falls in love with the daughter of the rich couple who is throwing the party, and she vows to help him catch the burglar.
Tony nomination: Best Scenic Design
*DREAM WITH MUSIC (May 18, 1944; Majestic Theatre; 28 performances). Director: Richard Kollmar; Composer: Clay Warnick; Lyricist/Librettist: Edward Eager; Choreographer: George Ballanchine. Another Arabian Nights theme, this concerns a soap-opera author (Vera Zorina) with settings in her apartment, in a palace in Baghdad, on a magic carpet in the clouds, China, and in the palace of Aladdin, who is played by Ronald Graham.
*THE DUCHESS MISBEHAVES (February 13, 1946; Adelphi Theatre; 5 performances). Director: Martin Manulis; Composer: Frank Black; Lyricist/Librettist: Gladys Shelley; Choreographer: George Tapps. Jackie Gleason thought so little of the show that he left during tryouts. It was the only Broadway musical for Shelley, who was a favorite of New York nightclub singers.
FADE OUT—FADE IN (May 26, 1964; Mark Hellinger Theatre; 271 performances)
Production credits: Producers: Lester Osterman and Jule Styne; Director: George Abbott; Composer: Jule Styne; Lyricists/Librettists: Betty Comden and Adolph Green; Choreographer: Ernest Flatt
Original cast: Bryon Prong (Jack Cassidy), Woman (Diana Eden), Man and Rex (Darrell J. Askey), Helga Sixtrees (Judy Cassmore), Pops (Frank Tweddell), Rosco (Bob Neukum), Billy Vespers (Glenn Kezer), Lyman and Frank Governor (John Dorrin), Hope Springfield (Carol Burnett), Chauffeur (William Louther), First Girl (Wendy Taylor), Ralph Governor (Mitchell Jason), Rudolph Governor (Dick Patterson), George Governor (Howard Kahl), Harold Governor (Gene Varrone), Arnold Governor (Stephen Elmore), Myra May Melrose (Virginia Payne), Seamstress (Diane Arnold), Miss Mallory (Jo Tract), Custer Corkley (Dan Resin), Approval (Smaxie), Photographer (Sean Allan), Max Welch (Richard Frisch), Lou Williams (Tiger Haynes), Dora Dailey (Aileen Poe), Lionel Z. Governor (Lou Jacobi), Dr. Anton Traurig (Reuben Singer), Gloria Curie (Tina Louise), Madame Barrymore (Penny Egelston)
Synopsis: In the 1930s, Hope Springfield, a chorus girl, is accidentally given a starring part in a motion picture. When the mistake is discovered, the film is put on the shelf; however, Rudolf Governor, who is the nephew of the studio head, sees the film and arranges a preview. Unexpectedly, the movie is successful. Now, Hope becomes a star, and she and Rudolf become a team.
Songs: "The Thirties"; "It's Good to Be Back Home"; "Fear"; "Call Me Savage"; "The Usher from the Mezzanine"; "I'm with You"; "My Fortune Is My Face"; "Lila Tremaine"; "Go Home Train"; "Close Harmony"; "You Mustn't Be Discouraged"; "The Dangerous Age"; "L. Z. in Quest of His Youth"; "The Fiddler and the Fighter"; "Fade Out—Fade In"
Tony nomination: Best Featured Actor in a Musical (Cassidy)
Comments: Carol Burnett suffered from neck and back problems during the run, so the show had to close for a three-month period since no one else could be found to replace her.
*A FAMILY AFFAIR (January 27, 1962; Billy Rose Theatre; 84 performances). Director: Harold Prince; Composer: John Kander; Lyricists: James Goldman and John Kander; Librettists: James Golden and William Golden; Choreographer: John Butler. Rita Gardner and Larry Kert starred as a young couple living in Chicago. Their chaotic marriage plans set off World War III among their extended family. The musical ends with what some critics referred to as the looniest wedding of the year.
FANNY (November 4, 1954; Majestic Theatre; 888 performances)
Production credits: Producers: David Merrick and Joshua Logan; Director: Joshua Logan; Composer/Lyricist: Harold Rome; Librettists: S. N. Behrman and Joshua Logan; Choreographer: Helen Tamiris; Original source: Based on the trilogy of Marcel Pagnoli
Original cast: The Admiral (Gerald Price), First Sailor (Tom Gleason), Sailor (Herb Banke), Marius (Steve Wiland), Sailmaker (Jack Washburn), Honorine (Edna Preston), Fanny (Florence Henderson), Claudette and Claudine (Tani Seitz and Dran Seitz), Charles (Wally Strauss), Nanette (Norma Doggett), Mimi (Carolyn Maye), Marie (Ellen Matthews), Michellette (Jane House), Panisse (Walter Slezak), Escartifigue (Alan Carney), M. Brun (Don McHenry), Cesar (Ezio Pinza), Nun (Ruth Schumacher), Cesario (Lloyd Reese)
Synopsis: Marius dreams of going off to sea, but his father, Cesar, who owns a waterfront café in Marseilles, wants him to marry Fanny. Instead, Marius defies his father and leaves behind a pregnant and still-unwed Fanny. She marries Panisse, a kindly old sailmaker. When Marius returns and looks for Fanny, Cesar steps in to prevent a rekindling of the romance to spare the feelings of Panisse. Marius leaves once more and returns several years later. When the boy born to Fanny reaches his twelfth birthday, Panisse, who is about to die, tells Fanny to wed Marius so that the boy will have a father.
Songs: "Octopus Song"; "Restless Heart"; "Never Too Late for Love"; "Cold Cream Jar Song"; "Does He Know?"; "Welcome Home"; "I Like You"; "I Have to Tell You"; "Fanny"; "The Sailing"; "Oysters, Cockles, and Mussels"; "Panisse and Son"; "Birthday Song"; "To My Wife"; "The Thought of You"; "Love Is a Very Light Thing"; "Other Hands, Other Hearts"; "Be Kind to Your Parents"
Tony Award: Best Actor in a Musical (Slezak)
Comments: Reviewers called this one of Slezak's best roles.
FIDDLER ON THE ROOF (September 22, 1964; Imperial Theatre; 3,242 performances)
Production credits: Producer: Harold Prince; Director/Choreographer: Jerome Robbins; Composer: Jerry Bock; Lyricist: Sheldon Harnick; Original source: Based on a book by Joseph Stein adapted from Sholom Aleicheim's stories
Original cast: Tevye (Zero Mostel), Golde (Maria Karnilova), Tzeitel (Joanna Merlin), Hodel (Julia Migenes), Chava (Tanya Everett), Shprintze (Marilyn Rogers), Bielke (Linda Ross), Yente (Beatrice Arthur), Motel (Austin Pendleton), Perchik (Bert Convy), Lazar (Michael Granger), Mordcha (Zvee Scooler), Rabbi (Gluck Sandor), Mendel (Leonard Frey), Avram (Paul Lipson), Nachum (Maurice Edwards), Grandma Tzeitel (Sue Babel), Constable (Joseph Sullivan), Fyedka (Joe Ponazecki), Shandel (Helen Verbit)
Synopsis: It is 1905 in a poor Jewish community in a Russian village. Dairyman Tevye has five daughters, and he and his wife have asked the village matchmaker to find a husband for the eldest. When Lazar asks for Tzeitel's hand, the problem seems to be solved, except that Tzeitel does not want him. She loves Motel, the tailor. Tevye decides not to object, but the wedding is postponed because of a pogrom. Then the second daughter, Hodel, falls in love with a radical, Perchik. He is shipped to Siberia, and Hodel follows him. Unhappiest of all for Tevye, his third daughter decides to marry a Christian. This time he opposes the marriage, so Chava and Fyedka elope. When Tevye learns that the Jews must leave his village for the United States, he joins the exodus.
Songs: "Tradition"; "Matchmaker, Matchmaker"; "If I Were a Rich Man"; "Sabbath Prayer"; "To Life"; "Miracle of Miracles"; "The Tailor"; "Motel Kamzoil"; "Sunrise, Sunset"; "Now I Have Everything"; "Do You Love Me?"; "I Just Heard"; "Far from the Home I Love"; "Anatevka"
Tony Awards: Best Musical, Best Actor in a Musical (Mostel), Best Featured Actress in a Musical (Karnilova), Best Composer and Lyricist (Bock and Harnick), Best Author (Stein), Best Direction of a Musical, Best Producer of a Musical, Best Choreography, Best Costume Design (Patricia Zipprodt). Tony nomination: Best Scenic Design (Boris Aronson).
Comments: This was the season's biggest hit, and it is often called the last great masterwork of the era. The show closed on July 2, 1972, the longest run of the Golden Age.
FINIAN'S RAINBOW (January 10, 1947; 46th Street Theatre; 725 performances)
Production credits: Producers: Lee Sabinson and William R. Katzell; Director: Bretaigne Windust; Composer: Burton Lane; Lyricist: E. Y. Harburg; Librettists: E. Y. Harburg and Fred Saidy; Choreographer: Michael Kidd
Original cast: Finian McLonergan (Albert Sharpe), Sharon McLonergan (Ella Logan), Og (David Wayne), Senator Billboard Rawkins (Robert Pitkin), Woody Mahoney (Donald Richards)
Synopsis: Finian McLonergan, who says he is from Glocca Morra, has stolen a crock of gold from the leprechauns and comes to the United States to the town of Rainbow Valley. He and his daughter, Sharon, intend to plant the gold at Fort Knox in the mistaken belief that it will grow and multiply. At Rainbow Valley, Woody Mahoney falls for Sharon, as does the leprechaun Og, who tries to stir up trouble until he realizes his love for her is hopeless. Woody discovers the same thing, and Finian and Sharon are free to wander once more.
Songs: "This Time of the Year"; "How Are Things in Glocca Morra?"; "If This Isn't Love"; "Look to the Rainbow"; "Old Devil Moon"; "Something Sort of Grandish"; "Necessity"; "When the Idle Poor Become the Idle Rich"; "The Begat"; "When I'm Not Near the Girl I Love"; "That Great Come and Get It Day"
Tony Awards: Best Featured Actor in a Musical (Wayne; this was the first time this award was given), Best Choreography (Kidd), Best Conductor and Musical Director (Milton Rosenstock)
Comments: The critics loved everything about this musical, praising the score, with some saying it was the best musical of the season. It has been revived three times on Broadway, in 1955, 1960, and 1967. The 1968 film version starred Fred Astaire and Petula Clark.
FIORELLO! (November 23, 1959; Broadhurst Theatre; 795 performances)
Production credits: Producers: Robert E. Griffith and Harold S. Prince; Director: George Abbott; Composer: Jerry Bock; Lyricist: Sheldon Harnick; Librettists: Jerome Weidman and George Abbott; Choreographer: Peter Gennaro
Original cast: Announcer and Second Player (Del Horstmann); Fiorello (Tom Bosley), Neil (Bob Holiday), Morris (Nathaniel Frey), Mrs. Pomerantz (HelenVerbit), Mr. Lopez and Politician (H. F. Green), Mr. Zappatella (David Collyer), Dora (Pat Stanley), Marie (Patricia Wilson), Ben (Howard Da Silva), Ed Peterson and Frantic (Stanley Simmonds), Third Player and Commissioner (Michael Quinn), Fourth Player (Ron Husmann), Fifth Player and Tough Man (David London), Sixth Player (Julian Patrick), Seedy Man, Fourth Heckler, and Judge Carter (Joseph Toner), First Heckler (Bob Bernard), Second Heckler, Frankie Scarpini, and Second Man (Michael Scrittorale), Third Heckler (Jim Maher), Nina (Pat Turner), Floyd (Mark Dawson), Sophie (Lynn Ross), Thea (Ellen Hanley), Secretary and Florence (Mara Landi), Senator (Frederic Downs), Mitzi (Eileen Rogers), First Man (Scott Hunter)
Synopsis: The show, which took the Pulitzer Prize for Drama, features highlights in the career of Mayor Fiorello LaGuardia and opens with him reading comics to children over the radio during a newspaper strike in New York City. With warmth and humor, it tells the story of his rise to power as mayor of New York City in a time when the political machine known as Tammany Hall ruled the town with vice and corruption.
Songs: "On the Side of the Angels"; "Politics and Poker"; "Unfair"; "Marie's Law"; "The Name's LaGuardia"; "The Bum Won"; "I Love a Cop"; "Till Tomorrow"; "Home Again"; "When Did I Fall in Love"; "Gentleman Jimmy"; "Little Tin Box"; "The Very Next Man"
Tony Awards: Best Musical (tie with The Sound of Music), Best Featured Actor in a Musical (Bosley), Best Direction of a Musical. Tony nominations: Best Featured Actor in a Musical (Da Silva), Best Scenic Design (William and Jean Eckart), Best Choreography, Best Conductor and Musical Director (Hal Hastings)
*FIRST IMPRESSIONS (March 19, 1959; Alvin Theatre; 108 performances). Director/Librettist: Abe Burrows; Composers/Lyricists: Robert Goldman, Glenn Paxton, and George Weiss, with James Mitchell; Choreographer: Jonathan Lucas; Original source: Based on Jane Austin's book Pride and Prejudice in musical form. The story centers on the Bennett family in England in 1813. Mrs. Bennett's primary aim in life is to see that her daughters—all five of them—get married. She is pleased when the wealthy Fitzwilliam Darcy arrives in nearby Netherfield Hall, but an instant dislike springs up between daughter Elizabeth and Darcy.
*FLAHOOLEY (May 14, 1951; Broadhurst Theatre; 50 performances). Director/Lyricist: E. Y. Harburg; Composer: Sammy Fain; Librettists: E. Y. Harburg and Fred Saidy; Choreographer: Helen Tamiris. Barbara Cook headed the cast of a show, which also included Yma Sumac, which deals with sales from a laughing doll. The score sung by Cook and Jerome Courtland was pleasing, but reviewers were critical.
*FLORA, THE RED MENACE (May 11, 1965; Alvin Theatre; 87 performances). Director: George Abbott; Composer: John Kander; Lyricist: Fred Ebb; Librettists: George Abbott and Robert Russell; Choreographer: David Baker. Liza Minnelli was in the title role about a girl whose boyfriend persuades her to join the Communist party, even though it compromises her job. In the end, she must sacrifice one or the other for true happiness. Minnelli won the Tony for Best Actress in a Musical that year at age nineteen, the youngest to win until Frankie Michaels took the award (as featured actor in Mame) in 1966 at age eleven.
Tony Award: Best Actress in a Musical (Minelli)
FLOWER DRUM SONG (December 1, 1958; St. James Theatre; 600 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II, in association with Joseph Fields; Director: Gene Kelly; Composer: Richard Rodgers; Lyricist: Oscar Hammerstein II; Librettists: Oscar Hammerstein II and Joseph Fields; Choreographer: Carol Haney; Original source: Based on the novel by C. Y. Lee
Original cast: Madam Liang (Juanita Hall), Liu Ma (Rose Quong), Wang San (Patrick Adiarte), Wang Ta (Ed Kenny), Wang Chi Yang (Keye Luke), Sammy Fong (Larry Blyden), Dr. Li (Conrad Yama), Mei Li (Miyoshi Umeki), Linda Low (Pat Suzuki), Mr. Lung (Harry Shaw Lowe), Helen Chao (Arabella Hong), Professor Cheng (Peter Chan), Frankie Wing (Jack Soo), Night Club Singer (Anita Ellis), Dr. Lu Fong (Chao Li), Madam Fong (Eileen Nakamura)
Synopsis: In the ways of their ancestors, Sammy is under contract to marry Mei Li; however, he is actually in love with Linda Low, a nightclub hostess. Sammy tries to arrange a marriage for Mei Li with Wang Ta, who Sammy thinks also likes Linda, but Wang Ta begins to cool toward Linda and is attracted to Mei Li, which causes the Three Family Association to declare that Sammy and Mei Li must marry right away. With no other choice, the wedding takes place, but it is Linda who is under the veil, and now Mei Li and Wang Ta are free to marry.
Songs: "You Are Beautiful"; "A Hundred Million Miracles"; "I Enjoy Being a Girl"; "I Am Going to Like It Here"; "Like a God"; "Chop Suey"; "Don't Marry Me"; "Grant Avenue"; "Love Look Away"; "Fan Tan Fannie"; "Gliding through My Memoree"; "The Other Generation"; "Sunday"
Tony Awards: Best Conductor and Musical Director (Salvatore Dell'Isola). Tony nominations: Best Musical, Best Actor in a Musical (Blyden), Best Actress in a Musical (Umeki), Best Costume Design, Best Choreography
Comments: The cast was excellent and the score humorous and sentimental. Although not considered a major work for Richard Rodgers and Oscar Hammerstein, the production nonetheless pleased audiences for two seasons.
FOLLOW THE GIRLS (April 8, 1944; New Century Theatre; 882 performances)
Production credits: Producers: David Wolper, in association with Albert Dorde; Directors: Harry Delmar and Fred Thompson; Composers/Lyricists: Phil Charig, Dan Shapiro, and Milton Pascal; Librettists: Guy Bolton, Fred Thompson, and Eddie Davis; Choreographer: Catherine Littlefield
Original cast: Bubbles La Marr (Gertrude Niesen), Goofy Gale (Jackie Gleason), Spud Doolittle (Tim Herbert), Sailor Val and Felix Charrel (Val Valentinoff), Dinky Riley (Buster West), Anna Viskinova (Irina Baranova), Petty Officer Banner (Lee Davis), Phyllis Brent (Toni Gilman), Peggy Baker (Dorothy Keller), Seaman Pennywhistle and Archie Smith (Frank Kreig), Captain Hawkins (Walter Long), Bob Monroe (Frank Parker), Officer Flanagan (George Spaulding), Catherine Pepburn (Geraldine Strock), Yokel Sailor (Bill Tabbert), Dan Daley (Robert Tower)
Synopsis: The thin story line concerns a striptease queen who becomes the star attraction at a servicemen's club in Great Neck, Long Island, New York, during World War II. As a contribution to the war effort, burlesque Bubbles La Marr takes over the servicemen's canteen, but her boyfriend, Goofy Gale, is 4-F, so he steals a Wave's uniform to gain entrance to the club.
Songs: "At the Spotlight Canteen"; "Where You Are"; "You Don't Dance"; "Strip Flips Hip"; "Thanks for Lousy Evening"; "You're Perf"; "Twelve O'Clock and All Is Well"; "Out for No Good"; "Follow the Girls"; "John Paul Jones"; "I Wanna Get Married"; "Today Will Be Yesterday Tomorrow"; "A Tree That Grows in Brooklyn"
Comments: This was one of the last Golden Age "rowdy" musicals that much resembled burlesque.
*FOXY (February 16, 1964; Ziegfeld Theatre; 72 performances). Director: Robert Lewis; Composer: Robert Emmett Dolan; Lyricist: Johnny Mercer; Librettists: Ian Hunter and Ring Lardner Jr.; Choreographer: Jack Cole. Best known for his movie portrayal of the Lion in The Wizard of Oz, Bert Lahr had the title role in this musical set in the days of the Klondike gold rush. It was his last Broadway appearance before his death. Despite poor reviews and a mediocre score, Lahr won the Tony for Best Actor in a Musical.
Tony Award: Best Actor in a Musical (Lahr). Tony nomination: Best Featured Actress in a Musical (Julienne Marie)
FUNNY GIRL (March 26, 1964; Winter Garden Theatre; 1,348 performances)
Production credits: Producer: Ray Stark; Director: Garson Kanin; Composer: Jule Styne; Lyricist: Bob Merrill; Librettist: Isobel Lennart: Choreographer: Carol Haney; Original source: Based on Isobel Lennart's original story
Original cast: Fanny Brice (Barbra Streisand), John (Robert Howard), Emma (Royce Wallace), Mrs. Brice (Kay Medford), Mrs. Strakosh (Jean Stapleton), Mrs. Meeker (Lydia S. Fredericks), Mrs. O'Malley (Joyce O'Neil), Tom Keeney (Joseph Macaulay), Eddie Ryan (Danny Meehan), Heckie (Victor R. Helou), Snub Taylor and Ben (Buzz Miller), Trombone Smitty (Blair Hammond), Five Finger Finney (Alan E. Weeks), Bubbles (Shellie Farrell), Polly (Joan Lowe), Maud (Ellen Halpin), Nick Arnstein (Sydney Chaplin), Florenz Ziefeld Jr. (Roger De Koven), Mimsey (Sharon Vaughn), Ziegfeld Tenor and Adoph (John Lankston), Mrs. Nadler (Rose Randolf), Paul (Larry Fuller), Kathy (Joan Cory), Vera (Lainie Kazan), Jennie (Diane Coupe), Mr. Renaldi (Marc Jordan), Mike Halsey (Robert Howard)
Synopsis: The Funny Girl of the show was the real life Fanny Brice, a comedienne and Broadway and film star who hid her shyness and imperfections behind a display of bravado and gags. The musical is set in and around New York City following World War I. It traces the rise of the talented performer from her beginnings on the burlesque stage to stardom in the Ziegfeld Follies. It also traces her romance and finally her troubled marriage to entrepreneur and gambler Nicky Arnstein, who is sent to prison for embezzlement. At the end of the show, Arnstein is released from prison, and they decide to separate.
Songs: "If A Girl Isn't Pretty"; "I'm the Greatest Star"; "Cornet Man"; "Who Taught Her Everything?"; "His Love Makes Me Beautiful"; "I want to Be Seen with You Tonight"; "Henry Street"; "People"; "You Are Woman"; "Don't Rain on My Parade"; "Sadie, Sadie"; "Find Yourself a Man"; "Rat-Tat-Tat-Tat"; "Who Are You Now?"; "The Music That Makes Me Dance"
Tony nominations: Best Musical, Best Actor in a Musical (Chaplin), Best Actress in a Musical (Streisand), Best Featured Actor in a Musical (Meehan), Best Featured Actress in a Musical (Medford), Best Composer and Lyricist, Best Choreography (Haney), Best Producer (Stark).
Comments: With this show, Barbra Streisand became a star, reaching a lofty pinnacle she never left. At the opening, orchestra seats were $8.80, but her drawing power was such that all seats were raised to $9.60 not long afterward. Streisand took the show to London for fourteen weeks and also starred in the acclaimed movie version in 1968 with Omar Sharif. She sang many Fanny Brice songs on her television program, but the biggest song hit of Funny Girl—"People"—belonged not to Brice, but to Streisand.
A FUNNY THING HAPPENED ON THE WAY TO THE FORUM (May 8, 1962; Alvin Theatre; 966 performances)
Production credits: Producer: Harold Prince; Director: George Abbott; Composer/Lyricist: Stephen Sondheim; Librettists: Burt Shevelove and Larry Gelbart; Choreographer: Jack Cole; Original source: Based on the plays of Plautus
Original cast: Prologus and Pseudolus (Zero Mostel), Proteans (Eddie Phillips, George Reeder, and David Evans), Senex (David Burns), Domina (Ruth Kobart), Hero (Brian Davies), Hysterium (Jack Giford), Lycus (John Carradine), Tintinabula (Roberta Keith), Panacea (Lucienne Breidou), Germinae (Liza James and Judy Alexander), Vibrata (Myrna White), Gymnasia (Gloria Kristy), Philia (Preshy Marker), Erronius (Raymond Walburn), Miles Gloriosus (Ronald Holgate)
Synopsis: A mixture of burlesque and comedy, the story centers on Pseudolus, the slave of Hero, who bids for his freedom by obtaining the courtesan Philia for his master; however, Miles Gloriosus has already bought Philia from Lycus, and Hero's father, Senex, has other plans for her. So Pseudolus spreads the word that Philia has died of the plague, and a mock funeral follows. When Miles finds out he is Philia's brother, he gives her to Hero, who gives Pseudolus his freedom.
Songs: "Comedy Tonight"; "Love, I Hear"; "Free"; "The House of Marcus Lycus"; "Lovely"; "Pretty Little Picture"; "Everybody Ought to Have a Maid"; "I'm Calm"; "Impossible"; "Bring Me My Bride"; "That Dirty Old Man"; "That'll Show Him"
Tony Awards: Best Musical, Best Actor in a Musical (Mostel), Best Featured Actor in a Musical (Burns), Best Author of a Musical (Shevelove and Gelbart), Best Direction of a Musical, Best Producer of a Musical. Tony nominations: Best Featured Actor in a Musical (Gilford), Best Featured Actress in a Musical (Kobart)
*THE GAY LIFE (November 18, 1961; Shubert Theatre; 113 performances). Director: Gerald Freedman; Composers/Lyricists: Arthur Schwartz and Howard Dietz; Librettists: Fay Kanin and Michael Kanin; Choreographer: Herbert Ross. Set in Vienna in 1904, this is the story of a bachelor and man about town (Walter Chiari), who, on the day of his marriage to Liesl (Barbara Cook), is discovered to have a woman in his bedroom. When Liesl finds out, the marriage is off—for a time.
Tony Awards: Best Costume Design. Tony nominations: Best Featured Actress in a Musical (Elizabeth Allen), Best Scenic Design (Oliver Smith), Best Conductor and Musical Director (Herbert Greene)
GENTLEMEN PREFER BLONDES (December 8, 1949; Ziegfeld Theatre; 740 performances)
Production credits: Producers: Herman Levin and Oliver Smith; Director: John C. Wilson; Composer: Jule Styne; Lyricist: Leo Robin; Librettists: Joseph Fields and Anita Loos; Choreographer: Agnes de Mille; Original source: Based on the novel by Anita Loos
Original cast: Dorothy Shaw (Yvonne Adair), Steward (Jerry Craig), Lorelei Lee (Carol Channing), Gus Esmond (Jack McCauley), Frank (Robert Cooper), George (Eddie Weston), Sunbathers (Pat Donahue and Marjorie Winters), Lady Phyllis Beekman (Rita Shaw), Sir Francis Beekman (Rex Evans), Mrs. Ella Spofford (Alice Pearce), Deck Stewards (Bob Buckhart and Jay Harnick), Henry Spofford (Eric Brotherson), Olympic (Kurt Stafford), Josephus Cage (George S. Irving), Deck Walkers (Fran Kegan and Junior Standish), Bill (Peter Birch), Gloria Stark (Anita Alvarez), Pierre (Bob Neukum), Taxi Driver and Head Waiter (Kazimir Kokic), Leon (Peter Holmes), Robert Lemanteur (Mort Marshall), Louis Lemanteur (Howard Morris), Flower Girl (Nicole France), Maitre d'Hotel (Crandall Diehl), Zizi (Judy Sinclair), Fifi (Hope Zee), Coles and Atkins (Charles Coles and Cholly Atkins), Tenor (William Krach), Policeman (William Diehl), Mr. Esmond Sr. (Irving Mitchell)
Synopsis: Lorelei Lee is a little girl from Little Rock, Arkansas, and she is about to head for Europe on a ship. Lorelei does not hide the fact that her mission in life is to get money—anyway she can. At the moment, all her expenses for the trip are paid by a button manufacturer named Gus. He finances the trip to Europe not only for Lorelei but also for her best friend, Dorothy. Once in England, Lorelei dates a dashing young Englishman. When she learns that he is richer than her button manufacturer, she makes plans to dump Gus and then discovers that Dorothy has already moved in.
Songs: "It's High Time"; "Bye, Bye Baby"; "A Little Girl from Little Rock"; "I Love What I'm Doing"; "Just a Kiss Apart"; "The Practice Scherzo"; "It's Delightful Down in Chile"; "Sunshine"; "I'm a Tingle, I'm a Glow"; "House on Rittenhouse Square"; "You Say You Care"; "Mamie Is Mimi"; "Coquette"; "Diamonds Are a Girl's Best Friend"; "Gentlemen Prefer Blondes"; "Homesick Blues"; "Keeping Cool with Coolidge"; "Button Up with Esmond"
Comments: Carol Channing made such an impression in this role that it made her an instant star. A little more than a year after the show opened, Channing's name appeared in lights above the title. On May 13, 1952, she gave her 1000th performance in the role. The highly successful 1953 movie starred Jane Russell and Marilyn Monroe as Dorothy and Lorelei. Through the years, the musical has been revised in its original version and also revised as Lorelei.
*THE GIRL FROM NANTUCKET (November 8, 1945; Adelphi Theatre; 12 performances). Directors: Henry Adrian and Edward Clarke Lilley; Composer: Jacques Belasco; Lyricist: Kay Twomey; Librettists: Paul Stamford, Harold Sherman, and Hy Cooper; Choreographer: Val Raset. Set in New York City and Nantucket, Massachusetts, this is a tale about a house painter who, in a mix-up, is assigned the job of painting a museum mural. In one reviewer's opinion, "It lacks everything."
*THE GIRL IN PINK TIGHTS (March 5, 1954; Mark Hellinger Theatre; 115 performances). Director: Shepard Traube; Composer: Sigmund Romberg; Lyricist: Leo Robin; Librettist: Jerome Chodorov; Choreographer: Agnes de Mille. The music of operetta composer Sigmund Romberg (who died in 1951) highlights this tale about the opening of a French ballet company at the end of the Civil War. The show introduced ballerina Jeanmaire in her stage debut.
*THE GIRL WHO CAME TO SUPPER (December 8, 1963; Broadway Theatre; 112 performances). Director/Choreographer: Joe Layton; Composer/Lyricist: Noël Coward; Librettist: Harry Kurnitz. Neither Noël Coward's music nor the presence of José Ferrer and Florence Henderson could bring to life this musical version of The Sleeping Prince. In addition, the show was not helped by opening so soon after John F. Kennedy's assassination.
Tony Award: Best Featured Actress in a Musical (Tessie O'Shea). Tony nominations: Best Author, Musical (Coward), Best Author, Musical (Kurnitz), Best Costume Design (Irene Sharaff)
THE GOLDEN APPLE (April 20, 1954; Alvin Theatre; 173 performances)
Production credits: Producers: Alfred De Liagre Jr. and Roger L. Stevens; Director: Norman Lloyd; Composer: Jerome Moross; Lyricist/Librettist: John Latouche; Choreographer: Hanya Holm
Original cast: Helen (Kaye Ballard), Lovey Mars (Bibi Osterwald), Mrs. Juniper (Charlotte Rae), Miss Minerva Oliver (Portia Nelson), Mother Hare (Martha Larrimore), Penelope (Virginia Copeland), Menelaus (Dean Michener), Ulysses (Gary Gordon), Theron (Stephen Couglass), Mayor Juniper (Jerry Stiller), Paris (Jonathan Lucas), Hector Charybdis (Jack Whiting)
Synopsis: This is an adaptation of Homer's epic poems of the Trojan War, reset in the American northwest. Traveling salesman Paris drops in on the little town of Angel's Roost, Washington, in a hot air balloon. The sheriff's wife, Helen, who is much younger than her husband and a woman of easy virtue, promptly falls for him. The two run off to Rhododendron, with Ulysses, a veteran of the Spanish-American War, and the other townsfolk in close pursuit. Ulysses and Paris end up in a boxing match. Ulysses returns home where ever-faithful, loyal, and long-suffering Penelope waits.
Songs: "Nothing Ever Happens in Angel's Roost"; "Mother Hare's Séance"; "My Love Is on the Way"; "The Heroes Come Home"; "It Was a Glad Adventure"; "Come Along, Boys"; "It's the Going Home Together"; "Mother Hare's Prophecy"; "Helen Is Always Willing"; "The Church Social"; "Introducin' Mr. Paris"; "The Judgment of Paris"; "Lazy Afternoon"; "The Departure for Rhododendron"; "My Picture in the Papers"; "The Taking of Rhododendron"; "Hector's Song"; "Windflowers"; "Store-Bought Suit"; "Calypso"; "Scylla and Charybdis"; "Goona-Goona"; "Doomed, Doomed, Doomed"; "Circe, Circe"; "Ulysses' Soliloquy"; "The Sewing Bee"; "The Tirade"
Comments: The show actually opened on March 11, 1954, at the Phoenix Theatre, and got such rave reviews that it was hurriedly transferred uptown. but the uptown crowds did not come and, although it cost only $75,000 to produce, it was taken off the boards at a loss. No one was ever sure why; critics suspect one of the reasons was that uptown audiences did not like the fact that the show had no dialogue.
GOLDEN BOY (October 20, 1964; Majestic Theatre; 569 performances)
Production credits: Producer: Hillard Elkins; Director: Arthur Penn, Composer: Charles Strouse; Lyricist: Lee Adams; Librettists: Clifford Odets and William Gibson; Choreographer: Donald McKayle; Original source: Based on the play by Clifford Odets
Original cast: Tom Moody (Kenneth Tobey), Roxy Gottlieb (Ted Beniades), Tokio (Charles Welch), Joe Wellington (Sammy Davis Jr.), Lorna Moon (Paula Wayne), Mr.Wellington (Roy Glenn), Anna (Jeannette DuBois), Ronnie (Johnny Brown), Frank (Louis Gossett), Terry (Terrin Miles), Hoodlum (Buck Heller), Eddie Satin (Billy Daniels), Benny (Benny Payne), Al (Albert Popwell), Lola (Lola Falana), Lopez (Jaime Rogers), Mabel (Mabel Robinson), Les (Lester Wilson), Drake (Don Crabtree), Fight Announcer (Maxwell Glanville), Reporter (Bob Daley), Driscoll (Ralph Vucci)
Synopsis: Joe is a young black man who wants to get rich quick. His way to wealth is boxing, despite his father's objections. His white manager feels that Joe would be a better fighter if he put his heart into it, so he asks Lorna, the manager's girlfriend, to persuade Joe to fight harder. Joe and Lorna fall in love. In a major fight, Joe knocks out Lopez and later learns the boxer is dead. That knowledge, coupled with the realization that Lorna is his manager's girl, drives Joe to his Ferrari and his death.
Songs: "Workout"; "Night Song"; "Everything's Great"; "Gimme Some"; "Stick Around"; "Don't Forget 127th Street"; "Lorna's Here"; "The Road Tour"; "This Is the Life"; "Golden Boy"; "While the City Sleeps"; "Colorful"; "I Want to Be with You"; "Can't You See It?"; "No More"; "The Fight"
Tony nominations: Best Musical, Best Actor in a Musical (Davis), Best Choreography, Best Producer of a Musical
Comments: The choreography included a boxing match, but the score was judged lackluster, and the show ran as long as it did mainly because of Sammy Davis Jr. The 1939 movie, with the lead character a white boxer, presented Willian Holden in his starring debut and also starred Lee J. Cobb and Barbara Stanwyck.
GOLDILOCKS (October 11, 1958; Lunt-Fontanne Theatre; 161 performances)
Production credits: Producer: Producers Theatre; Director: Walter Kerr; Composer: Leroy Anderson; Lyricists: Joan Ford, Walter Kerr, and Jean Kerr; Librettists: Walter Kerr and Jean Kerr; Choreographer: Agnes de Mille
Original cast: Maggie Harris (Elaine Stritch), George Randolph Brown (Russell Nype), Max Grady (Don Ameche), Lois Lee (Pat Stanley), Pete (Nathaniel Frey), Andy (Richard Armbruster), J. C. (Martin Wolfson), Bessie (Margaret Hamilton), Chauffeur (Samye Van)
Synopsis: This is a love letter to the silent movies that Walter Kerr remembered as a child. In the movie colony of 1913 Fort Lee, New Jersey, there are many clashes between silent star actress Maggie Harris and vain movie producer Max Grady. Their rocky relationship becomes more complicated with the appearance of the beautiful Lois Lee, who decides that she wants Max for herself. But Maggie is intent on making one more picture under the title of Goldilocks, and this time the sardonic actress and cocky movie director find the way to true romance.
Songs: "Lazy Moon"; "Give the Little Lady"; "Save a Kiss"; "No One'll Ever Love You"; "If I Can't Take It with Me"; "Who's Been Sitting in My Chair?"; "There Never Was a Woman"; "The Pussy Foot"; "Tom Cat"; "Brunette"; "Blondo"; "Lady in Waiting"; "The Beast in You"; "Shall I Take My Heart and Go?"; "Bad Companions"; "I Can't Be in Love"; "I Never Know When"; "Two Years in the Making"; "Heart of Stone"
Tony Awards: Best Featured Actor in a Musical (Nype), Best Featured Actress in a Musical (Stanley). Tony nominations: Best Choreography, Best Costume Design (Castillo), Best Conductor and Musical Director (Lehman Engel)
*GREAT TO BE ALIVE (March 23, 1950; Winter Garden Theatre; 52 performances). Director: Mary Hunter; Composers: Abraham Ellstein and Robert Russell Bennett; Lyricist: Walter Bullock; Librettists: Walter Bullock and Sylvia Regan; Choreographer: Helen Tamiris. Originally titled What a Day!, the show is set in an old Pennsylvania mansion and starred Vivienne Segal and Stuart Erwin in a tale about those who live happily among ghosts.
*GREENWILLOW (March 8, 1960; Alvin Theatre; 95 performances). Director: George Roy Hill; Composer/Lyricist: Frank Loesser; Librettists: Lesser Samuel and Frank Loesser; Choreographer: Joe Layton. In the magical rural American town of Greenwillow, it is the fate of the eldest male in the Briggs family—in this case Gideon (Anthony Perkins)—to leave his home to wander, even if that means breaking the heart of his sweetheart. But this time, with the help of a newcomer to Greenwillow, the Reverend Birdsong, Gideon is able to stay in the place he loves with the woman he loves.
Tony nominations: Best Featured Actress in a Musical (Pert Kelton), Best Choreography, Best Scenic Design, Musical (Peter Larkin), Best Costume Design (Alvin Colt), Best Conductor and Musical Director (Abba Bogin), Best Stage Technician (James Orr)
GUYS AND DOLLS (November 24, 1950; 46th Street Theatre; 1,194 performances)
Production credits: Producers: Cy Feuer and Ernest Martin; Director: George S. Kaufman; Composer/Lyricist: Frank Loesser; Librettists: Jo Swerling and Abe Burrows; Choreographer: Michael Kidd; Original source: Based on Damon Runyon stories and characters
Original cast: Sky Masterson (Robert Alda), Miss Adelaide (Vivian Blaine), Nathan Detroit (Sam Levene), Sarah Brown (Isabel Bigley), Arvide Abernathy (Pat Rooney Sr.), Nicely-Nicely Johnson (Stubby Kaye), Benny Southstreet (Johnny Silver), Big Jule (B. S. Pully), The Horse (Tom Pedi)
Synopsis: The musical revolves around two love stories and the colorful Damon Runyon characters. Nathan Detroit and Miss Adelaide have been engaged for fourteen years. The date gets no closer because Nathan always has another floating crap game to attend. Sky Masterson, also a gambler, makes a bet with Nathan that he can date Sarah from the Mission. They fall in love, but she is infuriated when she learns about the bet. In the crap game in an underground sewer, Sky wins and all the losers have to attend a Mission meeting. In the end, he marries Sarah, and Nathan and Adelaide are to be married at the Mission.
Songs: "Runyonland"; "Fugue for Tinhorns"; "Follow the Fold"; "The Oldest Established"; "I'll Know"; "A Bushel and a Peck"; "Adelaide's Lament"; "Guys and Dolls"; "If I Were a Bell"; "My Time of Day"; "I've Never Been in Love Before"; "Take Back Your Mink"; "More I Cannot Wish You"; "Luck Be a Lady"; "Sue Me"; "Sit Down, You're Rockin' the Boat"; "Marry the Man Today"
Tony Awards: Best Musical, Best Actor in a Musical (Alda), Best Featured Actress in a Musical (Bigley), Best Director, Best Choreography
Comments: Most of the reviewers gave raves to the production. Marlon Brando, Jean Simmons, Frank Sinatra, Vivian Blaine, and Stubby Kaye headlined the 1955 hit movie, which added some songs to the score, such as "Woman in Love." "If I Were a Bell" made the hit parade in 1950.
GYPSY (May 21, 1959; Broadway Theatre; 702 performances)
Production credits: Producers: David Merrick and Leland Hayward; Director/Choreographer: Jerome Robbins; Composer: Jule Styne; Lyricist: Stephen Sondheim; Librettist: Arthur Laurents; Original source: Based on the memoirs of Gypsy Rose Lee
Original cast: Uncle Jocko and Mr. Goldstone (Mort Marshall), Baby Louise (Karen Moore), Baby June (Jane Mayo), Louise (Sandra Church), June (Lane Bradbury), Herbie (Jack Klugman), Rose Lee (Ethel Merman), Tulsa (Paul Wallace), Yonkers (David Winters), Agnes (Marilyn Cooper), Miss Cratchitt (Peg Murray), Dolores (Marilyn D'Honau), Phil (Joe Silver)
Synopsis: This is the story of Gypsy Rose Lee's rise to the top in burlesque, although the central figure is her mother, Rose, the ultimate stage mother. Rose, with children Baby June and Louise, searches for fame and fortune. June and Louise grow up on stage. June eventually elopes, which infuriates Rose after all she has worked for. Then she turns to Louise, who is at first reluctant but at last becomes a star.
Songs: "May We Entertain You"; "Some People"; "Small World"; "Baby June and Her Newsboys"; "Mr. Goldstone"; "You'll Never Get Away from Me"; "Dainty June and Her Farmboys"; "If Momma Was Married"; "All I Need Is the Girl"; "Everything's Coming Up Roses"; "Madame Rose's Toreadorables"; "Together, Wherever We Go"; "You Gotta Get a Gimmick"; "Let Me Entertain You"; "Rose's Turn"
Tony nominations: Best Musical, Best Actress in a Musical (Merman), Best Featured Actor in a Musical (Klugman), Best Featured Actress in a Musical (Church), Best Direction of a Musical (Robbins), Best Conductor (Milton Rosenstock), Best Scenic Design (Jo Mielziner), Best Costume Design (Raoul Penne Du Bois)
Comments: Most reviewers praised the show (although it won no Tonys), but all were adamant that this was Ethel Merman's finest hour on Broadway. The film (1962), starring Rosalind Russell and Natalie Wood, was generally praised, but it lacked the electricity of Merman. A television adaptation in 1993 starred Bette Midler, for which she won the Golden Globe Award for Best Actress that year.
HALF A SIXPENCE (April 25, 1965; Broadhurst Theatre; 512 performances)
Production credits: Producers: Allen-Hodgden, Stevens Productions, and Harold Fielding; Director: Gene Saks; Composer/Lyricist: David Heneker; Librettist: Beverly Cross; Choreographer: Onna White; Original source: Based on H. G. Wells's book Kipps
Original cast: Arthur Kipps (Tommy Steele), Sid Pornick (Will Mackenzie), Ann Pornick (Polly James), Helen Walsingham (Carrie Nye), Buggins (Norman Allen), Walsingham (John Cleese), Pearce (Grover Dale), Carshot (William Larsen), Flo (Michele Hardy), Emma (Reby Howells), Kate (Louise Quick), Victoria (Sally Lee), Mr.Shalford (Mercer McLeod)
Synopsis: Half a sixpence is the small gift that Arthur Kipps, an apprentice, gives to sweetheart Ann, a maid, but when he goes to school at night, he falls in love with the teacher, Helen. After learning that he has come into a large inheritance, he asks Helen to marry him, but he changes his mind when he discovers how snobbish she is. Arthur marries Ann, but she does not care for the way that wealth has changed him; however, Arthur is cheated out of his money by Helen's brother, so he and Ann open a small shop and are happy.
Songs: "All in the Cause of Economy"; "Half a Sixpence"; "Money to Burn"; "A Proper Gentleman"; "She's Too Far Above Me"; "If the Rain's Got to Fall"; "The Old Military Canal"; "Long Ago"; "Flash Bang Wallop"; "I Know What I Am"; "The Party's On the House"
Tony nominations: Best Musical, Best Composer and Lyricist, Best Actor in a Musical (Steele), Best Featured Actor in a Musical (James Grout), Best Featured Actress in a Musical (Nye), Best Direction of a Musical, Best Choreography, Best Producer of a Musical, Best Author, Musical
Comments: Originally produced in London, the show delighted Broadway audiences, especially with Tommy Steele in the star role. But after he left the cast, audience interest dropped, and it closed on July 16, 1966, losing about one-third of its original $300,000 investment.
*THE HAPPIEST GIRL IN THE WORLD (April 3, 1961; Martin Beck Theatre; 96 performances). Director: Cyril Ritchard; Composer: Jacques Offenbach; Lyricist: E. Y. Harburg; Librettists: Fred Saidy and Henry Mayers; Choreographer: Dania Krupska. Cyril Ritchard directed and starred as the chief of state of Athens in this musical based on an ancient Greek comedy. Critics gave it glowing reviews, but audiences were generally lukewarm.
Tony nomination: Best Choreography
*HAPPY AS LARRY (January 6, 1950; Coronet Theatre; 3 performances). Director: Burgess Meredith; Composer: Mischa Portnoff; Lyricist: Donagh MacDonagh; Librettist: Donagh MacDonagh; Choreographer: Anna Sokolow. This short-lived musical fantasy is set anytime, anywhere, featuring Burgess Meredith. He played the role of Larry, an Irish tailor who goes back to his grandfather's time. A weak score and plot hastened its demise.
HAPPY HUNTING (December 6, 1956; Majestic Theatre; 412 performances)
Production credits: Producer: Joe Mielziner; Director: Abe Burrows; Composer: Harold Karr; Lyricisit: Matt Dubey; Librettists: Howard Lindsay and Russel Crouse; Choreographers: Alex Romero and Bob Herget
Original cast: Sanford Stewart Jr. (Gordon Polk), Mrs. Sanford Stewart Sr. (Olive Templeton), Joseph (Mitchell M. Gregg), Beth Livingstone (Virginia Gibson), Jack Adams (Seth Riggs), Harry Watson (Gene Wesson), Charlie (Delbert Anderson), Liz Livingstone (Ethel Merman), Lord Foley (Mary Finney), Police Sergeant (Marvin Zeller), Arturo (Leon Belasco), Duke of Granada (Fernando Lamas), Count Carlos (Renato Cibella), Waiter (Don Weismuller), Ship's Officer and Mr. T. (John Leslie), Barman (Warren J. Brown), Mrs. B. (Florence Dunlap), Mrs. D. (Madeline Clive), Mrs. L. (Kelly Stevens), Terrence (Jim Hutchison), Tom (Eugene Louis), Daisy (Moe), Mr. M. (Jay Velie), Albert (George Martin), Margaret (Mara Landi)
Synopsis: Liz Livingstone, a rich, widowed Philadelphia hostess with a heart of gold, experiences what she regards as a snub when she is not invited to the Grace Kelly–Prince Rainier wedding in Monaco. So, she decides to arrange an even grander marriage for her daughter, Beth. She soon discovers the impressively titled Duke of Granada, but then she falls for him herself. In the meantime, Beth only has eyes for Sanford Stewart, the society lawyer. Liz eventually finds love, even though it turns out that the Duke is quite possibly penniless.
Songs: "Postage Stamp-Principality"; "Don't Tell Me"; "It's Good to Be Here"; "Mutual Admiration Society"; "For Love or Money"; "Bikini Dance"; "It's Like a Beautiful Woman"; "Wedding-of-the-Year Blues"; "Mr. Livingstone"; "If'n"; "This Is What I Call Love"; "A New-Fangled Tango"; "She's Just Another Girl"; "The Game of Love"; "Happy Hunting"; "I'm a Funny Dame"; "This Much I Know"; "Just Another Guy"; "Anyone Who's Who"
Tony nominations: Best Actor in a Musical (Lamas), Best Actress in a Musical (Merman), Best Featured Actress in a Musical (Gibson), Best Costume Design
Comments: This was one of Ethel Merman's rare failures, mostly because she had no "belting" tunes.
*HAPPY TOWN (October 7, 1959; 54th Street Theatre; 5 performances). Director: Alan A. Buckhantz; Composer: Gordon Duffy; Lyricist: Harry M. Haldane; Librettist: Max Hampton; Choreographer: Lee Scott. Set in various locales in Back-A-Heap, Texas, this musical tells the tale of the townspeople who are upset because this is one Texas town without a millionaire. Despite poor reviews and only five performances, choreographer Lee Scott was nominated for a Tony.
Tony nomination: Best Choreography
HAZEL FLAGG (February 11, 1953; Mark Hellinger Theatre; 190 performances)
Production credits: Producers: Jule Styne, in association with Anthony B. Farrell; Director: David Alexander; Composer: Jule Styne; Lyricist: Bob Hilliard; Librettist: Ben Hecht; Choreographer: Robert Alton; Original source: Based on a story by James Street and the film Nothing Sacred
Original cast: Editor (Dean Campbell), Oleander (Jonathan Harris), Laura Carew (Benay Venuta), Wallace Cook (John Howard), Mr. Billings (Lawrence Weber), Mr. Jenkins (Robert Lenn), Hazel Flagg (Helen Gallagher), Dr. Downer (Thomas Mitchell), Man on the Street (George Reeder), Bellboy (Jerry Craig), Maximilian Lavian (John Pelletti), Miss Winterbottom (Betsy Holland), Tenth Avenue Merchant (Ross Martin), Mayor of New York (Jack Whiting), Whitey (Sheree North), Willie (John Brascia), Dr. Egelhofer (Ross Martin), Policeman (Eric Schepard)
Synopsis: Hazel Flagg is a country girl from Vermont. A New York magazine gets word that she is near death from radium poisoning. The magazine sponsors her trip to the big city, where she promptly falls in love with the worldly Wallace Cook. As it turns out, Hazel is not going to die after all, but the country girl is now in love with New York, and the romance continues.
Songs: "A Little More Heart"; "The World Is Beautiful Today"; "I'm Glad I'm Leaving"; "Hello, Hazel"; "Make the People Cry"; "Every Street's a Boulevard in Old New York"; "How Do You Speak to an Angel?"; "I Feel Like I'm Gonna Live Forever"; "You're Gonna Dance with Me, Willie"; "Who Is the Bravest?"; "Laura De Maupassant"
Tony Awards: Best Actor in a Musical (Mitchell), Best Costume Design (Miles White)
Comments: Dancer Sheree North got her first Broadway notice in a lively number that had little to do with the plot. At 190 performances, the show was a financial loss.
*HEAVEN ON EARTH (September 16, 1948; New Century Theatre; 12 performances). Director: John Murray Anderson; Composer: Jay Gorney; Lyricist: Barry Trivers; Librettist: Barry Trivers; Choreographer: Nick Castle. Critics called this a rather dismal affair about a New York taxi driver who, with the help of a pixie, aids a poor couple who live in a tree. The only highlight was the sets by Raoul Pene Du Bois, including Central Park recreated on stage.
HELLO, DOLLY! (January 16, 1964; St. James Theatre; 2,844 performances)
Production credits: Producer: David Merrick; Director/Choreographer: Gower Champion; Composer/Lyricist: Jerry Herman; Librettist: Michael Stewart; Original source: Based on Thornton Wilder's play The Matchmaker
Original cast: Mrs. Dolly Gallagher Levi (Carol Channing), Ernestina (Mary Jo Catlett), Ambrose Kemper (Igors Gavon), Horse (Jan LaPrade and Bonnie Mathis), Horace Vandergelder (David Burns), Cronelius Hackl (Charles Nelson Reilly), Barnaby Tucker (Jerry Dodge), Irene Molly (Eileen Brennan), Minnie Fay (Sondra Lee), Mrs. Rose (Amelia Haas), Rudolph (David Hartman), Judge (Gordon Connell), Court Clerk (Ken Ayers)
Synopsis: The setting is New York City and environs in the 1890s, and the musical centers around Dolly Levi, who is into everything and everyone's business, as she is fond of saying, "I meddle." At the moment, she is mostly concerned with finding a suitable wife for wealthy Horace Vandergelder. Actually, Dolly is secretly scheming to get him for herself. Between the distractions of Dolly's communications with her deceased husband Ephraim and her plans to get Horace's daughter a husband, she leads everyone on a merry chase. Finally, Horace decides there is no use resisting, and they plan to marry.
Songs: "I Put My Hand In"; "It Takes a Woman"; "Put on Your Sunday Clothes"; "Ribbons Down My Back"; "Motherhood"; "Dancing"; "Before the Parade Passes By"; "Elegance"; "The Waiters' Gallop"; "Hello, Dolly!"; "Come and Be My Butterfly"; "It Only Takes a Moment"; "So Long Dearie"
Tony Awards: Best Musical, Best Actress (Channing), Best Composer/Lyricist (Herman), Best Librettist (Stewart), Best Choreographer and Director (Champion), Best Producer (Merrick), Best Scenic Design (Oliver Smith), Best Costume Design (Freddy Wittop), Best Conductor (Shepard Coleman)
Comments: The cast was superb and the title song the most musical to come out of Broadway in many a season. It got a boost from Louis Armstrong's great recording. Reviewers called this role the best of Carol Channing's career. Strangely enough, the highly successful show ran into trouble during the try-out period. David Merrick was originally displeased with the musical numbers, and there was a good deal of fast rewriting.
HERE'S LOVE (October 3, 1963; Shubert Theatre; 338 performances)
Production credits: Producer/Director: Stuart Ostrow; Composer/Lyricist/Librettist: Meredith Willson; Choreographer: Michael Kidd; Original source: Based on the film Miracle on 34th Street
Original cast: Mr. Kris Kringle (Laurence Naismith), Fred Gaily (Craig Stevens), Susan Walker (Valerie Lee), Marvin Shellhammer (Fred Gwynne), Doris Walker (Janis Paige), R. H. Macy (Paul Reed), Harry Finfer (Sal Lombardo), Mrs. Finfer and Girl Scout Leader (Mara Landi), Hendrika (Kathy Cody), Hendrika's New Mother (Suzanne France), Miss Crookshank (Reby Howells), Mr. Psawyer (David Doyle), Governor (Darrell Sandeen), Mayor and Mailman (Hal Norman), Mr. Gimbel and Murphy (William Griffis), Policeman (Bob McClure), Clara (Mary Louise), Judge Martin Group (Cliff Hall), District Attorney Thomas Mara (Larry Douglas), Tammany O'Halloran (Arthur Rubin), Nurse (Leesa Troy), Bailiff (Del Horstman), Thomas Mara Jr. (Dewey Golkin)
Synopsis: Macy's hires the real Kris Kringle because its regular Santa Claus is drunk. Kris is so honest that no one can believe him, and the government takes him to court. In the meantime, young Susan Walker manages to find a husband, Fred Gaily, for her divorced mother and a new father for herself. In the end, the true spirit of Christmas prevails.
Songs: "Arm in Arm"; "You Don't Know"; "The Plastic Alligator"; "The Bugle"; "Here's Love"; "My Wish"; "Pine Cones and Holly Berries"; "Look, Little Girl"; "Expect Things to Happen"; "Love Come Take Me Again"; "She Hadda Go Back"; "That Man Over There"; "My State"; "Nothing in Common"
Comments: This was Meredith Willson's third musical on Broadway. Most reviewers felt the show was appealing but forgettable.
HIGH BUTTON SHOES (October 9, 1947; New Century Theatre; 727 performances)
Production credits: Producers: Monte Proser and Joseph Kipness; Director: George Abbott; Composers/Lyricists: Jule Styne and Sammy Cahn; Librettists: George Abbott and Stephen Longstreet; Choreographer: Jerome Robbins
Original cast: Harrison Floy (Phil Silvers), Mr. Pontdue (Joey Faye), Uncle Willie (Donald Saddler), Henry Longstreet (Jack McCauley), Stevie Longstreet (Johnny Stewart), Fran (Loris Lee), Sara Longstreet (Nanette Fabray), Nancy (Helen Gallagher), Hubert Ogglethorpe (Mark Dawson), Shirley Simpkins (Carole Coleman), Elmer Simpkins (Nathaniel Frey), Elmer Simpkins Jr. (Donald Harris), Coach (Tom Glennon), Mr. Anderson (William David), Boy at the Picnic (Arthur Partington), Playmate (Sondra Lee), Popular Girl (Jacqueline Dodge), Betting Man (George Spelvin), Another Betting Man (Howard Lenters)
Synopsis: Harrison Floy is a small-time con man who returns to his small-town New Jersey home, where his neighbors think he has become a tycoon. After he starts selling real estate to them and they discover the land is a swamp, he leaves town for Atlantic City, taking Sara's sister, Fran, with him. They both return, Fran to her old boyfriend and Floy to make amends. He bets on the Princeton-Rutgers football game to get cash, even trying to get Rutgers to throw the game. When Rutgers wins, Floy gets out of town again.
Songs: "He Tried to Make a Dollar"; "Can't You Just See Yourself in Love with Me?"; "There's Nothing Like a Model T"; "Next to Texas, I Love You"; "Security"; "Bird Watcher's Song"; "Get Away for a Day in the Country"; "A Summer Incident"; "Papa, Won't You Dance with Me?"; "On a Sunday by the Sea"; "You're My Girl"; "I Still Get Jealous"; "You're My Boy"; "Nobody Ever Died for Dear Old Rutgers"; "Castle Walk"
Tony Award: Best Choreographer (Robbins)
Comments: Although a successful musical, this was Jule Styne's and Sammy Cahn's last collaboration for almost a decade. Nanette Fabray and Jack McCauley stopped the show with their musical numbers, but the highlight of the evening was the Mack Sennett Ballet staged by Jerome Robbins in which the Keystone Cops, among others, chase Floy and end in a jumbled heap of bodies with a flag-waving cop on top. Sennett won a lawsuit for using his name as well as the Keystone Cops in the ballet scene without permission.
HIGH SPIRITS (April 7, 1964; Alvin Theatre; 376 performances)
Production credits: Producers: Lester Osterman, Robert Fletcher, and Richard Horner; Director: Noël Coward; Composers/Lyricists/Librettists: Hugh Martin and Timothy Gray; Choreographer: Danny Daniels; Original source: Based on Noël Coward's Blithe Spirit
Original cast: Charles Condomine (Edward Woodward), Edith (Carol Arthur), Ruth Condomine (Louise Troy), Mrs. Bradman (Margaret Hall), Dr. Bradman (Lawrence Keith), Madame Arcati (Beatrice Lillie), Elvira (Tammy Grimes), Bob (Robert Lenn), Beth (Beth Howland), Rupert (Gene Castle)
Synopsis: Writer Charles Condomine hosts a séance conducted by Madame Arcati so he can learn her tricks for his next novel. He assumes she is a fake, but instead she goes into a trance and manages to bring back his first wife, Elvira, even though he is the only one who can see her. This greatly upsets his second marriage to Ruth, who thinks this is all a joke, until Elvira moves into the Condomine household and plans to kill Charles so he can join her. She accidently kills Ruth instead. Now both female apparitions drive Charles crazy.
Songs: "Was She Prettier Than I?"; "The Bicycle Song"; "You'd Better Love Me"; "Where Is the Man I Married?"; "The Sandwich Man"; "Go into Your Trance"; "Forever and a Day"; "Something Tells Me"; "I Know Your Heart"; "Faster Than Sound"; "If I Gave You"; "Talking to You"; "Home Sweet Heaven"; "Something Is Coming to Tea"; "The Exorcism"; "What in the World Did You Want?"
Tony nominations: Best Musical, Best Actress in a Musical (Lillie), Best Featured Actress in a Musical (Troy), Best Composer and Lyricist, Best Choreography (Daniels), Best Direction of a Musical (Coward), Best Author, Best Conductor (Fred Werner)
Comments: This was Beatrice Lillie's last Broadway show. When she could not get along with director Noël Coward, Gower Champion took over. Lillie treated her audiences to such elegant madnesses as taking a series of curtain calls early in the second act. Although the show had a respectable run, it failed financially.
*HIT THE TRAIL (December 2, 1954; Mark Hellinger Theatre; 4 performances). Directors: Charles W. Christenberry Jr. and Byrie Carr; Composer: Frederico Valerio; Lyricist: Elizabeth Miele; Librettist: Frank O'Neill; Choreographer: Gene Baylies. A primadonna hits Virginia City, Nevada, during the late nineteenth century.
*HOLD IT! (May 5, 1948; National Theatre; 46 performances). Director: Robert E. Perry; Composer: Gerald Marks; Lyricist: Samuel M. Lerner; Librettists: Matt Brooks and Art Arthur; Choreographer: Michael Kidd. The production is set in and around Lincoln University and centers on the tale of a boy dressed as a girl who wins a Hollywood beauty contest. Most critics thought it unprofessional, and so did the audiences, who mainly stayed away.
*HOT SPOT (April 19, 1963; Majestic Theatre; 43 performances). Director: Morton DaCosta; Composer: Mary Rodgers; Lyricist: Martin Charnin; Librettists: Jack Weinstock and Willie Gilbert; Choreographer: Onna White. Inspired by the furor caused when a Peace Corps volunteer described conditions in Nigeria in 1961, fictional volunteer Sally Hopwinder concocts a plan to get aid for the pretend country of D'hum. In a Broadway record, opening night was postponed four times. Even Judy Holliday, in her final stage performance, could not save this musical.
HOUSE OF FLOWERS (December 30, 1954; Alvin Theatre; 165 performances)
Production credits: Producer: Saint Subber; Director: Peter Brook; Composer: Harold Arlen; Lyricists: Truman Capote and Harold Arlen; Librettist: Truman Capote; Choreographer: Geoffrey Holder
Original cast: Madame Fleur (Pearl Bailey), Alvin (Alvin Ailey), Mother (Miriam Burton), Ottillie, alias Violet (Diahann Carroll), Townspersons (Joseph Comacho and Hubert Dilworth), Carmen (Carmen De Lavallade), Monsier Jamison (Dino DiLuca), Madame Tango (Juanita Hall), Mamselle Honolulu (Mary Mon Toy), Gladiola (Ada Moore), Pansy (Enid Mosier), Chief of Police (Don Redman), Mamselle Ibo-Lele (Pearl Reynolds), Royal (Rawn Spearman), Mamselle Cigarette (Glory Van Scott), Captain Jones (Ray Walston)
Synopsis: On a West Indies island, there is trouble between the brothel run by Madame Tango and the one run by Madame Fleur. All the girls are named for flowers. When mumps breaks out, Madame Fleur wants to sell Ottillie, whose professional name is Violet, to a merchant, but she wants to marry Royal. So Madame Fleur has Royal kidnapped, but he escapes in time to stop the marriage.
Songs: "Waitin'"; "One Man Ain't Quite Enough"; "A Sleepin' Bee"; "Bamboo Cage"; "House of Flowers"; "Two Ladies in the Shade"; "What Is a Friend For?"; "Mardi Gras"; "I Never Has Seen Snow"; "I'm Gonna Leave Off Wearing My Shoes"; "Has I Let You Down?"; "Slide, Boy, Slide"; "Don't Like Goodbyes"; "Turtle Song"
Tony Award: Best Scenic Design (Oliver Messel)
Comments: Some reviewers were surprised the show opened at all since rumors spread that the backstage fighting during tryouts was vicious. This was Diahann Carroll's Broadway debut. Barbra Streisand featured "A Sleepin' Bee" in her first Grammy-winning album.
HOW TO SUCCEED IN BUSINESS WITHOUT REALLY TRYING (October 14, 1961; 46th Street Theatre; 1,417 performances)
Production credits: Producers: Cy Feuer and Ernest Martin, in association with Frank Productions; Director: Abe Burrows; Composer/Lyricist: Frank Loesser; Librettists: Abe Burrows, Jack Weinstock, and Willie Gilbert; Choreographer: Hugh Lambert; Original source: Based on the book by Shepherd Mead
Original cast: J. Pierpont Finch (Robert Morse), Gatch and Toynbee (Ray Mason), Jenkins (Robert Kaliban), Tackaberry (David Collyer), Peterson (Casper Roos), J. B. Biggley (Rudy Vallee), Rosemary (Bonnie Scott), Bratt (Paul Reed), Smitty (Claudette Sutherland), Frump (Charles Nelson Reilly), Miss Jones (Ruth Kobart), Mr. Twimble and Womper (Sammy Smith), Hedy (Virginia Martin), Scrubwomen (Mara Landi and Silver Saundors), Miss Krumholtz (Mara Landi), Ovington (Lanier Davis), Policeman (Bob Murdock)
Synopsis: Satirizing the "rags-to-riches" story by Horatio Alger, this show both lampoons and cheers the corporate way. Ambitious J. Pierpont Finch is a window washer who buys a book on how to succeed in business and consults it whenever necessary, which is quite often. In an amazingly short period of time, he gets the attention of the company boss, gets the girl, and goes from a nobody to chairman of the board.
Songs: "How To"; "Happy to Keep His Dinner Warm"; "Coffee Break"; "The Company Way"; "A Secretary Is Not a Toy"; "Been a Long Day"; "Grand Old Ivy"; "Paris Original"; "Rosemary"; "Finaletto"; "Cinderella, Darling"; "Love from a Heart of Gold"; "I Believe in You"; "The Yo Ho Ho"; "Brotherhood of Man"
Tony Awards: Best Musical, Best Actor in a Musical (Morse), Best Featured Actor in a Musical (Reilly), Best Author of a Musical, Best Direction of a Musical, Best Producer of a Musical, Best Conductor and Musical Director (Elliot Lawrence). Tony nominations: Best Composer.
Comments: Even after Robert Morse and Rudy Vallee left the show, it continued as a hit with numerous replacements. The 1967 movie version featured Morse and Vallee and was the film debut for Michele Lee.
I CAN GET IT FOR YOU WHOLESALE (March 22, 1962; Shubert Theatre; 300 performances)
Production credits: Producer: David Merrick; Director: Arthur Laurents; Composer/Lyricist: Howard Rome; Librettist: Jerome Weidman; Choreographer: Herbert Ross; Original source: Based on Howard Rome's novel
Original cast: Miss Marmelstein (Barbra Streisand), Maurice Pulvermacher (Jack Kruschen), Meyer Bushkin (Ken Le Roy), Harry Bogen (Elliot Gould), Tootsie Maltz (James Hickman), Ruthie Rivkin (Marilyn Cooper), Mrs. Bogen (Lillian Roth), Martha Mills (Sheree North), Mario (William Reilly), Mitzi (Barbara Monte), Eddie (Edward Verso), Blanche Bushkin (Bambi Linn), Teddy Asch (Harold Lang), Buggo (Kelly Brown), Miss Springer (Pat Turner), Velma (Francine Bond), Lenny (William Sumner), Norman (Stanley Simmonds), Manette (Luba Lisa), Gail (Wilma Curley), Rosaline (Marion Fels), Noodle (Jack Murrary), Sam (Don Grilley), Moxie (Ed Collins), Sheldon Bushkin (Steve Curry), Edith (Margaret Gathright)
Synopsis: In the 1930s world of the New York City garment district, pushy Harry Bogen gets rid of his partners as he shoves his way to the top. His mother and girlfriend, Ruthie, try to warn him that what he is doing is unethical, but he ignores them. He even ditches Ruthie for a flamboyant nightclub performer. In the end, Harry's double dealings end in bankruptcy, and the only ones left to console him are his mother and Ruthie.
Songs: "Well Man"; "The Way Things Are"; "When Gemini Meets Capricorn"; "Momma, Momma"; "The Sound of Money"; "Family Way"; "Too Soon"; "Who Knows?"; "Have I Told You Lately?"; "Ballad of the Garment Trade"; "A Gift Today"; "Miss Marmelstein"; "A Funny Thing Happened"; "What's in It for Me?"; "What Are They Doing to Us Now?"; "Eat a Little Something"
Tony nomination: Best Featured Actress in a Musical (Streisand)
Comments: At age nineteen, future superstar Barbra Streisand made her debut on Broadway and took the show's only Tony nomination.
I HAD A BALL (December 15, 1964; Martin Beck Theatre; 199 performances)
Production credits: Producer: Joseph Kipness; Director: Lloyd Richards; Composers/Lyricists: Jack Lawrence and Stan Freeman; Librettist: Jerome Chodorov; Choreographer: Onna White
Original cast: Garside (Buddy Hackett), Stan the Shpieler (Richard Kiley), Ma Maloney (Rosetta LeNoire), Addie (Luba Lisa), Morocco (Morocco), Jeannie (Karen Morrow), Gimlet (Al Nesor), Brooks (Steve Roland), Officer Millhauser (Ted Thurston), Joe the Muzzler (Jack Wakefield), George Osaka (Conrad Yama), Lifeguard (Marty Allen), Jimmy (Nathaniel Jones)
Synopsis: The setting is in and around Coney Island, New York, where Garside decides to turn matchmaker, although he doesn't prove very good at it. He tries to make a couple out of Brooks and Jeannie, a loan shark and a ferris wheel operator, as well as pitchman Stan and hustler Addie. Brooks and Jeannie discover that they actually might work out, but the others are not so sure.
Songs: "Garside the Great"; "Coney Island, U.S.A."; "The Other Half of Me"; "Addie's at It Again"; "I've Got Everything I Want"; "Dr. Freud"; "Think Beautiful"; "Faith"; "Can It Be Possible?"; "Neighborhood"; "The Affluent Society"; "Almost"; "Fickle Finger of Fate"; "You Deserve Me"; "Lament"; "Be a Phony"; "Tunnel of Love Chase"
Tony nomination: Best Featured Actress in a Musical (Lisa)
IRMA LA DOUCE (September 29, 1960; Plymouth Theatre; 524 performances)
Production credits: Producers: David Merrick, in association with Donald Albery and H. M. Tennent Ltd., by arrangement with Henry Hall; Director: Peter Brook; Composer: Marguerite Monnot; Lyricist: Julian More (English); Librettists: Julian More, David Heneker, and Monty Norman; Choreographer: Onna White; Original source: Adapted from the original French book
Original cast: Bob-Le-Hotu (Clive Revill), Irma-La-Douce (Elizabeth Seal), Client (Eddie Gasper), Jojo-Les-Yeux-Sales (Zack Matalon), Roberto-Les-Diams (Aric Lavie), Persil-Le-Noir (Osborne Smith), Frangipane (Stuart Damon), Polyte-Le-Mou (Fred Gwynne), Police Inspector (George S. Irving), Nestor-Le-Fripe (Keith Michell), M. Bougne and Second Warder (George Del Monte), Counsel for the Prosecution and Third Warder (Rico Froehlich), Counsel for the Defense and Tax Inspector (Rudy Tronto), Usher, First Warder, and Priest (Elliott Gould), Honest Man (Joe Rocco), Court Gendarme (Byron Mitchell)
Synopsis: This is the story of a bad girl with a good heart. Irma is a prostitute in the red-light district who is supporting her law student boyfriend, Nestor. Nestor becomes jealous of Irma's occupation, so he poses as Monsieur Oscar, who pays Irma 10,000 francs for her services, but she gives the money to Nestor, so the same money goes back and forth. When Irma falls for Oscar, Nestor decides it is time to get rid of him. He gets arrested but escapes and returns to Irma as they are about to have a child.
Songs: "Valse Milieu"; "Sons of France"; "The Bridge of Caulaincourt"; "Our Language of Love"; "She's Got the Lot"; "Dis-Donc"; "Le Grisbi Is le Root of le Evil in Man"; "Wreck of a Mec"; "That's a Crime"; "From a Prison Cell"; "Irma-la–Douce"; "There Is Only One Paris for That"; "The Freedom of the Seas"; "But"; "Christmas Child"
Tony nominations: Best Musical, Best Featured Actor in a Musical (Revill), Best Direction of a Musical, Best Costume Design (Musical), Best Choreography, Best Conductor and Musical Director (Stanley Lebowsky)
Comments: There was some audience and critic objection to the story line but not so much that it spoiled a run of more than 500 performances.
*THE JACKPOT (January 13, 1944; Alvin Theatre; 69 performances). Director: Roy Hargrave; Composer: Vernon Duke; Lyricist: Howard Dietz; Librettists: Guy Bolton, Sidney Sheldon, and Ken Roberts; Choreographers: Lauretta Jefferson and Charles Weidman. This is an old-fashioned musical about Sally Madison (Nanette Fabray), who becomes first prize in a bond rally. It also starred Wendell Cory, Allan Jones, Jerry Lester, and Betty Garrett.
JAMAICA (October 31, 1957; Imperial Theatre; 555 performances)
Production credits: Producer: David Merrick; Director: Robert Lewis; Composer: Harold Arlen; Lyricist: E. Y. Harburg; Librettists: E. Y. Harburg and Fred Saidy; Choreographer: Jack Cole
Original cast: Koli (Richardo Montalban), Quico (Augustine Rios), Savannah (Lena Horne), Grandma Obeah (Adelaide Hall), Giner (Josephine Premice), Snodgrass (Roy Thompson), Hucklebuck (Hugh Dilworth), The Governor (Erik Rhodes), Cicero (Ossie Davis), Lancaster (James E. Wall), First Ships Officer (Tony Martinez), Second Ships Officer (Michael Wright), Joe Nashua (Joe Adams)
Synopsis: Koli is a poor fisherman on the tropical paradise island of Jamaica. He is in love with Savannah, but she dreams only of living in New York City. Joe Nashua comes to Jamaica on a pearl-diving vacation. Savannah decides that Joe may be her ticket north, but before she can leave, a hurricane hits the island, during which Savannah's brother is nearly killed. His life is saved by Koli, which makes Savannah change her mind and stay in Jamaica. She does get her wish to visit New York, however, in a dream ballet sequence.
Songs: "Savannah"; "Little Biscuit"; "Cocoanut Sweet"; "Pity the Sunset"; "Yankee Dollar"; "What Good Does It Do?"; "Monkey in the Mango Tree"; "Take It Slow, Joe"; "Ain't It the Truth"; "Leave the Atom Alone"; "For Every Fish"; "I Don't Think I'll End It All Today"; "Napoleon"
Tony nominations: Best Musical, Best Actor in a Musical (Montalban), Best Actress in a Musical (Horne), Best Featured Actor in a Musical (Davis), Best Featured Actress in a Musical (Premice), Best Scenic Design (Oliver Smith), Best Costume Design (Miles White)
Comments: This was David Merrick's second hit and Lena Horne's first appearance in a starring Broadway role. It was an average musical with an average plot, but the audiences flocked to see Horne.
*JENNIE (October 17, 1963; Majestic Theatre; 82 performances). Director: Vincent J. Donehue; Composers/Lyricists: Howard Dietz and Arthur Schwartz; Librettist: Howard Dietz; Choreographer: Matt Mattox. Based on the life of actress Laurette Taylor, this is a musical about a gymnastics teacher in a small town. Mary Martin supposedly turned down the leads in Hello, Dolly! and Funny Girl for this one. She is the reason it ran as long as it did.
*JUNO (March 9, 1959; Winter Garden Theatre; 16 performances). Director: José Ferrer; Composer/Lyricist: Marc Blitzstein; Librettist: Joseph Stein; Choreographer: Agnes de Mille. Juno, played by Shirley Booth, is the hardworking matriarch of an Irish family in Dublin in the early 1920s. Based loosely on Sean O'Casey's Juno and the Peacock, critics felt it too dark for a musical. José Ferrer was the third director, replacing Tony Richardson and then Vincent J. Donehue. Revivals of the musical have been attempted a few times with little success.
*KEAN (November 2, 1961; Broadway Theatre; 92 performances). Director/
Choreographer: Jack Cole; Composers/Lyricists: Robert Wright and George Forrest; Librettist: Peter Stone. Set in London in the early nineteenth century, Alfred Drake starred as Edmund Kean, a man who wants to be appreciated for more than being a fine actor. Drake originally turned down the role when it was presented as a drama in London. Critics found the musical version inadequate.
Tony nominations: Best Actor in a Musical (Drake), Best Conductor and Musical Director (Pembroke Davenport)
*KELLY (February 6, 1965; Broadhurst Theatre; 1 performance). Director/
Choreographer: Herbert Ross; Composer: Moose Charlap; Lyricist/Librettist: Eddie Lawrence. The dread of everyone involved in show business; the musical closed on opening night. Set in New York City in the 1880s with a large cast, the story revolves around the first man who was said to have jumped from the Brooklyn Bridge.
THE KING AND I (March 29, 1951; St. James Theatre; 1,246 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II; Director: John Van Druten; Composer: Richard Rodgers; Lyricist/ Librettist: Oscar Hammerstein II; Choreographer: Jerome Robbins; Original source: Adapted from the novel Anna and the King of Siam by Margaret Landon
Original cast: Captain Orton (Charles Francis), Louis Leonowens (Sandy Kennedy), Anna Leonowens (Gertrude Lawrence), The Interpreter (Leonard Graves), The Kralahome (John Juliano), The King (Yul Brynner), Phra Alack (Len Mence), Tuptim (Doretta Morrow), Lady Thiang (Dorothy Sarnoff), Prince Chulalongkorn (Jackie Collins), Prince Ying Yaowalak (Baayork Lee), Lun Tha (Larry Douglas), Sir Edward Ramsay (Robin Craven)
Synopsis: English widow Anna Leonowens and her young son arrive in Siam in 1862 to tutor the king's children. They are ushered into a kingdom ruled by a man that most people consider to be a barbarian who insists on his own ways and will listen to no one else. Anna is there to instruct the young royalty, which she does, at the same time maintaining her own traditions and values. In time, the king begrudgingly comes to respect Anna, and she begins to see beyond his arrogance. The two eventually begin to understand and care for one another.
Songs: "I Whistle a Happy Tune"; "My Lord and Master"; "Hello, Young Lovers!"; "A Puzzlement"; "The Royal Bangkok Academy"; "Getting to Know You"; "We Kiss in a Shadow"; "Shall I Tell You What I Think of You?"; "Something Wonderful"; "Western People Funny"; "I Have Dreamed"; "Shall We Dance?"
Tony Awards: Best Musical, Best Actress in a Musical (Lawrence), Best Featured Actor in a Musical (Brynner), Best Scenic Design (Jo Mielziner), Best Costume Design (Irene Sharaff)
Comments: "The boys have done it again [meaning Rodgers and Hammerstein]," said John Chapman of the Journal-American. Yul Brynner was not first choice for the role of the king but got it over Rex Harrison, Noël Coward, and Alfred Drake. Brynner went on to play the role more than 4,600 times on stage and television and also starred in the movie. This was the first musical by Richard Rodgers and Oscar Hammerstein based on a true story. The 1956 movie version starred Deborah Kerr as Anna (Gertrude Lawrence died in 1952). Brynner won an Oscar for Best Actor, and the movie took five Academy Awards in all.
KISMET (December 3, 1953; Ziegfeld Theatre; 583 performances)
Production credits: Producer: Charles Lederer; Director: Albert Marre; Composer: Aleksandr Borodin; Lyricists: Robert Wright and George Forrest; Librettists: Charles Lederer and Luther Davis; Choreographer: Jack Cole
Original cast: Doorman and Akbar (Jack Dodds), Omar (Francis Compton), Hajj (Alfred Drake), Marsinah (Doretta Morrow), Taman (Ted Thurston), Hassan-Ben (Clifford Fearl), Jawan (Truman Gaige), Chief Policeman (Kirby Smith), Second Policeman (Bruce MacKay), Wazir of Police (Henry Calvin), Lalume (Joan Diener), Caliph (Richard Kiley), Princess Zubbediya (Florence Lessing), Ayah to Zubbediya (Lucy Andonian), Princess Samaris (Beatrice Kraft), Ayah to Samaris (Thelma Dare), Prosecutor (Earle MacVeigh), Widow Yussef (Erica Twiford)
Synopsis: Hajj is the king of beggars, a master magician and poet who becomes involved in a series of adventures. His daughter steals the wares of a fruit merchant and is pursued by him, but Hajj rescues her. Soon she is seen by the young Caliph, who falls in love with her, but she is abducted and placed in a harem by the Wazir. Once again, Hajj comes to the rescue. Through some wizardry, he saves his daughter, and the Caliph announces that she will become his commoner bride.
Songs: "Rhymes Have I"; "Fate"; "Not Since Nineveh"; "Baubles, Bangles, and Beads"; "Stranger in Paradise"; "He's in Love!"; "Gesticulate"; "Night of My Nights"; "Was I Wazir?"; "Rahadlakum"; "And This Is My Beloved"; "The Olive Tree"
Tony Awards: Best Musical, Best Actor in a Musical (Drake), Musical Conductor (Louis Adrian)
Comments: In the 1944 movie version, Marlene Dietrich danced one number with her body and famous legs painted gold. The film was remade in 1955 with Howard Keel and Ann Blyth.
KISS ME, KATE (December 30, 1948; New Century Theatre; 1,077 performances)
Production credits: Producers: Saint Subber and Lemuel Ayers; Director: John C. Wilson; Composer/Lyricist: Cole Porter; Librettists: Sam Spewack and Bella Spewack; Choreographer: Hanya Holm; Original source: Based on Shakespeare's play The Taming of the Shrew
Original cast: Fred Graham/Petruchio (Alfred Drake), Harry Trevor/Baptista (Thomas Hoier), Lois Lane/Bianca (Lisa Kirk), Ralph (Don Mayo), Lilli Vanessi/Katharine (Patricia Morison), Hattie (Annabelle Hill), Paul (Lorenzo Fuller), Bill Calhoun/Lucentio (Harold Lang), First Man (Harry Clark), Second Man (Jack Diamond), Stage Doorman (Dan Brennan), Harrison Howell (Denis Green), Gremio (Edwin Clay), Hortensio (Charles Wood), Haberdasher (John Castello)
Synopsis: Fred and Lilli have been divorced for one year when they open in a musical version of The Taming of the Shrew. On opening night, Lilli gets a bouquet of flowers, which she mistakenly believes are sent to her from Fred, and she realizes she still loves him. But before the curtain goes up, she discovers that the flowers were meant to be delivered to Lois. Opening night on stage now becomes a battlefield; however, by evening's end, the two discover that they still really do love each other.
Songs: "Another Op'nin', Another Show"; "Why Can't You Behave?"; "Wunderbar"; "So in Love"; "We Open in Venice"; "I've Come to Wive It Wealthily in Padua"; "I Hate Men"; "Were Thine That Special Face"; "I Sing of Love"; "Kiss Me, Kate"; "Too Darn Hot"; "Where Is the Life That Late I Led?"; "Always True to You (in My Fashion)"; "Bianca"; "Brush Up Your Shakespeare"; "I Am Ashamed That Women Are So Simple"
Tony Awards: Best Musical, Best Composer and Lyricist (Porter), Best Author of a Musical, Best Producer of a Musical, Best Costume Design (Lemuel Ayers)
Comments: A Viennese journalist wrote, "Kiss me, Kate—again, again, and again," and most critics agreed. This was a personal triumph and comeback for Cole Porter, who had been suffering from the effects of an accident since 1937. It was his only musical to record more than 1,000 performances on Broadway. The highly successful 1953 movie starred Howard Keel, Kathryn Grayson, Ann Miller, and Keenan Wynn and featured Bob Fosse.
*KWAMINA (October 23, 1961; 54th Street Theatre; 32 performances). Director: Robert Lewis; Composer/Lyricist: Richard Adler; Librettist: Robert Alan Aurther: Choreographer: Agnes de Mille. The title role was played by Terry Carter as a white woman suffering great complications because she falls in love with a black man in a West African country. Despite the short run, Adler got a Tony nomination for Best Original Score.
Tony nominations: Best Composer, Best Choreography, Best Costume Design (Motley)
*LET IT RIDE (October 12, 1961; Eugene O'Neill Theatre; 68 performances). Director: Stanley Praeger; Composers/Lyricists: Jay Livingston and Ray Evens; Librettist: Abram S. Ginnes; Choreographer: Onna White. George Gobel, Sam Levene, and Barbara Nichols briefly starred in a musical version of George Abbott's 1935 farce Three Men on a Horse. Eddie Cantor had tried it with little success in 1941 in Banjo Eyes.
L'IL ABNER (November 15, 1956; St. James Theatre; 693 performances)
Production credits: Producers: Norman Panama, Melvin Frank, and Michael Kidd; Director/Choreographer: Michael Kidd; Composer: Gene de Paul; Lyricist: Johnny Mercer; Librettists: Norman Panama and Melvin Frank; Original source: Based on characters created by Al Capp
Original cast: Lonesome Polecat (Anthony Mordente), Hairless Joe (Chad Block), Romeo Scragg and Dr. Schleifitz (Marc Breaux), Clem Scragg (James Hurst), Alf Scragg (Anthony Saverino), Moonbeam McSwine (Carmen Alvarez), Marryin' Sam (Stubby Kay), Earthquake McGoon (Bern Hoffman), Daisy Mae (Edith Adams), Pappy Yokum (Joe E. Marks), Mammy Yokum (Charlotte Rae), L'il Abner (Peter Palmer), Mayor Dowgmeat (Oran Osburn), Senator Jack S. Phogbound (Ted Thurston), Dr. Rasmussen T. Finsdale (Stanley Simmonds), Government Man (Richard Maitland), Available Jones (William Lanteau), Stupefyin' Jones (Julie Newmar), Colonel and Dr. Smithborn (George Reeder), President, State Department Man, and Colonel (Lanier Davis), General Bullmoose (Howard St. John), Appassionata Von Climax (Tina Louise), Evil Eye Fleagle (Al Nesor), Dr. Krogmeyer (Ralph Linn), Butler (James J. Jefferies)
Synopsis: Dogpatch is in its usual state of excitement as Sadie Hawkins Day nears, and as usual, Daisy Mae is all set to get L'il Abner at the annual festivities. But this time, she has an added problem. She is both helped and hindered by the various characters in Dogpatch. As if they didn't have enough to worry about, their attention is now focused on the federal government. It seems that government leaders are thinking of conducting atomic bomb tests in Dogpatch.
Songs: "If I Had My Druthers"; "Jubilation T. Cornpone"; "Rag Offen the Bush"; "Namely You"; "Unnecessary Time"; "What's Good for General Bullmoose"; "The Country's in the Very Best Hands"; "Oh Happy Day"; "I'm Past My Prime"; "Love in a Home"; "Progress is the Route of All Evil"; "Society Party"; "Put 'Em Back"; "The Matrimonial Stomp"
Tony Awards: Best Actress in a Musical (Adams), Best Choreography (Kidd). Tony nominations: Best Costume Design (Alvin Colt)
Comments: Critics were generally divided; some said the plot was a jumble, but most liked the score. Critics and audiences alike applauded Michael Kidd's direction and choreography.
LITTLE ME (November 17, 1962; Lunt-Fontanne Theatre; 257 performances)
Production credits: Producers: Cy Feuer and Ernest Martin; Directors: Cy Feuer and Bob Fosse; Composer: Cy Coleman; Lyricist: Carolyn Leigh; Librettist: Neil Simon; Choreographer: Bob Fosse; Original source: Based on the novel by Patrick Dennis
Original cast: Butler (John Anania), Patrick Dennis (Peter Turgeon), Miss Poitrine and Today (Nancy Andrews), Momma (Adnia Rice), Belle and Baby (Virginia Martin), George Musgrove as a boy (John Sharpe), Brucey (James Senn), Ramona (Else Olufsen), Noble Eggleston, Mr. Pinchley, Val du Val, Fred Poitrine, Otto Schnitzler, Prince Cherney, Noble, Junior (Sid Caesar), Mrs. Eggleston (Nancy Cushman), Bentley (Harris Hawkins), Miss Kepplewhite (Gretchen Cryer), Nurse (Margery Beddow), Kleeg (Burt Bier), Newsboy (Michael Smuin), Bernie Buchsbaum (Joey Faye), Bonnie Buchsbaum (Mort Marshall), Defense Lawyer (Mickey Deems), George Musgrove (Swen Swenson), Preacher (Ken Ayers), German Officer, Production Assistant, and Yulnick (Mickey Deems), General (Michael Quinn), Courier (Eddie Gasper), Red Cross Nurse (Sandra Stahl), Steward (David Gold), Secretary (Marcia Gilford), Victor (Marc Jordan)
Synopsis: In this vehicle for Sid Caesar, he played eighty-year-old and very wealthy Mr. Pinchley, along with six other characters. The musical tells the story of Belle Poitrine (Virgina Martin), who was born on the wrong side of the tracks in Venezuela, Illinois, and never forgot it. Through a series of adventures, she ends up with Mr. Pinchley, but when he dies, she goes to trial for his murder. What follows are a number of romances for the ambitious Belle.
Songs: "The Truth"; "The Other Side of the Tracks"; "Birthday Party"; "I Love You"; "Deep Down Inside"; "Be a Performer!"; "Dimples"; "Boom-Boom"; "I've Got Your Number"; "Real Live Girl"; "Poor Little Hollywood Star"; "Little Me"; "The Prince's Farewell"; "Here's to Us"
Tony Award: Best Choreography. Tony nominations: Best Musical, Best Actor in a Musical (Caesar), Best Featured Actor in a Musical (Swenson), Best Featured Actress in a Musical (Martin), Best Author of a Musical, Best Composer and Lyricist, Best Costume Design (Robert Fletcher), Best Direction of a Musical, Best Producer of a Musical
LOOK, MA, I'M DANCIN'! (January 29, 1948; Adelphi Theatre; 188 performances)
Production credits: Producer: George Abbott; Directors/Choreo-
graphers: George Abbott and Jerome Robbins; Composer/Lyricist: Hugh Martin; Librettists: Jerome Lawrence and Robert E. Lee; Original source: Conceived by Jerome Robbins
Original cast: Wotan (Don Liberto), Larry (Loren Welch), Dusty Lee (Alice Pearce), Ann Bruce (Janet Reed), Snow White (Virginia Gorski), Eddie Winkler (Harold Lang), Tommy (Tommy Rall), F. Plancek (Robert H. Harris), Tanya Drinskaya (Katharine Sergava), Lily Malloy (Nancy Walker), Mr. Gleeb (James Lane), Mr. Ferbish (Eddie Hodge), Tanya's Partner (Raul Celada), Bell Boy (Dean Campbell), Stage Manager (Dan Sattler), Suzy (Sandra Deel)
Synopsis: An heiress to a beer fortune is also an aspiring ballerina, but since she can't get recognition anywhere else, she subsidizes a second-rate dance troupe. They travel cross-country with many unexpected and comical adventures. Then, to the surprise of them all, a ballet that the heiress choreographs is a big hit, but that is her one glory, for after that, the company collapses.
Songs: "Gotta Dance"; "I'm the First Girl"; "I'm Not So Bright"; "I'm Tired of Texas"; "Tiny Room"; "The Little Boy Blues"; "Jazz"; "The New Look"; "If You'll Be Mine"; "Pajama Dance"; "Shauny O'Shay"; "The Two of Us"
LOST IN THE STARS (October 30, 1949; Music Box Theatre; 281 performances)
Production credits: Producers: Maxwell Anderson, Elmer Rice, Robert E. Sherwood, Kurt Weill, and John F. Wharton; Director: Rouben Mamoulian; Composer: Kurt Weill; Lyricist/Librettist: Maxwell Anderson; Choreographer: Kevin R. Hauge; Original source: Based on Alan Paton's novel Cry, the Beloved Country
Original cast: Leader (Frank Roane), Answerer (Joseph James), Nita (Elayne Richards), Grace Kumalo (Gertrude Jeannette), Stephen Kumalo (Todd Duncan), Young Man (La Verne French), Young Woman (Mabel Hart), James Jarvis (Leslie Banks), Edward Jarvis (Judson Rees), Arthur Jarvis (John Morley), John Kumalo (Warren Coleman), Paulus (Charles McRae), William (Joseph James), Jared (William C. Smith), Alex (Herbert Coleman), Forman (Jerome Shaw), Mrs. M'kize (Georgette Harvey), Hlabeni (William Marshall), Eland (Charles Grunwell), Linda (Sheila Guyse), Johannes Pafuri (Roy Allen), Mathew Kumalo (Van Prince), Absalom Kumalo (Julian Mayfield), Rose (Gloria Smith), Irina (Inez Mathews), Policeman (Robert Burn), White Woman (Biruta Ramoska), White Man (Mark Kramer), Guyard (Jerome Shaw), Burton (John W. Stanley), Judge (Guy Spaull), Villager (Robert McFerrin)
Synopsis: A black South African preacher and his wife go to Johannesburg because they have not heard from their son, Absalom, in some time. The son has been living with his pregnant girlfriend, Irina. Absolom is accused of murdering a white man, not just any white man, but one who advocated giving freedom to black South Africans. He confesses and the preacher visits his son and Irina and agrees to marry them in prison. The preacher also attempts to talk to the father of the murder victim. Absalom is sentenced to death by hanging.
Songs: "The Hills of Ixopo"; "Thousands of Miles"; "Train to Johannesburg"; "The Search"; "The Little Grey House"; "Who'll Buy?"; "Trouble Man"; "Murder in Parkwold"; "Fear!"; "Lost in the Stars"; "The Wild Justice"; "O Tixo, Tixo, Help Me!"; "Stay Well"; "Cry, the Beloved Country"; "Big Mole"; "A Bird of Passage"; "Four O'Clock"
Comments: A Greeklike chorus gave a static quality to the show. The lovely title song was written years earlier. This was Weill's last new work on Broadway; he died during the run.
*LOUISIANA LADY (June 2, 1947; New Century Theatre; 4 performances). Director: Edgar MacGregor; Composers/Lyricists: Monte Carlo and Alma M. Sanders; Librettists: Issac Green Jr. and Eugene Berton; Choreographer: Felicia Sorel. The husband and wife team of Monte Carlo and Alma M. Sanders were back on Broadway after seventeen years with a musical about a bordello in New Orleans. They did not try again. Sanders is credited with being the first woman to compose a full musical score, although her works never achieved any lasting fame.
LOVE LIFE (October 7, 1948; 46th Street Theatre; 252 performances)
Production credits: Producer: Cheryl Crawford; Director: Elia Kazan; Composer: Kurt Weill; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Michael Kidd
Original cast: Magician (Jay Marshall), Susan (Nanette Fabray), Sam (Ray Middleton), Mary Joe (Holly Harris), Tim (Evans Thornton), George Hamilton Beacon (David Thomas), Jonathan Anderson (Gene Tobin), Charlie (Victor Clarke), Will (Mark Kramer), Ben (Lenn Dale), Child (Vincent Gugleotti), Elizabeth Cooper (Cheryl Archer), Johnny Cooper (Johnny Stewart)
Synopsis: Regarded as one of the first "concept musicals," this is a story of family values in America. The Cooper family never ages, but they progress through different eras, and the musical shows how their relationship changes and weakens as stress grows in the home. Interspersed are different kinds of vaudeville numbers such as a trapeze act and vocal ensembles. At the end, the Coopers are trying to save their marriage, and they feel stronger because they finally understand all the pressures that face them.
Songs: "Who Is Samuel Cooper?"; "My Name Is Samuel Cooper"; "Here I'll Stay"; "Progress"; "I Remember It Well"; "Green-Up Time"; "Economics"; "Mother's Getting Nervous"; "My Kind of Night"; "Women's Club Blues"; "Love Song"; "I'm Your Man"; "Ho, Bill O!"; "Is It Him or Is It Me"; "This Is the Life"; "Minstrel Parade"; "Madame Zuzu"; "Taking No Chances"; "Mr. Right"
Tony Award: Best Actress, Musical (Fabray)
*LUTE SONG (February 6, 1946; Plymouth Theatre; 142 performances). Director: John Houseman; Composer: Raymond Scott; Lyricist: Bernard Hanighen; Librettists: Sidney Howard and Will Irwin; Choreographer: Yeichi Nimura. Mary Martin appeared in an offbeat love story based on a fourteenth-century Chinese play. It was called too esoteric for general theatre audiences. This was the only Broadway appearance of Nancy Davis, who later married Ronald Reagan.
*MAGDALENA (September 20, 1948; Ziegfeld Theatre; 88 performances). Director: Jules Dassin; Composer: Heitor Villa-Lobos; Lyricists: Robert Wright and George Forrest; Librettists: Frederick Hazlitt Brennan and Homer Curran; Choreographer: Jack Cole. A colorful score by the Brazilian composer highlights the show, but audiences largely ignored the story of a devout woman (Dorothy Sarnoff) trying to convert her fiancé (John Raitt) to Christianity. When the show opened after successful runs in Los Angeles and San Francisco, it was the most expensive production ever staged on Broadway.
*MAGGIE (February 18, 1953; National Theatre; 5 performances). Director: Michael Gordon; Composer/Lyricist: William Roy; Librettist: Hugh Thomas; Choreographer: June Graham. Critics and audiences largely ignored this musical retelling of James Barrie's What Every Woman Knows. It featured Betty Paul and Keith Andes in the story of an ambitious woman who guides her husband into a successful political career without his being aware of how he is being maneuvered.
*MAKE A WISH (April 18, 1951; Winter Garden Theatre; 103 performances). Director: John C. Wilson; Composer/Lyricist: Hugh Martin; Librettists: Preston Sturges and Abe Burrows; Choreographer: Gower Champion. The action takes place on the Left Bank of Paris. Nanette Fabray starred as a French orphan whose fascination with Paris causes her to break away from a guided tour of the city. She sings and dances and falls in love with the city and a man.
ME AND JULIET (May 28, 1953; Majestic Theatre; 358 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II; Director: George Abbott; Composer: Richard Rodgers; Lyricist/Librettist: Oscar Hammerstein II; Choreographer: Robert Alton
Original cast: George (Randy Hall), Sidney (Edwin Philips), Jeanie (Isabel Bigley), Herbie (Jackie Kelk), Chris (Barbara Carroll), Milton (Herb Wasserman), Stu (Joe Shulman), Michael (Michael King), Bob (Mark Dawson), Larry (Bill Hayes), Mac (Ray Walston), Monica (Patty Ann Jackson), Ruby (Joe Lautner), Charlie (Arthur Maxwell), Dario (Geroge S. Irving), Lily (Helena Soctt), Jim (Bob Fortier), Susie (Svetlana McLee), Voice of Mr. Harrison (Henry Hamilton), Voice of Miss Davenport (Deborah Remsen), Hilda (Norma Thornton), Marcia (Thelma Tadlock), Betty (Joan McCracken), Buzz (Buzz Miller), Ralph (Ralph Linn), Miss Oxford (Gwen Harmon), Sadie (Francine Bond), Mildred (Lorraine Havercroft), Theatre Patron (Barbara Lee Smith), Theatre Patron (Susan Lowell)
Synopsis: In this show within a show; the focus is on various people all involved with a stage musical. Two stories run at once. Chorus girl Jeanie is involved with assistant stage manager Larry, but his rival and Jeanie's ex-boyfriend Bob will go to any lengths to get her back. In the other plot, dancer Betty loves stage manager Mac, who doesn't want to get involved with people in his own show. The solution is that Mac changes shows.
Songs: "A Very Special Day"; "That's the Way It Happens"; "Marriage Type Love"; "Keep It Gay"; "The Big Black Giant"; "No Other Love"; "It's Me"; "Intermission Talk"; "It Feels Good"; "We Deserve Each Other"; "I'm Your Girl"
Comments: The production by Richard Rodgers and Oscar Hammerstein ran mostly on the strength of their names but ended in the red. It is generally considered their least successful collaboration.
MEXICAN HAYRIDE (January 28, 1944; Winter Garden Theatre; 479 performances)
Production credits: Producer: Mike Todd; Director: Charles Barton; Composer/Lyricist: Cole Porter; Librettists: Herbert Fields and Dorothy Fields; Choreographer: Paul Haakon
Original cast: Joe Bascom (Bobby Clark), Lottery Girl (Eva Reyes), Woman Vendor (Claire Anderson), Chief of Police (Richard Bengali), Tillie Leeds (Lois Bolton), Billy (Bill Callahan), Mrs. Augustus Adamson (Jean Cleveland), Miguel Correres (Sergio DeKarlo), Ms. Lupescu (Dorothy Durkee), Lydia (Toddle), David Winthrop (Wilbur Evans), Lombo Campos (George Givot), Carol (Arthur Gondra), Paul (Paul Haakon), Montana (June Havoc), Mr. Augustus Adamson (William A. Lee), Senor Martinez (David Leonard), Dagmar Marshak (Luba Malina), Eadie Johnsn (Edith Meiser), Lolita Cantine (Corinna Mura), Jose (Raul Reyes), Augustus Jr. (Eric Roberts), Mrs. Molly Wincor (Jeanne Shelby), Lottery Boy (Hank Wolf)
Synopsis: Joe Bascom, a fugitive from the United States, catches the bull's ear thrown by Montana, an American female bullfighter in Mexico. For that, he becomes a guest of the Mexican government, and as such he sets up an illegal lottery with the help of his new friend Lombo. American David Winthrop sets out to get the two, even though he believes that Montana, whom he loves, is in love with Joe. The two crooks are finally caught, and David and Montana make plans to marry.
Songs: "Sing to Me Guitar"; "I Love You"; "There Must Be Someone for Me"; "Carlotta"; "Girls"; "What a Crazy Way to Spend Sunday"; "Abracadabra"; "Count Your Blessings"; "I Get a Kick Out of You"; "What Is This Thing?"; "Katie Went to Haiti"; "Why Shouldn't I?"; "Let's Do It"; "My Heart Belongs to Daddy"
Comments: A good but not great Cole Porter score plus a lavish setting gave the production a fine sendoff.
MILK AND HONEY (October 10, 1961; Martin Beck Theatre; 543 performances)
Production credits: Producer: Gerard Oestreicher; Director: Albert Marre; Composer/Lyricist: Jerry Herman; Librettist: Don Appell; Choreographer: Donald Saddler
Original cast: Ruth (Mimi Benzell), Clara Weiss (Molly Picon), Phil (Robert Weede), Adi (Juki Arkin), Mrs. Segal (Diane Goldberg), Mrs. Perlman (Thelma Pelish), David (Tommy Rall), Barbara (Lanna Saunders), The Guide (Ellen Berse), Porter (Burt Bier), Shepherd Boy (Johnny Borden), Mrs. Kessler (Ceil Delli), Mrs. Breslin (Rose Lischner), Cantor (David London), Zipporah (Ellen Madison), Mrs. Weinstein (Addi Negri), Mrs. Strauss (Dorothy Richardson), Mr. Horowitz (Reuben Singer), Man of the Moshav (Art Tookoyan)
Synopsis: Phil is an American Jew visiting Israel, where his daughter and son-in-law now live. He is an unhappy man who is separated from his wife, but during his stay he meets an American woman named Ruth, to whom he is attracted; however, when Phil tells her about his wife in the United States, she flees to Tel Aviv. When she returns and sees him again, this time Phil is not so sure about the relationship. So, Ruth returns to the United States to wait and see.
Songs: "Shepherd's Song"; "Shalom"; "Independence Day Hora"; "Like a Young Man"; "I Will Follow You"; "Hymn to Hymie"; "Milk and Honey"; "There's No Reason in the World"; "Chin Up, Ladies"; "That Was Yesterday"; "Let's Not Waste a Moment"; "The Wedding"; "As Simple as That"
Tony nominations: Best Musical, Best Actress in a Musical (Picon), Best Composer (Herman), Best Costume Design (Miles White), Best Producer
Comments: Nobody is happy in this musical except Molly Picon, who plays a "yenta" gone to Israel to find a husband. Although it ran about a year and a half, it was never out of the red.
MISS LIBERTY (July 15, 1949; Imperial Theatre; 308 performances)
Production credits: Producers: Irving Berlin, Robert E. Sherwood, and Moss Hart; Director: Moss Hart; Composer/Lyricist: Irving Berlin; Librettist: Robert E. Sherwood; Choreographer: Jerome Robbins
Original cast: Maisie Doll (Mary McCarty), Herald Reader (Rowan Tudor), James Gordon Bennett (Charles Dingle), Horace Miller (Eddie Albert), Police Captain, Policeman, and Immigration Officer (Evans Thornton), Mayor and Richard K. Fox (Donald McCelland), French Ambassador (Emile Renan), Carthwright (Sid Lawson), Joseph Pulitzer (Phillip Bourneuf), Barthodi (Herbert Berghof), Monique Dupont (Allyn McLerie), Boy, Lamplighter, and Dandy (Tommy Rall), Girl and Ruby (Maria Karnilova), Strong Man (Kazimir Kokic), Countess (Ethel Griffies), Lover and Minister (Ed Chappel), His Girl and Actress (Helene Whitney), Gendarme (Robert Penn), Lamplighter (Johnny V. R.Thompson), Model and Socialite (Marilyn Frechette), Admiral and Policeman (Robert Patterson), Mother (Elizabeth Watts), Maid (Gloria Patrice), Sailor (Eddie Phillips), His Girl (Dolores Goodman), Judge (Erick Christen), Boy (William Calhoun)
Synopsis: The show is built around the presentation of the Statue of Liberty to the American people by the people of France. Two rival newspapers are trying to find the model who posed for Miss Liberty. A bungling newspaper photographer (Horace) ends up taking pictures of the crate the statue came in instead of the statue itself, and he is fired. Newspaper woman Maisie convinces him to go to Paris, where he wrongly identifies the woman who modeled for the statue and is attracted to her. They both return to New York, where the mistake is finally straightened out, but now Maisie is left out in the cold.
Songs: "Extra, Extra"; "What Do I Have to Do to Get My Picture Took?"; "The Most Expensive Statue in the World"; "A Little Fish in a Big Pond"; "Let's Take an Old Fashioned Walk"; "Homework"; "Paris Wakes Up and Smiles"; "Only for Americans"; "Just One Way to Say I Love You"; "Miss Liberty"; "The Train"; "You Can Have Him"; "The Policeman's Ball"; "Me and My Bundle"; "Falling Out of Love Can Be Fun"
Tony Award: Stage Technician (Joe Lynn)
Comments: Audiences didn't find the songs memorable, and the New York Times called it "without sparkle or originality." A $400,000 advance sale kept it alive for the run.
THE MOST HAPPY FELLA (May 3, 1956; Imperial Theatre; 676 performances)
Production credits: Producers: Kermit Bloomgarden and Lynn Loesser; Director: Joseph Anthony; Composer/Lyricist/Librettist: Frank Loesser; Choreographer: Dania Krupska; Original source: Based on Sidney Howard's play They Knew What They Wanted
Original cast: Cashier and Postman (Lee Cass), Cleo (Susan Johnson), Rosabella (Jo Sullivan), Tony (Robert Weede), Marie (Mona Paulee), Max (Louis Polacek), Herman (Shorty Long), Clem (Alan Gilbert), Jake and Ciccio (John Henson), Al (Roy Lazarus), Joe (Art Lund), Giuseppe (Arthur Rubin), Pasquale (Ricco Froehlich), Country Girl (Meri Miller), City Boy (John Sharpe), Doctor (Keith Kaldenberg), Priest (Russell Goodwin), Tessie (Zena Bethune), Gussie (Christopher Snell), Brakeman (Norris Greer), Busdriver (Ralph Farnworth)
Synopsis: Older vintner Tony sees a young lady, Rosabella, in a San Francisco restaurant and writes to her. When she asks for a photograph, he sends a picture of Joe, one of his handsome hired hands. Rosabella goes to the ranch and learns that Tony has been injured. She remains and the two marry; however, she and Joe have an affair and she becomes pregnant. When Tony learns of the child, he wants to kill Joe, but he knows he will be lonely. Rosabella feels the same way, and they agree to stay together.
Songs: "Ooh! My Feet!"; "Somebody, Somewhere"; "Standing on the Corner"; "I Know How It Is"; "The Most Happy Fella"; "A Long Time Ago"; "Joey, Joey, Joey"; "Rosabella"; "Abbondanza"; "Benvenuta"; "Aren't You Glad?"; "Don't Cry"; "Fresno Beauties"; "Love and Kindness"; "Happy to Be"; "Big D"; "How Beautiful the Days"; "Warm All Over"
Tony nominations: Best Musical, Best Actor in a Musical (Weede), Best Featured Actress in a Musical (Sullivan), Best Direction, Best Choreography, Conductor and Musical Director (Herbert Greene)
MR. PRESIDENT (October 20, 1962; St. James Theatre; 256 performances)
Production credits: Producer: Leland Hayward; Director: Joshua Logan; Composer/Lyricist: Irving Berlin; Librettists: Howard Lindsay and Russel Crouse; Choreographer: Peter Gennaro
Original cast: President Stephen Decatur Henderson (Robert Ryan), Nell Henderson (Nanette Fabray), Leslie Henderson (Anita Gillette), Larry Henderson (Jerry Strickler), Youssein Davair (Jack Washburn), Tippy Taylor (Charlotte Fairchild), Pat Gregory (Jack Haskell), Charley Wayne (Stanley Grover), Princess Kyra (Wisa D'Orso), Russian Soldier (Jack Mette), Colonel Wilson (Van Stevens), Mrs. Lotta Pendleton (Marian Haraldson), George Perkins (Beau Tilden), Mr. Thomas (Carl Nicholas), Deborah Chakronin (Baayork Lee), Arthur Blanchard and Commentator (Jack McMinn), Radio Operator (Anthony Falco), Abou (Carlos Bas), Commentator, Dancer, and Tahitian (Louis Kosman), Workman (Dan Siretta), Miss Barnes (Lispet Nelson), Deacon (Carl Nicholas), Sergeant Stone (Beau Tilden), Chester Kincaid (John Cecil Holm), Betty Chandler (Carol Lee Jensen), Spieler (Jack Rains), Governor Harmon Bardahl (David Brooks)
Synopsis: It is the White House in the 1960s, home to President Stephen Decatur Henderson and family. The president is en route to Russia when he finds out that his meeting there has been cancelled, but he insists on landing in Moscow anyway. The resulting mix-up and humiliation cost him reelection, and although his wife is happy to be home, he is not. When he is offered a Senate seat, there are conditions attached, so he turns it down, but in the end, love of country causes him to reconsider.
Songs: "Let's Go Back to the Waltz"; "In Our Hide-Away"; "The First Lady"; "Meat and Potatoes"; "I've Got to Be Around"; "The Secret Service"; "It Gets Lonely in the White House"; "Is He the Only Man in the World?"; "They Love Me"; "Pigtails and Freckles"; "Don't Be Afraid of Romance"; "Laugh It Up"; "Empty Pockets Filled with Love"; "Glad to Be Home"; "You Need a Hobby"; "The Washington Twist"; "The Only Dance I Know"; "I'm Gonna Get Him"; "This Is a Great Country"
Tony Award: Best Stage Technician (Solly Pernick). Tony nominations: Best Actress in a Musical (Fabray), Best Conductor and Musical Director (Jay Blacton)
Comments: This was Irving Berlin's last musical. None of the songs captured the public's fancy, and Variety called it a flop.
MR. WONDERFUL (March 22, 1956; Broadway Theatre; 383 performances)
Production credits: Producers: Jule Style and George Gilbert, in association with Lester Osterman Jr.; Director: Jack Donahue; Composers/Lyricists: Jerry Bock, Larry Holofcener, and George Weiss; Librettists: Joseph Stein and Will Glickman; Choreographers: Ted Royal and Morton L. Stevens
Original cast: Unemployed Actress (Ann Buckles), Hal (Hal Loman), Song Plugger (Richard Curry), Soprano (Rina Falcone), Rita Romano (Chita Rivera), Audition Annie (Pat Wilkes), Johnnie (John Pelletti), Singer (Karen Shepard), Sister (Dorothy D'Honau), Talent Scout (T. J. Halligan), Fred Campbell (Jack Carter), Counterman (Herb Fields), Mr. Foster Original cast: Koli (Richardo Montalban), Quico (Augustine Rios), Savannah (Lena Horne), Grandma Obeah (Adelaide Hall), Giner (Josephine Premice), Snodgrass (Roy Thompson), Hucklebuck (Hugh Dilworth), The Governor (Erik Rhodes), Cicero (Ossie Davis), Lancaster (James E. Wall), First Ships Officer (Tony Martinez), Second Ships Officer (Michael Wright), Joe Nashua (Joe Adams)
Synopsis: Koli is a poor fisherman on the tropical paradise island of Jamaica. He is in love with Savannah, but she dreams only of living in New York City. Joe Nashua comes to Jamaica on a pearl-diving vacation. Savannah decides that Joe may be her ticket north, but before she can leave, a hurricane hits the island, during which Savannah's brother is nearly killed. His life is saved by Koli, which makes Savannah change her mind and stay in Jamaica. She does get her wish to visit New York, however, in a dream ballet sequence.
***(Malcom Lee Beggs), Uncle (Will Mastin), Dad (Sammy Davis Sr.), Charlie Welch (Sammy Davis Jr.), Ethel Pearson (Olga James), Stage Manager (Bob Kole), Script Girl (Ginny Perlowin), Cigarette Girl (Jerri Gray), Little Girl (Marilyn Cooper), Sophie's Boy (Ronnie Lee)
Synopsis: Black small-time performer Charlie Welch is persuaded by fiancé Ethel and white friend Fred to open his act at the Palm Club in Miami Beach. He is highly successful, and the second act shows off the real-time act of Sammy Davis Jr., his father, and uncle. The entire musical serves as a vehicle to introduce the talents of Davis and closely follows his night club acts at the time.
Songs: "1617 Broadway"; "Without You, I'm Nothing"; "Jacques D'Iraq"; "Ethel, Baby"; "Mr. Wonderful"; "Charlie Welch"; "Talk to Him"; "Too Close for Comfort"; "Rita's Audition"; "The Audition"; "There"; "Miami"; "I've Been Too Busy"
Tony nomination: Best Actor in a Musical (Davis Jr.)
Comments: Although the show was staged as a vehicle to introduce Sammy Davis Jr. to Broadway, "Mr. Wonderful," the hit number of the production, was sung by Olga James.
THE MUSIC MAN (December 19, 1957; Majestic Theatre; 1,375 performances)
Production credits: Producers: Kermit Bloomgarden, with Herbert Green, in association with Frank Productions, Inc.; Director: Morton DaCosta; Composer/Lyricist: Meredith Willson; Librettists: Meredith Wilson and Franklin Lacey; Choreographer: Onna White; Original source: Based on a story by Meredith Willson and Franklin Lacey
Original cast: Charlie Cowell (Paul Reed), Conductor (Carl Nicholas), Harold Hill (Robert Preston), Mayor Shinn (David Burns), Marcellus Washburn (Iggie Wolfington), Tommy Djilas (Danny Carroll), Marian Paroo (Barbara Cook), Mrs. Paroo (Pert Kelton), Amaryllis (Marilyn Siegel), Winthrop Paroo (Eddie Hodges), Eulalie Mackecknie Shinn (Helen Raymond), Zaneeta Shinn (Dusty Worrall), Gracie Shinn (Barbara Travis), Alma Hix (Adnia Rice), Maud Dunlop (Elaine Swann), Ethel Toffelmier (Peggy Mondo), Mrs. Squires (Martha Flynn), Constable Locke (Carl Nicholas)
Synopsis: Harold Hill is the ultimate con man. He arrives in River City, Iowa, to sell band instruments. His plan is to talk the good people into giving him money for the instruments, then get out of town before the goods actually arrive. It has worked before, but this time, in this place, Marian the librarian is on to him. She is about to expose him, but instead she forces Harold to stay in River City and teach music to the children when the ordered instruments arrive. Since the music man cannot read music, the resulting concert is horrendous. In the meantime, Harold falls in love with Marian.
Songs: "Rock Island"; "Iowa Stubborn"; "Trouble"; "Piano Lesson"; "Goodnight, My Someone"; "Seventy-Six Trombones"; "Sincere"; "The Sadder-But-Wiser Girl"; "Pickalittle"; "Goodnight Ladies"; "Marion the Librarian"; "My White Knight"; "Wells Fargo Wagon"; "It's You"; "Shipoopi"; "Lida Rose"; "Will I Ever Tell You?"; "Gary, Indiana"; "Till There Was You"
Tony Awards: Best Musical, Best Actor in a Musical (Preston), Best Featured Actor in a Musical (Burns), Best Featured Actress in a Musical (Cook), Conductor and Musical Director (Herbert Greene), Stage Technician (Sammy Knapp, 1959). Tony nominations: Best Featured Actor in a Musical (Wolfington), Best Director, Best Choreography, Best Stage Technician (Sammy Knapp, 1958)
*MY DARLIN' AIDA (October 27, 1952; Winter Garden Theatre; 89 performances). Director/Lyricist: Charles Friedman; Composer: Giuseppe Verdi; Librettist: Charles Friedman; Choreographer: Hanya Holm. Giuseppe Verdi's opera of the romantic love triangle is reset in the Confederacy in the first year of the Civil War. Matinee and evening performances had different principal actors because of the difficult score. The principal Aida was Elaine Malbin.
MY FAIR LADY (March 15, 1956; Mark Hellinger Theatre; 2,717 performances)
Production credits: Producer: Herman Leven; Director: Moss Hart; Composer: Frederick Loewe; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Hanya Holm; Original source: Based on George Bernard Shaw's play Pygmalion
Original cast: Mrs. Eynsford Hill (Viola Roache), Eliza Doolittle (Julie Andrews), Freddy Eynsford-Hill (Michael King), Colonel Pickering (Robert Coote), Henry Higgins (Rex Harrison), Alfred P. Doolittle (Stanley Holloway), Mrs. Pearce (Philippa Bevans), Mrs. Hopkins and Lady Boxington (Olive Reeves-Smith), Mrs. Higgins (Cathleen Nesbitt), Lord Boxington (Gordon Dilworth), Constable (Barton Mumaw), Flower Girl (Cathy Conklin), Zoltan Karpathy (Christopher Hewett), Queen of Transylvania (Maribel Hammer), Ambassador (Rod McClennan), Bartender (Paul Brown), Mrs. Higgins's Maid (Judith Williams)
Synopsis: Faithfully adapted, the show centers on the efforts of an English gentleman (Higgins) to turn a scruffy Cockney flower seller (Doolittle) into a lady. When Higgins hears the speech of the raucous Doolittle in the marketplace, he casually tells his friend Pickering that with a little time, he could make a lady of her. The girl overhears him and arrives on his doorstep to take him up on his boast. It is a long, hard, amusing struggle, but in the end, Eliza Doolittle fools even the highest of English society and captures the heart—although with great reluctance—of the stuffy Henry Higgins.
Songs: "Why Can't the English?"; "Wouldn't It Be Loverly?"; "With a Little Bit of Luck"; "I'm an Ordinary Man"; "Just You Wait"; "The Rain in Spain"; "I Could Have Danced All Night"; "On the Street Where You Live"; "The Embassy Waltz"; "You Did It"; "Show Me"; "Get Me to the Church on Time"; "A Hymn to Him"; "Without You"; "I've Grown Accustomed to Her Face"
Tony Awards: Best Musical, Best Actor in a Musical (Harrison), Best Direction, Best Scenic Design (Oliver Smith), Best Costume Design (Cecil Beaton), Conductor and Musical Director (Franz Allers). Tony nominations: Best Actress in a Musical (Andrews), Best Featured Actor in a Musical (Coote), Best Featured Actor in a Musical (Holloway), Best Choreography
Comments: The New York Times said that the energy expended for the show might equal that for splitting the atom, "which many consider a good deal less spectacular." Many also consider My Fair Lady to be the finest of all American musicals of the Golden Age, a triumph for performers, writers, and the director.
*NELLIE BLY (January 21, 1946; Adelphi Theatre; 16 performances). Director: Edgar J. MacGregor; Composer: James Van Heusen; Lyricist: Johnny Burke; Librettist: Joseph Quillan; Choreographers: Edward Caton and Lee Sherman. Bly (Joy Hodges) is a lady reporter who in 1889 gets the job of beating Phileas Fogg's eighty-day trip around the world. Critics said the musical caught none of Nellie's speed or her story's excitement.
*THE NERVOUS SET (May 12, 1959; Henry Miller Theatre; 31 performances). Director: Theodore J. Flicker; Composer/Choreographer: Tommy Wolf; Lyricist: Fran Landesman; Librettists: Jay Landesman and Theodore J. Flicker. Contemporary New York City and Fairfield, Connecticut, are the backgrounds against which the ups and downs of a marriage are spelled out. The brief run starred Larry Hagman, Richard Hayes, and Toni Seitz.
NEW GIRL IN TOWN (May 14, 1957; 46th Street Theatre; 431 performances)
Production credits: Producers: Frederick Brisson, Robert E. Griffith, and Harold S. Prince; Director: George Abbott; Composer/Lyricist: Bob Merrill; Librettist: George Abbott; Choreographer: Bob Fosse; Original source: Based on Eugene O'Neill's play Anna Christie
Original cast: Lily (Lulu Bates), Moll (Pat Ferrier), Katie (Dorothy Dushock), Alderman (Michael Quinn), Chris (Cameron Prud'homme), Johnson (Jeff Killion), Seaman (H. F. Green), Marthy (Thelma Ritter), Oscar (Del Anderson), Pete (Eddie Phillips), Mrs. Dowling (Ann Williams), Smith (Stokley Gray), Mrs. Smith (Dorothy Stinnette), Bartender (Mark Dawson), Ivy (Rita Noble), Rose (Ginny Perlowin), Little Girl (Claiborne Cary), Anna (Gwen Verdon), Flo (Drusilla Davis), Pearl (Mara Landi), Mat (George Wallace), Reporter (Herb Fields), Masher (John Aristides), Svenson (Ray Mason), Waiter (Rudy Adamo), Dowling (Ripple Lewis), Krimp (John Ford), Henry (Edgar Daniels)
Synopsis: Aging seaman Chris does not know that his daughter Anna, who is staying with him while recovering from tuberculosis, was a former streetwalker in turn-of-the-century New York City. Anna is welcomed in town and falls in love with sailor Mat, but she hides the relationship from her father. Marthy, Chris's common-law wife, drunkenly reveals her past, and Mat leaves on the next ship. Anna tries to build a new life as a farmer on Staten Island. Mat eventually returns to port, and Chris tries to keep the lovers apart, but the two reunite and realize they are truly in love.
Songs: "Roll Yer Socks Up"; "Anna Lilla"; "Sunshine Girl"; "On the Farm"; "Flings"; "It's Good to Be Alive"; "Look at 'Er"; "Yer My Friend, Aintcha?"; "Did You Close Your Eyes?"; "There Ain't No Flies on Me"; "Ven I Valse"; "If That Was Love"; "Chess and Checkers"
Tony Awards: Best Actress in a Musical (shared by Ritter and Verdon). Tony nominations: Best Musical, Best Featured Actor in a Musical (Prud'homme), Best Choreography
Comments: Critics said it was mostly the lack of competition that kept the show running for more than a year.
NO STRINGS (March 15, 1962; 45th Street Theatre; 580 performances)
Production credits: Producers: Richard Rodgers, in association with Samuel Taylor; Director/Choreogapher: Joe Layton; Composer/Lyricist: Richard Rodgers; Librettist: Samuel Taylor
Original cast: Barbara Woodruff (Diahann Carroll), David Jordan (Richard Kiley), Jeanette Valmy (Noelle Adam), Luc Delbert (Alvin Epstein), Mollie Plummer (Polly Rowles), Mike Robinson (Don Chastain), Louis dePourtal (Mitchell Gregg), Comfort O'Connell (Bernice Massi), Gabrielle Bertin (Ann Hodges), Marcello Agnolotti (Paul Cambeilh)
Synopsis: This unhappy romance is set mainly in Paris and Monte Carlo. American writer David Jordan has come to France after winning the Pulitzer Prize. In Paris, he meets black model Barbara Woodruff and they fall in love, but there is trouble when David learns that she has an older admirer, although they finally make up. Before long, however, David feels he must go back home to write again. Barbara believes that he thinks their romance would be frowned upon in the United States, so the lovers part.
Songs: "The Sweetest Sounds"; "How Sad"; "Loads of Love"; "The Man Who Has Everything"; "Be My Host"; "La La La"; "You Don't Tell Me"; "Love Makes the World Go"; "Nobody Told Me"; "Look No Further"; "Maine"; "An Orthodox Fool"; "Eager Beaver"; "No Strings"
Tony Awards: Best Actress in a Musical (Carroll), Best Composer, Best Choreography. Tony nominations: Best Musical, Best Actor in a Musical (Kiley), Best Direction of a Musical, Best Scenic Design (David Hays), Best Costume Design (Donald Brooks), Best Conductor and Musical Director (Peter Matz)
Comments: Although his lyrics received much praise, after this show Richard Rodgers left the job of lyricist to others.
*NOWHERE TO GO BUT UP (November 10, 1962; Winter Garden Theatre; 9 performances). Director: Sidney Lumet; Composer: Sol Berkowitz; Lyricist/Librettist: James Lipton; Choreographer: Ronald Field. Tom Bosley, Martin Balsam, and Bert Convy appeared in this musical about flamboyant prohibition agents in a big city somewhere in the United States. It was also the stage debut of Dorothy Loudon, who would go on to a long, highly acclaimed career in musical comedy, but she was unable to save this one.
OH CAPTAIN! (February 4, 1958, Alvin Theatre; 192 performances)
Production credits: Producers: Howard Merrill and Theatre Corporation of America; Director: José Ferrer; Composers/Lyricists: Jay Livingston and Ray Evans; Librettists: Al Morgan and José Ferrer; Choreographer: James Starbuck; Original source: Based on the Alec Guinness film The Captain's Paradise
Original cast: Captain Henry St. James (Tony Randall), Mrs. Maud St. James (Jacquelyn McKeever), Enrico Manzoni (Edward Platt), Clerk (Jack Eddleman), Lisa (Alexandra Danilova), Bobo (Abbe Lane), Guide (Stanley Carlson), Spaniard (Paul Valentine), Mae (Susan Johnson)
Synopsis: The priggish Captain Henry St. James has a wife, Maud, at home in London and a foreign mistress, Bobo, in Paris as he sails the English Channel. The run with his ship gives him a weekend in London, five days at sea, a weekend in Paris, and then back again. Wife Maud feels that she would like to leave home once in a while for some fun, but the captain disagrees. When Maud wins first prize in a recipe contest, which is a weekend in Paris, she surprises the captain. After some wild adventures, both women finally realize they have been duped, and both leave the captain to live their own lives.
Songs: "A Very Proper Town"; "Life Does a Man a Favor"; "A Very Proper Week"; "Captain Henry St. James"; "Three Paradise"; "Surprise"; "Hey Madame"; "Femininity"; "It's Never Quite the Same"; "We're Not Children"; "Give It All You Got"; "Love Is Hell"; "Keep It Simple"; "The Morning Music of Montmartre"; "You Don't Know Him"; "I've Been There and I'm Back"; "You're So Right for Me"; "All the Time"
Tony nominations: Best Musical, Best Actor in a Musical (Randall), Best Featured Actress in a Musical (Johnson), Best Featured Actress in a Musical (McKeever), Best Scenic Design (Jo Mielziner), Best Costume Design (Miles White)
Comments: This production was an uninspired adaptation that ended in a financial loss.
*OH, WHAT A LOVELY WAR! (September 30, 1964; Broadhurst Theatre; 125 performances). Director: Joan Littlewood; Composer/Lyricist: Various; Librettist: Various; Choreographer: Bob Stevenson. Generals flounder around in this antiwar production with music and lyrics that Cole Porter had composed years earlier. The tragedy of World War I, set in music-hall terms, concentrates on a family whose five sons are killed. In the final scene, the family has a picnic in a graveyard.
Tony Award: Best Featured Actor in a Musical (Victor Spinetti). Tony nominations: Best Musical, Best Featured Actress in a Musical (Barbara Windsor), Best Direction of a Musical
OKLAHOMA! (March 31, 1943; St. James Theatre; 2,212 performances)
Production credits: Producer: Theatre Guild; Director: Rouben Mamoulian; Composer: Richard Rodgers; Lyricist/Librettist: Oscar Hammerstein II, Choreographer: Agnes de Mille; Original source: Based on the play Green Grow the Lilacs by Lynn Riggs
Original cast: Aunt Eller (Betty Garde), Curly McLain (Alfred Drake), Laurey Williams (Joan Roberts), Will Parker (Lee Dixon), Jud Fry (Howard Da Silva), Ado Annie Carnes (Celeste Holm), Ali Hakim (Joseph Buloff), Gertie Cummings (Jane Cummings), Andrew Carnes (Ralph Riggs)
Synopsis: Set in the Oklahoma territory around 1907, this is a story of farmers and cowhands and especially of a spunky girl (Laurey) who runs her aunt's farm and is courted by two very different young men, a brash cowboy named Curly and a rather somber farmhand named Jud. As the territory heads toward statehood, Laurey decides on the man of her dreams, who turns out to be Curly. In the final scene, they are married, and just as the folks are throwing a shivaree for the newlyweds, Jud shows up, he and Curly fight, and Jud is killed by his own knife. Curly is acquitted, and Oklahoma has just become a state.
Songs: "Oh, What a Beautiful Mornin'"; "The Surrey with the Fringe on Top"; "Kansas City"; "I Cain't Say No"; "Many a New Day"; "It's a Scandal!, It's an Outrage!"; "People Will Say"; "Pore Jud"; "Lonely Room"; "Out of My Dreams"; "The Farmer and the Cowman"; "All 'Er Nothin'"; "Oklahoma!"
Comments: This musical, which won the Pulitzer Prize for Drama in 1944, is regarded by many and this book as the beginning of the Golden Age of American musical comedy. It was the first to have a plot, score, and dances all as necessary ingredients to the story line. It was the first show choreographed by Agnes de Mille and the first of nine collaborations by Richard Rodgers and Oscar Hammerstein II. For fifteen years it held the record as the longest-running musical (later surpassed by My Fair Lady), with 2,212 performances. Before the opening, not one hit Broadway show had run for more than 500 performances.
OLIVER! (January 6, 1963; Imperial Theatre; 774 performances)
Production credits: Producers: David Merrick and Donald Albery; Director: Peter Coe; Composer/Lyricist/Librettist: Lionel Bart; Choreographer: Malcolm Clare; Original source: Adapted from Charles Dickens's novel Oliver Twist
Original cast: Oliver Twist (Paul O'Keefe), Mr. Bumble (Willoughby Goddard), Mrs. Corney (Helena Carroll), Old Sally (Ruth Mannard), Mr. Sowerberry (Robin Ramsay), Mrs. Sowerberry (Ruth Maynard), Charlotte (Cherry Davis), Noah Claypole (Terry Lomax), Fagin (Clive Revill), Artful Dodger (David Jones), Nancy (Georgia Brown), Bet (Alice Playten), Bill Sikes (Danny Sewell), Mr. Brownlow (Geoffrey Lumb), Dr. Grimwig (John Call), Mrs. Bedwin (Dortha Duckworth)
Synopsis: This musical tells the story of Oliver, a foundling born in the workhouse in nineteenth-century London, who commits the unspeakable crime of asking for more gruel. Oliver runs away but gets into a gang of thieves headed by Fagin. He is forced to take part in a burglary and is wounded. Oliver is nursed back to health, his true heritage is eventually disclosed, the gang members are caught, and he is adopted by wealthy Mr. Brownlow.
Songs: "Food, Glorious Food"; "Oliver!"; "I Shall Scream"; "Boy for Sale"; "That's Your Funeral"; "Where Is Love?"; "Consider Yourself"; "You've Got to Pick a Pocket or Two"; "It's a Fine Life"; "I'd Do Anything"; "Be Back Soon"; "Omm-Pah-Pah"; "My Name"; "As Long as He Needs Me"; "Who Will Buy?"; "Reviewing the Situation"
Tony Awards: Best Composer and Lyricist, Best Scenic Design (Sean Kenny), Best Conductor and Musical Director (Donald Pippin). Tony nominations: Best Musical, Best Actor in a Musical (Revill), Best Actress in a Musical (Brown), Best Featured Actor in a Musical (Jones), Best Author of a Musical, Best Direction of a Musical, Best Producer of a Musical
Comments: Oliver! opened during a New York newspaper strike; however, radio and television kept the public informed. The entire show won rave reviews. During the long run on Broadway, the part of Oliver was played by several young actors who kept growing out of the role.
ON A CLEAR DAY YOU CAN SEE FOREVER (October 17, 1965; Mark Hellinger Theatre; 280 performances)
Production credits: Producers: Alan Jay Lerner, in association with Rogo Productions; Director: Robert Lewis; Composer: Burton Lane; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Herbert Ross
Original cast: Dr. Mark Bruckern (John Cullum), Daisy Gamble and Melinda (Barbara Harris), Warren Smith (William Daniels), Edward Moncrief (Clifford David), Themistocles Kriakos (Titos Vandis), Evans Bolagard (Hamilton Camp), Mrs. Welles (Blanche Collins), Samuel Welles (Gordon Dilworth), Flora (Carol Flemming), Blackamoor (Bernard Johnson), Dr. Conrad Bruckner (Michael Lewis), Dr. Paul Bruckner (Gerry Matthews), Muriel Bunson (Barbara Monte), Mrs. Hatch (Evelyn Page), James Preston (William Reilly), Dolly Wainwhistle (Hanne Marie Reiner), Prudence Cumming (Barbara Remington), T.A.A. Official (David Thomas), Sir Hubert Insdale (Byron Webster)
Synopsis: Daisy Gamble is hypnotized by Dr. Mark Bruckner in his class so that he can cure her smoking habit because her boyfriend, Warren, doesn't like it, but Dr. Brucker finds that Daisy has ESP, and under hypnosis, she remembers life in an earlier century as Melinda. In fact, Daisy remembers that Melinda went to America on the ship Trelawney. Dr. Brucker loses his job because of his infatuation with Daisy. She has a plane ticket to California, but when she hears that the name of the plane is Trelawney, she remembers that Melinda dies in a shipwreck. She and Mark get together to try to figure out this mystery.
Songs: "Hurry! It's Lovely Up Here!"; "Ring Out the Bells"; "Tosy and Cosh"; "On a Clear Day You Can See Forever"; "On the S.S. Bernard Cohn"; "Don't Tamper with My Sister"; "She Wasn't You/He Isn't You"; "Melinda"; "When I'm Being Born Again"; "What Did I Have That I Don't Have?"; "Wait 'Til We're Sixty–Five"; "Come Back to Me"
Tony nominations: Best Actor in a Musical (Cullum), Best Actress in a Musical (Harris), Best Composer and Lyricist
Comments: For this book, this production marks the end of the Golden Age of American musical comedy. Alan Jay Lerner and Richard Rodgers started to collaborate on this production but could not get along because of different work habits, so Burton Lane was brought in. The original title was I Picked a Daisy. Linda Lavin later replaced Barbara Harris in the top role. Barbra Streisand starred in the movie version (1970) directed by Vincente Minnelli.
ON THE TOWN (December 28, 1944; Adelphi Theatre; 462 performances)
Production credits: Producer: Arthur R. Freed; Director: George Abbott; Composer: Leonard Bernstein; Lyricists/Librettists: Betty Comden and Adolph Green; Choreographer: Jerome Robbins; Original source: Based on the 1944 Jerome Robbins ballet Fancy Free
Original cast: Gaby (John Battles), Ozzie (Adolph Green), Chip (Chris Alexander), Miss Turnstiles (Sono Osato), Hildy (Nancy Walker), Claire DeLoone (Phyllis Newman)
Synopsis: On a twenty-four-hour leave in New York City, three sailors look for adventure. Gaby falls in love with a picture of Miss Turnstiles, and the three friends race around the city trying to find her. In the chase, two of them find romance with a cab driver and an anthropology student. Gaby eventually does find Miss Turnstiles, but then the sailors must leave for war and a very uncertain future.
Songs: "I Feel Like I'm Not Out of Bed Yet"; "New York, New York"; "Gaby's Comin'"; "Come Up to My Place"; "So Long, Baby"; "I Wish I Was Dead"; "Diana Dream"; "Senorita Dolores, Dolores"; "Ya Got Me"; "I Understand"; "Carried Away"; "Lonely Town"; "Lucky to Be Me"; "I Can Cook Too"; "Some Other Time"
Comments: Leonard Bernstein was new on the Broadway scene with this production. The show was revived twice (1971 and 1998), with neither being successful. The movie version (1949) starred Gene Kelly, Frank Sinatra, Ann Miller, and Vera-Ellen.
ONCE UPON A MATTRESS (May 11, 1959; Phoenix Theatre; 460 performances)
Production credits: Producers: T. Edward Hambleton, Norris Houghton, and William and Jean Eckart; Director: George Abbott; Composer: Mary Rodgers; Lyricist: Marshall Barer; Librettists: Jay Thompson, Dean Fuller, and Marshall Barer; Choreographer: Joe Layton; Original source: Adapted from the tale by Hans Christian Andersen
Original cast: Minstrel (Harry Snow), Prince (Jim Maher), Princess (Chris Krner), Queen and Lady Beatrice (Gloria Stevens), Wizard (Robert Weil), Princess Number Twelve (Mary Stanton), Lady Rowena (Dorothy Aull), Lady Merrill (Patsi King), Prince Dauntless (Joe Bova), The Queen (Jane White), Lady Lucille (Luce Ennis), Lady Larken (Anne Jones), Sir Studley (Jerry Newby), Jester (Matt Mattox), Sir Harry (Dan Resin), Princess Winnifred (Carol Burnett), Sir Harold (David Neuman), Sir Luce (Tom Mixon), Lady Mabelle (Chris Karner), Nightingale of Samarkand (Ginny Perlowan), Lady Dorothy (Dorothy D'Honau), Sir Christopher (Christopher Edwards), Lord Howard (Howard Parker), Lady Dora (Dorothy Frank), Sir Daniel (Casper Roos), Sir Steven (Jim Stevenson), Lord Patrick (George Blackwell)
Synopsis: In this adaptation, the princess and the pea tale comes alive on Broadway. A law in the kingdom says that no one can marry until the Prince Dauntless the Drag marries, but each time a possible princess appears, she fails a test set up by the queen. Sir Harry, who wants to marry his pregnant Lady Larken right away, vows to find a suitable mate for the prince. He returns with Princess Winnifred the Woebegone, an unrefined lass from the marshland. The queen puts her to the sleeping-on-a-pea test, which—with a little help—Winnifred passes.
Songs: "Many Moons Ago"; "An Opening for a Princess"; "In a Little While"; "Shy"; "The Minstrel, The Jester, and I"; "Sensitivity"; "Swamps of Home"; "Normandy"; "Spanish Panic"; "Song of Love"; "Quiet"; "Happily Ever After"; "Man to Man Talk"; "Very Soft Shoes"; "Yesterday I Loved You"; "Lullaby"
Tony nominations: Best Musical, Best Actress in a Musical (Burnett)
Comments: This was Carol Burnett's Broadway debut. Even so, critics were baffled as to why the show ran so long, although audiences loved it.
110 IN THE SHADE (October 24, 1963; Broadhurst Theatre; 330 performances)
Production credits: Producer: David Merrick; Director: Joseph Anthony; Composer: Harvey Schmidt; Lyricist: Tom Jones; Librettist: Richard Nash; Choreographer: Agnes de Mille; Original source: Based on the play The Rainmaker by Richard Nash
Original cast: Toby (George Church), File (Stephen Douglass), H.C. Curry (Will Geer), Noah Curry (Steve Roland), Jimmie Curry (Scooter Teague), Lizzie Curry (Inga Swenson), Snookie (Lesley Warren), Mrs. Jensen (Diane Deering), Phil Mackey (Seth Riggs), Tommy (Christopher Votos), Belinda (Renee Dudley), Geshy Toops (Don Crabtree), Gil Demby (Jerry Dodge), Olive Barrow (Leslie Franzos), Hanah (Dori Davis), Wally Skacks III and Townperson (Loren Hightower), Maurine Toops (Evelyn Taylor), Bo Dollivon (Vernon Lusby), Mr. Curtis (Robert Shepard), Bill Starbuck (Robert Horton), Wally Skacks (Carl Nicholas)
Synopsis: Bill Starbuck appears at the Curry farm in the middle of a drought and promises to produce rain for $100. Lizzie Curry warns her father and brothers that Starbuck is a fraud, but she falls in love with him despite the attention of Sheriff File. To everyone's amazement, including Starbuck, it rains on time. Starbuck leaves town, and Lizzie and the sheriff get together.
Songs: "Another Hot Day"; "Lizzie's Coming Home"; "Love, Don't Turn Away"; "Poker Polka"; "Hungry Men"; "The Rain Song"; "You're Not Foolin' Me"; "Raunchy"; "A Man and a Woman"; "Old Maid"; "Everything Beautiful Happens at Night"; "Melisande"; "Simple Little Things"; "Little Red Hat"; "Is It Really Me?" "Wonderful Music"
Tony nominations: Best Composer and Lyricist, Best Actress in a Musical (Swenson), Best Featured Actor in a Musical (Geer), Best Direction (Musical)
ONE TOUCH OF VENUS (October 7, 1943; Imperial Theatre; 567 performances)
Production credits: Producer: Cheryl Crawford; Director: Elia Kazan; Composer: Kurt Weill; Lyricist: Ogden Nash; Librettists: S. J. Perelman and Ogden Nash; Choreographer: Agnes de Mille
Original cast: Whitelaw Savory (John Boles), Venus (Mary Martin), Rodney Hatch (Kenny Baker), Gloria Kramer (Ruth Bond), Store Manager and Anatolian (Sam Bonnell), Sam (Zachary A. Charles), Stanley (Harry Clark), Mrs. Moats (Florence Dunlap), Police Lieutenant (Bert Freed), Taxi Black (Teddy Hart), Rose (Jane Hoffman), Molly Grant (Paula Lawrence), Mrs. Kramer (Helen Raymond), Dr. Rook (Johnny Stearns), Zkuvelti (Harold J. Stone), Bus Starter (Lou Wills Jr.)
Synopsis: Art expert Savory finds a statue of Venus, which comes to life when his barber, Rodney, puts a ring on the statue's finger. Venus falls in love with the unwilling barber, who is engaged, until she realizes that she will have to live in Ozone Heights. She goes back to Olympus, leaving the barber forlorn until a woman appears who not only looks just like the statue but also loves Ozone Heights.
Songs: "New Art Is True Art"; "One Touch of Venus"; "How Much I Love You"; "I'm a Stranger Here Myself"; "West Wind"; "Way Out West in Jersey"; "That's How I Am Sick of Love"; "Foolish Heart"; "The Trouble with Women"; "That's Him"; "Speak Low"
Comments: This was Mary Martin's starring debut on Broadway. The movie version (1948) featured Ava Gardner and Robert Walker but eliminated most of the score.
*OUT OF THIS WORLD (December 21, 1950; New Century Theatre; 157 performances). Director: Agnes de Mille; Composer/Lyricist: Cole Porter; Librettists: Dwight Taylor and Reginald Lawrence; Choreographer: Hanya Holm. A lovely Cole Porter score brought Charlotte Greenwood out of retirement as the goddess Juno, who is roaming the earth searching for her cheating husband Jupiter, but it was not enough to save this musical, stranded far uptown at the New Century Theatre.
PAINT YOUR WAGON (November 12, 1951; Shubert Theatre; 289 performances)
Production credits: Producer: Cheryl Crawford; Director: Daniel Mann; Composer: Frederick Loewe; Lyricist/Librettist: Alan Jay Lerner; Choreographer: Agnes de Mille
Original cast: Ben Rumson (James Barton), Julio Valveras (Tony Bavaar), Pete Billings (James Mitchell), Jennifer Rumson (Olga San Juan), Edgar Crocker (Richard Aherne), Salem Trumbull (Ralph Bunker), Suzanne Duval (Mary Burr), Lee Zen (Stephen Cheng), Yvonne Sorel (Gemze de Lappe), Reuben Sloane and Raymond Janney (Gordon Dilworth), Carmelita (Lorraine Havercroft), Elizabeth Woodling (Marijane Maricle), Wait (Bert Matthews), Cherry (Kay Medford), Jake Whippany (Robert Penn), Mike Mooney (John Randolph), Sandy Twist (Jared Reed), Dutchie (Jack Sheehan), Sarah Woodling (Jan Sherwood), Steve Bullnack (Rufus Smith), Elsie (Gisella Svetlik), Rocky (James Tarbutton), Dr. Newcomb (David Thomas)
Synopsis: Jennifer falls in love with Julio, a miner who has come to town after gold is found on her father's (Ben's) land, but Ben wants better things for his daughter and sends her to school in the East. When the gold runs out and the town is deserted once more, Ben thinks of leaving but dies before he can do so. Jennifer returns, and she and Julio plan to bring the town back to life as a farming community.
Songs: "I'm on the Way"; "Rumson"; "What's Goin' on Here?"; "I Talk to the Trees"; "They Call the Wind Maria"; "I Still See Elisa"; "How Can I Wait?"; "In Between"; "Whoop-Ti-Ay!"; "Carino Mio"; "There's a Coach Comin' In"; "Hand Me Down That Can O'Beans"; "Another Autumn"; "All for Him"; "(I Was Born Under a) Wand'rin' Star"
Comments: Even though Paint Your Wagon had a relatively long run, it lost money. The movie version (1969) featured Lee Marvin, Clint Eastwood, and Jean Seberg.
THE PAJAMA GAME (May 13, 1954; St. James Theatre; 1,063 performances)
Production credits: Producers: Frederick Brisson, Robert E. Griffith, and Harold S. Prince; Directors: George Abbott and Jerome Robbins; Composers/Lyricists: Richard Adler and Jerry Ross; Librettists: George Abbott and Richard Bissell; Choreographer: Bob Fosse; Original source: based on Richard Bissell's novel 7½ Cents.
Original cast: Hines (Eddie Foy Jr.), Prez (Stanley Prager), Joe (Gordon Woodburn), Hasler (Ralph Dunn), Gladys (Carol Haney), Sid Sorokin (John Raitt), Mabel (Reta Shaw), Charlie (Ralph Chambers), Babe Williams (Janis Paige), Mae (Thelma Pelish), Brenda (Marion Coley), Poopsie (Rae Allen)
Synopsis: Babe Williams, leader of the grievance committee at the Sleep-Tite Pajama Factory, wants a raise for the girls because production manager Hines wants them to speed up their work. Superintendent Sid Sorokin refuses the seven-and-a-half-cent increase, but he is sweet on Babe. After a work slowdown, he threatens to fire the whole crew, although only Babe gets the axe. But Hines loves Babe, so he decides to try to get her and the others a raise by inviting the company bookkeeper, Gladys, out for a drink. She gets drunk, and he gets the key to the books, which show that the company owners are up to some dirty dealings. The girls get their raise.
Songs: "The Pajama Game"; "Racing with the Clock"; "A New town Is a Blue Town"; "I'm Not at All in Love"; "I'll Never Be Jealous Again"; "Hey There"; "Her Is"; "Sleep-Tite"; "Once a Year Day"; "Small Talk"; "There Once Was a Man"; "Steam Heat"; "Think of the Time I Save"; "Hernando's Hideaway"; "7½ Cents"
Tony Awards: Best Musical, Best Featured Actress in a Musical (Haney)Best Choreography (Fosse)
Comments: This production put Bob Fosse and dancer Carol Haney in the public eye.
*PARK AVENUE (November 4, 1946; Shubert Theatre; 72 performances). Director: David Fuller; Composer: Arthur Schwartz; Lyricist: Ira Gershwin; Librettists: George S. Kaufman and Nunnally Johnson; Choreographer: Helen Tamiris. Reviewers called the entire production, which revolves around a wealthy sophisticate on Park Avenue who is making plans to wed a simple Southerner, without humor, and audiences tended to agree.
*PETER PAN (October 20, 1954, Winter Garden Theatre; 152 performances)
Production credits: Producer: Richard Halliday; Director/Choreographer: Jerome Robbins; Composer: Mark Charlap; Lyricist: Carolyn Leigh; Librettists: Milt Banta and others; Original source: Based on the book by James M. Barrie
Original cast: Wendy and Jane (Kathy Nolan), John (Robert Harrington), Liza (Heller Halliday), Michael (Joseph Stafford), Nana (Norman Shelly), Mrs. Darling (Margalo Gillmore), Mr. Darling and Smee (Cyril Ritchard), Peter Pan (Mary Martin), Lion (Richard Wyatt), Kangaroo (Don Lurio), Ostrich (Joan Tewkesbury), Slightly (David Bean), Tootles (Ian Tucker), Curly (Stanley Stenner), Nibs (Paris Theodore), Captain Hook (Darryl Duran), Crocodile (Joe E. Marks), Tiger Lily (Sondra Lee), Starkey (Robert Vanselow), Noodler (Frank Lindsay), Mullins (James White), Cecco (William Burke), Jules (Chester Fisher), Wendy Grown-Up (Sallie Brophy)
Synopsis: The musical follows James M. Barrie's story of Peter Pan, the boy who never grew up. He comes to visit the Darling children, Wendy and John, with a fairy called Tinker Bell and tells them of his island called Neverland. Peter Pan not only promises to take the children there, but he also vows to teach them to fly. He does this by sprinkling them with fairy dust and telling them to think lovely thoughts. Soon the children are flying just like Peter, and they fly though the night to Neverland. (Peter Pan and the Darling children actually fly out over the audience.)
Songs: "Tender Shepherd"; "I've Got to Crow"; "Neverland"; "I'm Flying"; "Pirate Song"; "A Princely Scheme"; "Indians!"; "Wendy"; "Neverland Waltz"; "I Won't Grow Up"; "Mysterious Lady"; "Ugg-a-Wugg"; "The Pow-Wow Polka"; "Distant Melody"; "To the Ship"; "Hook's Waltz"; "The Battle"
Tony Awards: Best Actress in a Musical (Martin), Best Featured Actor in a Musical (Ritchard), Stage Technician (Richard Rodda)
Comments: At 152 performances, the show could technically be called a flop; however, it closed not because of bad reviews (they were mixed), but because a contract had been signed earlier to present the show on television at a certain date.
*PICKWICK (October 4, 1965; 46th Street Theatre; 56 performances). Director: Peter Coe; Composer: Cyril Omadel; Lyricist: Leslie Bricusse; Librettist: Wolf Mankowitz; Choreographer: Gillian Lynne; Original source: Adapted from material by Charles Dickens. Mr. Pickwick is chairman of the Pickwick Club, a scholarly group in seventeenth-century London. The musical was intended to follow the success of Oliver!, which it did not.
Tony nominations: Best Actor in a Musical (Harry Secombe), Best Featured Actor in a Musical (Roy Castle), Best Featured Actress in a Musical (Charlotte Rae)
PIPE DREAM (November 30, 1955; Shubert Theatre; 246 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II; Director: Harold Clurman; Composer: Richard Rodgers; Lyricist/Librettist: Oscar Hammerstein II; Choreographer: Boris Runanin; Original source: Based on John Steinbeck's novel Sweet Thursday
Original cast: Doc (William Johnson), Hazel (Mike Kellin), Millicent Henderson (Jayne Heller), Beulah (Mildred Slavin), Mac (G. D.Wallace), Suzy (Judy Tyler), Fauna (Helen Traubel), Jim Blaikey (Rufus Smith), Ray Busch (John Call), George Herman (Guy Raymond), Bill (Steve Roland), Marjorie (Louise Troy), Cho Cho Sen (Pat Creighton), Sonny Boy (Joseph Leon), Harriet (Patricia Wilson), Hilda (Ruth Kobart), Fred (Marvin Krauter), Slick (Gene Kevin), Slim (Don Weissmuller), Bubbles (Marsha Reynolds), Sonya (Annabelle Gold), Kitty (Jenny Workman), Johnny Carriagra (Scotty Engel), Pedro (Rudolfo Cornejo), Dr. Ormondy (Calvin Thomas)
Synopsis: This short-lived musical is set in Cannery Row, Monterey, California. After penniless Suzy is arrested for stealing food, she is taken in by brothel owner Fauna. Suzy soon falls for marine biologist Doc, who is also extremely poor. Doc has befriended a number of men in the neighborhood, so they decide to stage a fake lottery for him. This seems like a fine idea until Doc and Suzy have an argument. Suzy declares that she will not see Doc again unless he needs her. To solve the problem, the men break Doc's arm. Now Doc needs her, so Suzy must take care of him.
Songs: "All Kinds of People"; "The Tide Pool"; "Everybody's Got a Home but Me"; "A Lopsided Bus"; "Bums' Opera"; "The Man I Used to Be"; "Sweet Thursday"; "Suzy Is a Good Thing"; "All at Once You Love Her"; "The Happiest House on the Block"; "The Party That We're Gonna Have Tomorrow Night"; "Thinkin'"; "How Long?"; "The Next Time It Happens"
Tony Award: Best Costume Design (Alvin Colt). Tony nominations: Best Musical, Best Actor in a Musical (Johnson), Best Featured Actor in a Musical (Kellin), Best Featured Actress in a Musical (Tyler), Best Choreography, Best Scenic Design (Jo Mielziner), Best Director, Conductor and Musical Director
Comments: Although it ran through the season, the musical stayed in the red and was a financial flop.
PLAIN AND FANCY (January 27, 1955; Mark Hellinger Theatre; 461 performances)
Production credits: Producers: Richard Kollmar and James W. Gardiner, in association with Yvette Schumer; Director: Franz Allers; Composer: Albert Hague; Lyricist: Arnold B. Horwitt; Librettists: Joseph Stein and Will Glickman; Choreographer: Helen Tamiris
Original cast: Ruth Winters (Shirl Conway), Dan King (Richard Derr), Papa Yoder (Stefan Schnabel), Katie Yoder (Gloria Marlowe), Isaac Miller (Sammy Smith), Hilda Miller (Barbara Cook), Ezra Reber (Douglas Fletcher Rodgers), Peter Reber (David Daniels), Rachel (Ethel May Cody), Samuel Zook (Daniel Nagrin), Levi Stolzfuss (William Weslow), Jacob Yoder (Will Able), Samuel Lapp (Christ Robinson), Abner Zook (Edgar Thompson)
Synopsis: New Yorkers Ruth and Dan go to Amish country to sell a farm. Papa Yoder is interested. His daughter Katie is told to marry Ezra, but before the wedding her true love, Peter, returns; however, since Peter left the Amish community, he is shunned. The Yoder's farm burns down, and Peter decides to leave so as not to cause any more friction. Ezra gets drunk, and Peter helps minimize the disgrace. After that, Papa Yoder thinks again about Peter as a son-in-law, and Ruth and Dan decide to marry.
Songs: "You Can't Miss It"; "It Wonders Me"; "Plenty of Pennsylvania"; "Young and Foolish"; "Why Not Katie?"; "It's a Helluva Way to Run a Love Affair"; "This Is All Very New to Me"; "Plain We Live"; "The Shunning"; "How Do You Raise a Barn?"; "Follow Your Heart"; "City Mouse, Country Mouse"; "I'll Show Him!"; "Take Your Time and Take Your Pick"
Comments: "Young and Foolish" became one of the year's most popular tunes.
*PORTOFINO (February 21, 1958; Adelphi Theatre, 3 performances). Director: Karl Genus; Composers: Louis Bellson and Will Irwin; Lyricists: Richard Ney and Sheldon Harnick; Librettist: Richard Ney; Choreographers: Charles Weidman and Ray Harrison. The show, which centers on American tourists in the lovely resort town of Portofino, Italy, was totally rejected by the critics. In fact, reviewers called it a "legendary flop."
REDHEAD (February 5, 1959; 46th Street Theatre; 452 performances)
Production credits: Producers: Robert Fryer and Lawrence Carr; Director/Choreographer: Bob Fosse; Composer: Albert Hague; Lyricist: Dorothy Fields; Librettists: Herbert Fields, Dorothy Fields, Sidney Sheldon, and David Shaw
Original cast: Ruth LaRue, Tilly, and Dancer (Pat Ferrier), Maude Simpson (Cynthia Latham), Sarah Simpson (Doris Rich), May (Joy Nichols), Essie Whimple (Gwen Verdon), Inspector White (Ralph Sumpter), Howard Cavanaugh (William LeMassena), George Poppett (Leonard Stone), Tom Baxter (Richard Kiley), Alfy (Lee Krieger), Sir Charles Willingham (Patrick Horgan), Tenor (Bob Dixon), Inez (Bette Graham), Jailer (Buzz Miller)
Synopsis: In this first musical directed by Bob Fosse and set in London in the 1880s around the time of Jack the Ripper, a killer of actresses is on the loose. The partner of Tom Baxter, part of a strong man act, has been murdered. Tom meets Essie Whimple, who works in the Simpson Sisters' Waxworks. She is apparently being stalked by the same killer. Suspicion centers on Sir Charles Willingham, but the murderer turns out to be George Poppett, an entertainer who disguised himself as Willingham. Poppett goes to jail, and Essie and Tom find love.
Songs: "The Simpson Sisters"; "The Right Finger of My Left Hand"; "Just for Once"; "Merely Marvelous"; "The Uncle Sam Rag"; "Erbie Fitch's Twitch"; "She's Not Enough Woman for Me"; "Behave Yourself"; "Look Who's in Love"; "My Girl Is Just Enough Woman for Me"; "Essie's Vision"; "Two Faces in the Dark"; "I'm Back in Circulation"; "We Loves Ya, Jimey"; "Pick-Pocket Tango"; "I'll Try"
Tony Awards: Best Musical, Best Actor in a Musical (Kiley), Best Actress in a Musical (Verdon), Best Choreography (Fosse), Best Costume Design of a Musical (Rouben Ter-Arutunian). Tony nominations: Best Featured Actor in a Musical (Stone), Best Conductor and Musical Director (Jay Blackton)
Comments: The show ran as long as it did on the strength of Gwen Verdon's performance and Bob Fosse's dance routines. It was Richard Kiley's route to stardom.
THE ROAR OF THE GREASEPAINT—THE SMELL OF THE CROWD (May 16, 1955; Shubert Theatre; 232 performances)
Production credits: Producer: David Merrick, in association with Bernard Delfront; Director: Anthony Newley; Composers/Lyricists/Librettists: Leslie Bricusse and Anthony Newley; Choreographer: Gillian Lynne
Original cast: Cocky (Anthony Newley), The Girl (Joyce Jillson), The Negro (Gilbert Price), Sir (Cyril Ritchard), The Kid (Sally Smith), The Bully (Murray Tannebaum)
Synopsis: This production is an allegory between the haves, personified by Sir, and the have nots, led by Cocky. The single set represents the world. Sir is forever changing the rules of the game of life, so young Cocky always gets the short end of the stick. Anthony Newley hoped to match the success of Stop the World—I Want to Get Off but it missed by a mile.
Songs: "The Beautiful Land"; "A Wonderful Day Like Today"; "It Isn't Enough"; "Things to Remember"; "With All Due Respect"; "This Dream"; "Where Would You Be without Me?"; "My First Love Song"; "Look at That Face"; "The Joker"; "Who Can I Turn To (When Nobody Needs Me)?"; "That's What It Is to Be Young"; "What a Man!"; "Feeling Good"; "My Way"
Tony nominations: Best Actor in a Musical (Ritchard), Best Direction of a Musical, Best Producer of a Musical (Merrick), Best Composer and Lyricist, Best Scenic Design (Sean Kenny), Best Costume Design (Freddy Whittop)
Comments: The songs from the show, especially "Who Can I Turn To (When Nobody Needs Me)?," became popular after it closed. The production was scheduled for London after New York, but since the Broadway showing was less than expected, it did not go on.
*RUMPLE (November 6, 1957; Alvin Theatre; 45 performances). Director: Jack Donahue; Composer: Ernest G. W. Schweikert; Lyricist: Frank Reardon; Librettist: Irving Phillips; Choreographer: Bob Hamilton. Rumple is a cartoon character who is about to lose his life because his creator has lost his inspiration and can no longer create him. Time magazine said the show had only one asset: Eddie Foy, the master of the soft shoe. Critics said the songs were untuneful and the lyrics "ruggedly mediocre."
Tony nomination: Best Actor in a Musical (Eddie Foy Jr.)
*SADIE THOMPSON (November 16, 1944; Alvin Theatre; 60 performances). Director: Rouben Mamoulian; Composer: Vernon Duke; Lyricist: Howard Dietz; Librettists: Howard Dietz and Rouben Mamoulian; Choreographer: Edward Caton. The show was originally planned around Ethel Merman, who refused the role because her husband was not the lyricist. June Havoc was called in to play the sharp-tongued lady of the streets. Reviewers felt the staging outclassed the cast; actual rain drenched the stage.
SAIL AWAY (October 3, 1961; Broadhurst Theatre; 167 performances)
Production credits: Producers: Bonard Productions, in association with Charles Russell; Director/Composer/Lyricist/Librettist: Noël Coward; Choreographer: Joe Layton
Original cast: Joe and Ali (Charles Braswell), Shuttleworth (Keith Prentice), Rawlings (James Pritchett), Sir Gerard Nutfield (C. Stafford Dickens), Lady Nutfield (Margaret Mower), Barnaby Slade (Grover Dale), Elmer Candijack (Henry Lawrence), Maimie Candijack (Betty Jane Watson), Glen Candijack (Alan Helms), Shirley Candijack (Patti Mariano), Mr. Sweeney (Jon Richards), Mr. Sweeney (Paula Bauersmith), Elinor Spencer-Bollard (Alice Pearce), Nancy Foyle (Patricia Harty), Alvin Lush (Paul O'Keefe), Mrs. Lush (Evelyn Russell), John Van Mier (James Hurst), Mrs. Van Mier (Margalo Gillmore), Mimi Paragon (Elaine Stritch), Carrington (David Evans), American Express Man (Richard Woods)
Synopsis: All the action takes place in various parts of the Cunard steamship Coronia. Everything, including love triangles, personal problems, and all sorts of disagreements among the passengers, revolves around the overworked Mimi Paragon, cruise director, as they sail through the Mediterranean Sea.
Songs: "Come to Me"; "Sail Away"; "Where Shall I Find Him?"; "Beatnik Love Affair"; "Later Than Spring"; "The Passenger's Always Right"; "Useful Phrases"; "Go Slow, Johnny"; "The Little Ones' ABC"; "You're a Long, Long Way from America"; "Something Very Strange"; "Don't Turn Away from Love"; "When You Want Me"; "Why Do the Wrong People Travel?"
Tony nominations: Best Actress in a Musical (Stritch), Best Producer of a Musical
Comments: Even with Elaine Stritch in the lead, the show had a short run.
*SARATOGA (December 7, 1959; Winter Garden Theatre; 90 performances). Director/Librettist: Morton DaCosta; Composer: Harold Arlen; Lyricist: Johnny Mercer; Choreographer: Ralph Beaumont. The hope was a long run for this show to follow the success of Edna Ferber's Show Boat and based on her novel Saratoga Trunk. It starred Carol Lawrence and Howard Keel in this story of an illegitimate Creole woman who seeks revenge on a New Orleans family because they exiled her mother after she was made pregnant by their son. Audiences did not warm to the production.
Tony Award: Best Costume Design, Musical (Cecil Beaton). Tony nomination: Best Scenic Design, Musical (Beaton)
SAY, DARLING (April 3, 1958, ANTA Theatre; 332 performances)
Production credits: Producers: Jule Styne and Lester Osterman; Director: Abe Burrows; Composers: Jule Styne; Lyricists: Betty Comden and Adolph Green ; Librettists: Abe Burrows, Marion Bissell, and Richard Bissell; Choreographer: Matt Mattox; Original source: Based on the novel by Richard Bissell
Original cast: Mr. Schneider (Gordon B. Clarke), Frankie Jordan (Constance Ford), Jack Jordan (David Wayne), Photographer and Waiter (Jack Naughton), Pilot Roy Peters (Jack Manning), Ted Snow (Robert Morse), June (Eileen Letchworth), Schatzie Harris (Horace McMahon), Richard Hackett (Jerome Cowan), Irene Lovelle (Vivian Blaine), Charlie Williams (Robert Downing), Maurice (Colin Romoff), Arlene McKee (Wana Allison), Jennifer Stevenson and Tatiana (Jean Mattox), Earl Jorgeson (Elliott Gould), Cheryl Merrill (Virgina Martin), Sammy Miles (Steve Condos), Boris Reshevsky (Matt Mattox), Morty Krebs (Walter Klavun), Joyce (Kelly Leigh)
Synopsis: This show concerns the trials and tribulations of a novelist who is brought to New York City to turn his novel into a musical. It was based on Bissell's novel about turning 7½ Cents into The Pajama Game, including the tough director and the has-been star.
Songs: "Try to Love Me"; "It's Doom"; "The Husking Bee"; "It's the Second Time You Meet That Matters"; "Chief of Love"; "Say, Darling"; "The Carnival Song"; "Dance Only with Me"; "Something's Always Happening on the River"
Tony nomination: Best Featured Actor in a Play (Morse)
Comments: Robert Morse stole the show in a remarkably funny performance.
SEVENTEEN (June 21, 1951; Broadhurst Theatre; 160 performances)
Production credits: Producers: Milton Berle, Sammy Lambert, and Bernie Foyer; Director: Richard Whorf; Composer: Walter Kent; Lyricist: Kim Gannon; Librettist: Sally Benson; Choreographer: Dania Krupska; Original source: Based on the book by Booth Tarkington
Original cast: Genesis (Maurice Ellis), Johnnie Watson (John Sharpe), Willie Baxter (Kenneth Nelson), Jane Baxter (Betty Jane Seagle), Bert (Greg O'Brien), Charlie (Jim Moore), Dave (Bill Reilly), Joe Bullitt (Dick Kallman), Lete (Richard France), Darrell (Darrell Notara), Don (Bob Bakanic), Lola Pratt (Ann Crowley), Mrs. Baxter (Doris Dalton), May Parcher (Ellen McCown), Emmie (Helen Wood), Ida (Carol Cole), Madge (Bonnie Brae), Sue (Elizabeth Pacetti), Jenny (Sherry McCutcheon), Nan (Joan Bowman), Mr. Baxter (Frank Albertson), Mr. Parcher (King Calder), Mrs. Parcher (Penny Bancroft), George Crooper (Harrison Muller), Mr. Genesis (Alonzo Bosan), Porter (Joseph James)
Synopsis: This musical is set in Indianapolis in 1907, where Willie Baxter is going through all the pangs of puppy love. His heart yearns for Lola Pratt, who has come to visit her aunt, who is the Baxter's neighbor, for the summer. Lola constantly talks baby talk, and Willie is convinced he has found true love, much to the annoyance of family and friends. At summer's end, Lola goes home, Willie is forlorn, and his family is relieved.
Songs: "Weatherbee's Drug Store"; "This Was Just Another Day"; "Things Are Gonna Hum This Summer"; "How Do You Do, Miss Pratt?"; "Summertime Is Summertime"; "Reciprocity"; "Ode to Lola"; "OO-OOO-OOO, What You Do to Me"; "The Hosier Way"; "I Could Get Married Today"; "After All, It's Spring"; "If We Only Could Stop the Old Town Clock"
Comments: This was the second adaptation of Booth Tarkington's novel, and some reviewers thought it too "old timey" for Broadway in the 1950s.
*SEVENTH HEAVEN (May 26, 1955; ANTA Theatre; 44 performances). Director: John C. Wilson; Composer: Victor Young; Lyricist: Stella Unger; Librettists: Victor Wolfson and Stella Unger; Choreographer: Peter Gennaro. This musical version of Janet Gaynor's and Charles Farrell's silent film classic featured Ricardo Montalban, Chita Rivera, and Gloria DeHaven. The tale of two lovers separated by war and then reunited after much misery succeeded as a play in 1922 (with Helen Menken and George Gaul), but it proved too sentimental for 1950s Broadway musical viewers.
*SHANGRI-LA (June 13, 1956; Winter Garden Theatre; 21 performances). Director: Albert Marre; Composer: Harry Warren; Lyricists/Librettists: James Hiton, Jerome Lawrence, and Robert E. Lee; Choreographer: Donald Saddler. James Hilton's novel Lost Horizon about four kidnapped victims who are taken to the secret lamasery of Shangri-La is set to music. But even with the talents of Jack Cassidy, Carol Lawrence, and Alice Ghostley, the production lasted less than three weeks.
Tony nomination: Best Costume Design (Irene Sharaff)
SHE LOVES ME (April 23, 1963; Eugene O'Neill Theatre; 302 performances)
Production credits: Producer: Harold Prince, in association with Lawrence N. Kasha and Philip C. McKenna; Director: Harold Prince; Composer: Jerry Bock; Lyricist: Sheldon Harnick; Librettist: Joe Masteroff; Choreographer: Carol Haney; Original source: Based on a play by Miklós László
Original cast: Arpad (Ralph Williams), Mr. Sipos (Nathaniel Frey), Miss Ritter (Barbara Baxley), Steven Kodaly (Jack Cassidy), Georg Nowack (Daniel Massey), Mr. Maraczek (Ludwig Donath), Window Shoppers (Jety Herlick and Judy West), First Customer (Marion Brash), Second Customer (Peg Murray), Third Customer (Trude Adams), Amalia Balash (Barbara Cook), Fourth Customer and Magda (Judy West), Fifth Customer and Nurse (Jety Herlick), Sixth Customer and Stefanie (Vicki Mansfield), Mr. Keller (Gino Conforti), Waiter (Wood Romoff), Busboy (Al De Sio), Viktor (Pepe De Chazza), Ferencz (Bob Bishop), A Couple (Peg Murray and Joe Ross), Paul (Les Martin)
Synopsis: In the early 1930s, Amalia Balash looks for work in a Budapest music shop. She is reluctantly hired after she picks up a music box and sells it to the first customer. The other employees are ladies' man Steven Kodaly and shy Georg Nowack. Unbeknownst to Amalia and Georg, they have been secretly writing to people who turn out to be each other. The rest of the plot involves the tangled events until the two realize their writing partners and fall in love.
Songs: "Good Morning, Good Day"; "Sounds While Selling"; "Thank You, Madam"; "Days Gone By"; "No More Candy"; "Three Letters"; "Tonight at Eight"; "I Don't Know His Name"; "Perspective"; "Goodbye, Georg"; "Will He Like Me?"; "Ilona"; "I Resolve"; "A Romantic Atmosphere"; "Tango Tragique"; "Dear Friend"; "Try Me"; "Where's My Shoe?"; "Ice Cream"; "She Loves Me"; "A Trip to the Library"; "Grand Knowing You"; "Twelve Days to Christmas"
Tony Award: Best Featured Actor in a Musical (Cassidy). Tony nominations: Best Musical, Best Author (Musical), Best Direction (Musical), Best Producer (Musical)
Comments: The story line became three highly successful films: The Shop around the Corner (1940), with Margaret Sullavan and James Stewart; In the Good Old Summertime (1949), with Judy Garland and Van Johnson; and You've Got Mail (1998), with Meg Ryan and Tom Hanks.
*SHINBONE ALLEY (April 13, 1957; Broadway Theatre; 49 performances). Director: Norman Lloyd (who asked that his name be removed from the credits); Composer: George Kleinsinger; Lyricist: Joe Darion; Librettists: Joe Darion and Mel Brooks; Choreographers: Joe Alexander and Rod Alexander. One of the first Broadway shows to feature a fully integrated cast, this "Archie and Mehitabel" story had Eartha Kitt as Mehitabel and Eddie Bracken as Archie.
Tony nomination: Best Costume Design (Motley).
SILK STOCKINGS (February 24, 1955; Imperial Theatre; 478 performances)
Production credits: Producers: Cy Feuer and Ernest Martin; Director: Cy Feuer; Composer/Lyricist: Cole Porter; Librettist: George S. Kaufman; Choreographer: Eugene Loring
Original cast: Peter Ilyitch Boroff (Philip Sterling), Ivanov (Henry Lascoe), Brankov (Leon Belasco), Bibinski (David Opatoshu), Steve Canfield (Don Ameche), Vera (Julie Newmar), Comissar Markovitch (George Tobias), Ninotchka (Hildegarde Neff), Janice Dayton (Gretchen Wyler), Pierre Bouchard (Marcel Hillaire)
Synopsis: This musical was patterned after the 1939 comedy Ninotchka, in which Greta Garbo plays a cold Russian agent who goes to Paris and falls in love with a gay blade. In the musical version, theatrical agent Steve Canfield entices Russian composer Peter Boroff to stay in the West; however, the communists want him back and send trustworthy Ninotchka to dissuade him. But Ninotchka is so enchanted with Paris that a Russian delegation has to bring her back. For a happy ending, she is followed by Steve, and they both return to the West.
Songs: "Too Bad"; "Paris Loves Lovers"; "Stereophonic Sound"; "It's a Chemical Reaction, That's All"; "All of You"; "Satin and Silk"; "Without Love"; "Hail, Bibinski"; "As on Through the Seasons We Sail"; "Josephine"; "Siberia"; "Silk Stockings"; "The Red Blues"
Comments: Although it never reached the popularity of his other musicals, Cole Porter's score was the main reason for the show's run.
*SLEEPY HOLLOW (June 3, 1948; St. James Theatre; 12 performances). Directors: John O'Shaughnessy and Marc Connelly; Composer: George Lessner; Lyricists/Librettists: Russell Maloney and Miriam Battista; Choreographer: Anna Sokolow. Ichabod Crane and the legend of Sleepy Hollow are depicted in 1795 by the Tappan Zee on the east bank of the Hudson River. The show ran a little more than one week at the St. James, where Oklahoma! had run for six years.
Tony Award: Best Scenic Design (Jo Mielziner)
*SOMETHING MORE! (November 10, 1964; Eugene O'Neill Theatre; 15 performances). Director: Jule Styne; Composer: Sammy Fain; Lyricists: Marilyn Bergman and Alan Bergman; Librettist: Nate Monaster; Choreographer: Bob Herget. Barbara Cook was the star in this short-lived production about a novelist and his family, including Arthur Hill, who leave Mineola, New York, for Portofino, Italy. Problems in rehearsals delayed the opening.
*SOPHIE (April 15, 1963; Winter Garden Theatre; 8 performances). Director: Jack Sydow; Composer/Lyricist: Steve Allen; Librettist: Phillip Pruneau; Choreographer: Donald Saddler. Producers had high hopes for this musical biography of famed star Sophie Tucker, who was known as the "red hot mama" (played by Libi Straiger); however, critics and audiences disagreed, and the production hardly lasted the week.
THE SOUND OF MUSIC (November 16, 1959; Lunt-Fontanne Theatre; 1,443 performances)
Production credits: Producers: Leland Hayward, Richard Halliday, Richard Rodgers, and Oscar Hammerstein II; Director: Vincent J. Donehue; Composer: Richard Rodgers; Lyricist: Oscar Hammerstein II; Librettists: Howard Lindsay and Russel Crouse; Choreographer: Joe Layton; Original source: Based on Maria Augusta Trapps's The Trapp Family Singers
Original cast: Maria Rainer (Mary Martin), Sister Berthe (Elizabeth Howell), Sister Margaretta (Muriel O'Malley), Mother Abbess (Patricia Neway), Sister Sophia (Karen Shepard), Captain Georg von Trapp (Theodore Bikel), Franz (John Randolph), Frau Schmidt (Nan McFarland), Liesl (Lauri Peters), Friedrich (William Snowden), Louisa (Kathy Dunn), Kurt (Joseph Stewart), Brigitta (Marilyn Rogers), Marta (Mary Susan Locke), Gretl (Evanna Lien), Rolf Gruber (Brian Davies), Elsa Schraeder (Marion Marlowe), Max Detweiler (Luce Ennis), Herr Zeller (Stefan Gierasch), Baron Elberfeld (Kirby Smith), Postulant (Sue Yaeger), Admiral von Schrei-
ber (Michael Gorrin)
Synopsis: The good sisters decide that Maria seems a bit unsettled for the convent life, so she is sent as governess to the seven children of a stern, widowed naval officer, Georg von Trapp. Maria soon falls in love with him, but after a visit to Vienna, Trapp comes home with a fiancé. However, he is delighted that Maria is teaching his children to sing. Hitler's Nazi government is now emerging in Germany, and Trapp and his fiancé disagree over what is happening to the country. When he is ordered to report for duty in Germany's service, he, the family, and Maria escape to Switzerland.
Songs: "The Sound of Music"; "Maria"; "My Favorite Things"; "Do-Re-Me"; "You Are Sixteen"; "The Lonely Goatherd"; "How Can Love Survive?"; "So Long, Farewell"; "Climb Every Mountain"; "No Way to Stop It"; "Ordinary Couple"; "Edelweiss"
Tony Awards: Best Musical (tied with Fiorello!), Best Actress in a Musical (Martin), Best Featured Actress in a Musical (Neway), Best Scenic Design (Oliver Smith), Best Conductor and Musical Director (Frederick Dvonch). Tony nominations: Best Featured Actor in a Musical (Bikel), Best Featured Actor in a Musical (Kasznar), Best Featured Actress in a Musical (Lauri Peters, along with the other child actors), Best Direction of a Musical
Comments: The end of one of Broadway's most successful partnerships came with the death of Oscar Hammerstein II shortly after the show opened. Some reviewers thought the production "too sweet," but all praised the outstanding performance of Mary Martin. It was turned into a movie in 1965 with Julie Andrews in the leading role and became the lead grossing musical film of the time, winning Oscars for Best Picture, Best Director, Best Score Adaptation, and Best Editing.
SOUTH PACIFIC (April 7, 1949; Majestic Theatre; l,925 performances)
Production credits: Producers: Richard Rodgers and Oscar Hammerstein II, in association with Leland Hayward and Joshua Logan; Director: Joshua Logan; Composer: Richard Rodgers; Lyricist: Oscar Hammerstein II; Librettists: Oscar Hammerstein II and Joshua Logan; Choreographer: Joshua Logan; Original source: Adapted from the Pulitzer Prize-winning book Tales of the South Pacific by James A. Michener
Original cast: Ngana (Barbara Luna and Bunny Warner), Jerome (Michael De Leon and Robvert Cortazal), Henry (Richard Silvera), Ensign Nellie Forbush (Mary Martin), Emile de Becque (Ezio Pinza), Bloody Mary (Juanita Hall), Bloody Mary's Assistant (Musa Williams), Abner (Archie Savage), Stewpot (Henry Slate), Luther Billis (Myron McCormick), Professor (Fred Sadoff), Lt. Joseph Cable (William Tabbert), Capt. George Brackett (Martin Wolfson), Cmdr. William Harbison (Harvey Sephens), Yeoman Herbert Quale (Alan Gilbert), Sgt. Kenneth Johnson (Thomas Gleason), Seabee Richard West (Dickinson Eastham), Seabee Morton Wise (Henry Michel), Seaman Tom O'Brien (William McGraw), Radio Operator Bob McCaffrey (Jack Fontan), Petty Officer Hamilton Steves (Jim Hawthorne), Staff Seagant Thomas Hassinger (Eugene Smith), Seaman James Hayes (Beau Tilden), Lt. Genevieve Marshall (Jacqueline Fisher), Ensign Dinah Murphy (Roslynd Lowe), Ensign Janet MacGregor (Sandra Deel), Ensign Cora MacRae (Bernice Saunders), Ensign Sue Yaeger (Pat Northrop), Ensign Lisa Minelli (Gloria Meli), Ensign Connie Walewska (Mardi Bayne), Ensign Pamela Witmore (Evelyn Colby), Ensign Bessie Noonan (Helena Schurgot), Liat (Betta St. John), Marcel (Richard Loo), Lt. Buzz Adams (Don Fellows)
Synopsis: On a South Pacific island during World War II, middle-aged planter Emile de Becque and young Navy lieutenant Nellie Forbush fall in love. So do a young marine officer, Lt. Joseph Cable, and a young native girl, the daughter of Bloody Mary. Old prejudices and fears crop up in both romances, but Emile and Nellie overcome their problems, and the young marine is killed on a mission. Winner of the Pulitzer Prize for Drama, it was only the second musical to be so honored (after Of Thee I Sing, 1932).
Songs: "Dites-Moi Pourquoi?"; "A Cockeyed Optimist"; "Twin Soliloquies"; "Some Enchanted Evening"; "Blood Mary Is the Girl I Love"; "There's Nothing Like a Dame"; "Bali Ha'i"; "I'm Gonna Wash That Man Right Outta My Hair"; "I'm in Love with a Wonderful Guy"; "Younger Than Springtime"; "Happy Talk"; "Honey Bun"; "You've Got to Be Carefully Taught"; "This Nearly Was Mine"
Tony Awards: Best Musical, Best Original Score, Best Libretto, Best Actor in a Musical (Pinza), Best Actress in a Musical (Martin), Best Featured Actor in a Musical (McCormick), Best Featured Actress in a Musical (Hall), Best Producer of a Musical, Best Director, Best Scenic Design (Jo Mielziner, 1949)
Comments: This musical is generally placed in the top five musicals of all time; especially cited for performances by Ezio Pinza and Mary Martin. Oscar Hammerstein's lyrics that preach about racial prejudice (e.g., "You've Got to Be Carefully Taught") caused trouble for the show in the South, but the songs were sung for years by the general public. One of the most successful of modern musicals, critics generally regarded the movie version (1958) as a disappointment, with Rossano Brazzi and Mitzi Gaynor in the lead roles and directed by Joshua Logan. A highly successful stage revival had a long run at the Vivian Beaumont Theatre starting in 2008.
*ST. LOUIS WOMAN (March 30, 1946; Martin Beck Theatre; 113 performances). Director: Rouben Mamoulian; Composer: Harold Arlen; Lyricist: Johnny Mercer; Librettists: Arna Bontemps and Countee Cullen; Choreographer: Charles Walters. The show was originally written to headline Lena Horne; however, when some leading African Americans criticized the fact that the production centered on a black woman of so-called easy virture in early twentieth-century St. Louis, Horne pulled out. She was replaced by Ruby Hill. In addition, the presence of Pearl Bailey helped to keep the show going as long as it did.
STOP THE WORLD—I WANT TO GET OFF (October 3, 1962; Shubert Theatre; 556 performances)
Production credits: Producer: David Merrick, in association with Bernard Delfont; Director: Anthony Newley; Composers/Lyricists: Leslie Bricusse and Anthony Newley; Librettists: Leslie Bricusse and Anthony Newley; Choreographer: John Broome
Original cast: Littlechap (Anthony Newley), Evie, Anya, Ilse, and Ginnie (Anna Quayle), Jane (Jennifer Baker), Susan (Susan Baker), Chorus Members (Rawley Bates, Bonnie Brody, Diana Corto, Jo Anne Leeds, Stephanie Winters, Mark Hunter, Paul Rufo, Sylvia Tysick, Karen Lynn Reed)
Synopsis: This is a musical allegory that tells the life story of everyman, called "Littlechap," in a setting resembling a circus tent. Littlechap goes from birth to death, much of the progress demonstrated with the use of symbolic gestures that mark his bouts with success and failure. Saddled with the responsibilities of a family, his dissatisfaction grows, leading him into the arms of other women. In the twilight of his life, he realizes that he needs only what he has always had—the love of his wife.
Songs: "The A.B.C. Song"; "I Want to be Rich"; "Typically English"; "A Special Announcement"; "Lumbered"; "Welcome to Sludgepool"; "Gonna Build a Mountain"; "Glorious Russian"; "Meilinki, Meilchick"; "Family Fugue"; "Nag! Nag! Nag!"; "All-American"; "Once in a Lifetime"; "Mumbo Jumbo"; "Welcome to Sunvale"; "Someone Nice Like You"; "What Kind of Fool Am I?"
Tony Award: Best Featured Actress in a Musical (Quayle). Tony nominations: Best Musical, Best Actor in a Musical (Newley), Best Author of a Musical, Best Composer and Lyricist
Comments: Both audiences and critics were divided on this one (most critics found it heavy handed), but "What Kind of Fool Am I?" became one of the most popular tunes of the year.
*STREET SCENE (January 9, 1947; Adelphi Theatre; 148 performances). Director: Charles Friedman; Composer: Kurt Weill; Lyricist: Langston Hughes; Librettist: Elmer Rice; Choreographer: Anna Sokolow. The Kurt Weill score based on the Elmer Rice 1929 hit concerns a star-crossed romance. It takes place on the East Side of New York in 1946, and tells of the mounting tensions among the irritable neighbors.
Tony Awards: Best Original Score, Best Costume Design (Lucinda Ballard)
SUBWAYS ARE FOR SLEEPING (December 27, 1961; St. James Theatre; 205 performances)
Production credits: Producer: David Merrick; Director/Choreographer: Michael Kidd; Composer: Jule Styne; Lyricists/Librettists: Betty Comden and Adolph Green; Original source: Based on the book by Edmund G. Love
Original cast: Myra Blake (Grayson Hall), Angela McKay (Carol Lawrence), Tom Bailey (Sydney Chaplin), Station Guard (Robert Howard), J. Edward Sykes, Social Worker, and Mr. Barney (Joe Hill), Jack, Max Hillman, and Museum Guard (Anthony Saverino), Gus Holt (Cy Young), Charlie Smith (Orson Bean), A Drunk (Jim Weiss), Martha Vail (Phyllis Newman), Mr. Pittman (Gordon Connell), Delivery Boy (Michael Bennett), Lancelot Zuckerman (Horase), Freddie (Bob Gorman), Mac and Photographer (John Sharpe), Models (Sari Clymas and Diane Ball), Zack Flint (Lawrence Pool), Lieutenant Pilsudski and Relief Doorman (Robert Howard), Mary Thompkins (Dean Taliaferro)
Synopsis: Two romances have a rough time in Manhattan. Tom Bailey is a neat-looking type who sleeps in the subway and attracts magazine writer Angela McKay. McKay interviews Martha Vail, a beauty contest winner who lost all her clothing and is about to lose her apartment. She is romanced by another ne'er-do-well, Charlie Smith. All's well in the end.
Songs: "Subways Are for Sleeping"; "Girls Like Me"; "Station Rush"; "I'm Just Taking My Time"; "Subway Directions"; "Ride Through the Night"; "I Was a Shoo-In"; "Who Knows What Might Have Been?"; "Swing Your Projects"; "Strange Duet"; "I Said It and I'm Glad"; "Be a Santa"; "Subway Incident"; "How Can You Describe a Face?"; "I Just Can't Wait"; "Comes Once in a Lifetime"; "What Is This Feeling in the Air?"
Tony Awards: Best Featured Actress in a Musical (Newman). Tony nominations: Best Featured Actor in a Musical (Bean), Best Choreography
Comments: So-so reviews are credited for the short run.
TAKE ME ALONG (October 22, 1959; Shubert Theatre; 448 performances)
Production credits: Producer: David Merrick; Director: Peter Glenville; Composer/Lyricist: Bob Merrill; Librettists: Joseph Stein and Robert Russell; Choreographer: Onna White; Original source: Based on Eugene O'Neill's play Ah, Wilderness
Original cast: Nat Miller (Walter Pidgeon), Mildred Miller (Zeme North), Richard Miller (Robert Morse), Arthur Miller (James Cresson), Tommy Miller (Luke Halpin), Essie Miller (Una Merkel), Lily Miller (Eileen Herlie), Muriel Macomber (Susan Luckey), Dave Macomber (Fred Miller), Sid Davis (Jackie Gleason), Wint (Peter Conlow), Bartender (Jack Collins), Belle (Arlen Golonka), The Drunk (Gene Varrone), Salesman (Bill McDonald), The Beardsley Dwarf (Charles Bolender), Salome (Rae McLean), Camille (Paula Lloyd)
Synopsis: Nat Miller is the town's newspaper editor in Centerville, Connecticut. His heavy drinking brother-in-law Sid is courting neighbor Lily, and his son Richard is stuck on Muriel Macomber. When his son's romance is broken off, Richard goes on a drinking binge, which sends the boy on a drunk that leads to a dream ballet. Richard sobers up and goes away to college, still swearing his eternal love to Muriel, and Sid promises Muriel that he will stop drinking if she will marry him.
Songs: "The Parade"; "Oh, Please"; "I Would Die"; "Sid, Ol' Kid"; "Staying Young"; "I Get Embarrassed"; "We're Home"; "Take Me Along"; "For Sweet Charity"; "Pleasant Beach House"; "That's How It Starts"; "Promise Me a Rose"; "Little Green Snake"; "Nine O'Clock"; "But Yours"
Tony Awards: Best Actor in a Musical (Gleason). Tony nominations: Best Musical, Best Actor in a Musical (Morse), Best Actor in a Musical (Pidgeon), Best Actress in a Musical (Herlie), Best Direction of a Musical, Best Choreography, Best Costume Design (Miles White), Best Conductor and Musical Director (Lehman Engel), Best Stage Technician (Al Alloy)
Comments: This was another long-running show that was a financial washout; however, it was Jackie Gleason's best Broadway role of his career.
TENDERLOIN (October 17, 1960; 46th Street Theatre; 216 performances)
Production credits: Producers: Robert E. Griffith and Harold S. Prince; Director: George Abbott; Composer: Jerry Bock; Lyricist: Sheldon Harnick; Librettists: George Abbott and Jerome Weidman; Choreographer: Joe Layton; Original source: Based on the novel by Samuel Hopkins Adams
Original cast: Tommy (Ron Husmann), Nita (Eileen Rodgers), Lt. Schmidt (Ralph Dunn), Reverend Brock (Maurice Evans), Gertie (Lee Becker), Margie (Margery Gray), Dorothy (Dorothy Frank), Girl (Patsy Peterson), Young Man (Dargan Montgomery), Jessica (Irene Kane), Laura (Wynne Miller), Ellington (Gordon Cook), Joe (Rex Everhart), Purdy (Lanier Davis), Deacon (Roy Fant), Frye (Eddie Phillips), Rooney (Jordon Howard), Nellie (Marguerite Shaw), Becker (Michael Roberts), Callahan (Jack McCann), Maggie (Pat Turner), Liz (Christine Norden), Mrs. Barker (Elaine Rogers), Chairman (Joe Hill)
Synopsis: Reverend Brock wants to clean up the old Tenderloin red-light district around West 23rd Street in New York City. He runs into opposition at every point, especially from the corrupt politicians and police who are taking cuts from the earnings of the prostitutes who work there. Brock enlists the help of a reporter, Tommy, who has ties to a dishonest cop, Lt. Schmidt. They frame Brock, but the truth comes out when Tommy has a change of heart due to a girl named Laura. Next, Brock is on his way to clean up Detroit.
Songs: "Bless This Land"; "Little Old New York"; "Dr. Brock"; "Artificial Flowers"; "What's in It for You?"; "Reform"; "Tommy, Tommy"; "The Picture of Happiness"; "Dance"; "Dear Friend"; "The Army of the Just"; "How the Money Changes Hands"; "Good Clean Fun"; "My Miss Mary"; "My Gentle Young Johnny"; "The Trial"; "The Tenderloin Celebration"
Tony nominations: Best Actor in a Musical (Evans), Best Featured Actor (Husmann), Best Costume Design (Cecil Beaton)
Comments: With a run of about six months, the musical was still a commercial failure.
TEXAS, LI'L DARLIN' (November 25, 1949; Mark Hellinger Theatre; 293 performances)
Production credits: Producers: Studio Productions and Anthony Brady Farrell Productions; Director: Paul Crabtree; Composer: Robert Emmett Dolan; Lyricist: Johnny Mercer; Librettists: John Whedon and Sam Moore; Choreographer: Al White Jr.
Original cast: Harvey Small (Loring Smith), John Baxter Trumbull and Radio Announcer (Charles Bang), Parker Stuart Eliot and Engineer (Alden Aldrich), William Dean Benson Jr. (Edward Platt), Frothingham Fry (Ned Wertimer), Brewster Ames II (Fredd Wane), Three Coyotes (Eddie Smith, Bill Horan, and Joel McConky), Hominy Smith (Kenny Delmar), Dogie Smith (Betty Lou Keim), Amos Hall (Dante Di Paolo), Sherm (Cameron Andrews), Dwayne Fawcet (William Ambler), Branch Pedley (Ray Long), Delia Pratt (Ronnie Hartmann), Red (Merrill Hilton), Jo An Woods and Cheerleader (Elyse Weber), Calico Munson (Dorothy Love), Rebecca Bass (Carol Lee), Sally Tucket (Ruth Ostrander), Sue Crockett (Doris Schmitt), Sara Boone (Arlene Ethane), Belle Cooper (Yvonne Tibor), Sam (Jared Reed), Dallas Smith (Mary Hatcher), Easy Jones (Danny Scholl), Melissa Tatum (Kate Murtah), Stan (Edmund Hall), Herb (Ralph Patterson), Jack Prow (Bob Bernard), Harry Stern (Joey Thomas), Drum Majorette (Jacqueline James), Football Player (Carl Conway), Guard (Ray Long)
Synopsis: Hominy Smith is a grassroots Texas politician who coasts along with an easy lifestyle and not much to worry about politically. All that changes when along comes danger in the form of a crusading veteran. With that as motivation, Smith now considers the possibility of moving up to the presidency.
Songs: "Whoop'in' and a-Hollerin'"; "Texas, L''l Darlin'"; "They Talk a Different Language"; "A Month of Sundays"; "Down in the Valley"; "Hootin' Owl Trail"; "The Big Movie Show in the Sky"; "Horseshoes Are Lucky"; "Love Me, Love My Dog"; "Take a Crank Letter"; "Politics"; "Ride 'em Cowboy"; "Square Dance"; "Affable Balding Me"; "Whichaway'd They Go?"; "It's Good to Be Alive"
Comments: At the time of the opening, Kenny Delmar was at the top of his popularity as Senator Claghorn on Fred Allen's radio show.
*13 DAUGHTERS (March 2, 1961; 54th Street Theatre; 28 performances). Director: Billy Matthews; Composer/Lyricist/Librettist: Eaton Magoon Jr.; Choreographer: Rod Alexander. Don Ameche starred in this musical set in Hawaii about Chun, who has thirteen daughters. According to family tradition, the oldest daughter must be the first to be married; however, Chun's oldest daughter is more interested in missionary work than in wedding bells, so the other girls resolve to remain unmarried.
*THREE WISHES FOR JAMIE (March 21, 1952; Mark Hellinger Theatre; 91 performances). Director: Abe Burrows; Composer/ Lyricist: Ralph Blane; Librettists: Charles O'Neal and Abe Burrows; Choreographers: Herbert Ross, Ted Cappy, and Eugene Loring. Troubles plagued this musical from the start, even though it starred John Raitt as a man granted three wishes by a fairy. New Yorkers found it embarrassingly sentimental.
Tony nominations: Best Scenic Design, Musical (George Jenkins), Best Conductor and Musical Director (Pembroke Davenport)
TOP BANANA (November 1, 1951; Winter Garden Theatre; 350 performances)
Production credits: Producers: Paula Sloane and Mike Stone; Director: Jack Donohue; Composer/Lyricist: Johnny Mercer; Librettist: Hy Kraft; Choreographer: Ron Feitcher
Original cast: Jerry Biffle (Phil Silvers), Jack Albertson (Vic Davis), Sales Girl (Florence Baum), Model (Marion Burke), Announcer (Dean Campbell), Russ Wiswell (Zachary A. Charles), Stagehand and Photogrpaher (Donald Covert), Bubble Girl (Sara Dillon), Cliff Lane (Lindy Doherty), Moe (Herbie Faye), Pinky (Joey Faye), Customer (Joan Fields), Danny (Ed Harley), TV Technician, Photographer, and Singer (Ken Harvey), Mr. Parker (Bradford Hatton), Juggler and Singer (Claude Heater), Script Girl (Eve Hebert), Miss Pillsbury, Customer, and Singer (Betsy Holland), Customer (B. J. Keating), Customer (Douglas Luther), Sally Peters (Judy Lynn), Betty Dillon (Rose Marie), Photogrpaher (Don McKay), Ted Morgan (Ted Morgan), Model and Magician's Assistant (Basha Regis), Tommy (Bob Scheerer), Customer (Laurel Shelby), Widow and Singer (Judy Sinclair), Sales Girl (Joy Skylar), Bubbles (Gloria Smith)
Synopsis: Jerry Biffle (supposedly modeled after Milton Berle) is the star of the Blendo Soap Program. He hires Sally Peters, one of the department store models, because he is told to get a love interest on his show. He falls in love with her, but she falls in love with Cliff Lane, the tenor of his television company, who sings to her over the phone. Uncharacteristically, Biffle helps her find romance with her true love.
Songs: "Man of the Year This Week"; "You're So Beatiful That—"; "Top Banana"; "Elevator Song"; "Only If You're in Love"; "My Home Is in My Shoes"; "I Fought Every Step of the Way"; "O.K. for TV"; "Slogan Song"; "Meet Miss Blendo"; "Sans Souci"; "That's for Sure"; "A Dog Is a Man's Best Friend"; "Word a Day"
Tony Award: Best Actor in a Musical (Silvers)
Comments: This was another show that ended in the red.
TOVARICH (March 18, 1963; Broadway Theatre; 264 performances)
Production credits: Producers: Abel Farbman and Sylvia Harris, in association with Joseph Harris; Director: Peter Glenville; Composer: Lee Pockriss; Lyricist: Anne Croswell; Librettist: David Shaw; Choreographer: Herbert Ross; Original source: Based on Jacques Deval's and Robert E. Sherwood's 1936–1937 hit play
Original cast: Gorotchenko (Alexander Scourby), Vassily (Paul Michael), Mikail (Jean-Pierre Aumont), Admiral Boris Soukhomine (Michael Kermoyan), Count Ivan Shamforoff (Gene Varrone), Baroness Roumel (Katia Geleznova), Marina (Rita Metzger), M. Chauffourier-Dubieff (Doc McHenry), Tatiana (Vivien Leigh), Natalia Mayovskaya (Louise Troy), Helen Davis (Margery Gray), George Davis (Byron Mitchell), Charles Davis (George S. Irving), Grace Davis (Louise Kirtland), Louise (Maggie Task), Ballet Master (Tom Abbott), Nadia (Barbara Monte), Mme. Van Hemert (Pat Kelly), Mme. Van Steuben (Eleonore Treiber), Footman at the Davis Home (Harald Horn), Night Club Singer and General Boruvsky (Dale Malone), Kukla Katusha (Bettye Jenkins), Ivan (William Reilly), Sergei, Prince Ossipovsky, and Dancer (Larry Roquemore)
Synopsis: The prince and grand duchess manage to get out of Russia with four billion francs, but they are broke because the money actually belongs to the czar. So, they take jobs as a butler and maid in an American home. Soviet agents track them down and get the fortune, and the two decide to retain their positions with the American family.
Songs: "Nitchevo"; "I Go to Bed"; "You'll Make an Elegant Butler"; "Stuck with Each Other"; "Say You'll Stay"; "You Love Me"; "Introduction Tango"; "That Face"; "Wilkes-Barre, PA"; "No! No! No!"; "A Small Cartel"; "It Used to Be"; "Kukla Katusha"; "Make a Friend"; "The Only One"; "Uh-Oh!"; "Managed"; "I Know the Feeling"; "All for You"
Tony Award: Best Actress in a Musical (Leigh), Best Featured Actress in a Musical (Troy)
Comments: Most critics thought the work was uninspired, and the show was saved only by the presence of star Vivien Leigh.
A TREE GROWS IN BROOKLYN (April 19, 1951; Alvin Theatre; 270 performances)
Production credits: Producer/Director: George Abbott; Composer: Arthur Schwartz; Lyricist: Dorothy Fields; Librettists: Betty Smith and George Abbott; Choreographer: Herbert Ross; Original source: Based on Betty Smith's novel
Original cast: Willie (Billy Parsons), Allie (Joe Calvan), Hildy (Dody Heath), Della (Beverly Purvin), Petey (Lou Wills Jr.), Katie (Marcia Van Dyke), Aloysius (Jordan Bentley), Johnny Nolan (Johnny Johnston), Aunt Cissy (Shirley Booth), Harry (Nathaniel Frey), Max (Henry Sherwood), Mae (Isabelle Price), Moriarty (Roland Wood), Annie (Claudia Campbell), Girl in Mae's Place and Singer (Joan Kibrig), Old Clothes Man and Judge (Harland Dixon), Florence (Janet Parker), Edgie and Child (Donald Duerr), Francie (Nomi Mitty), Junior (Howard Martin), Swanswine (Albert Linville), Hick (Alan Gilbert), Salesman (Art Carroll), Maudie (Celine Flanagan)
Synopsis: The scene is Brooklyn, New York, around the turn of the twentieth century, and the story concerns star-crossed lovers Katie and Johnny Nolan. Johnny cannot keep a job or stay sober. Katie and Johnny's story is played out against a background of comic Aunt Cissy, who suffers through the tribulations of a bigamous marriage.
Songs: "Payday"; "Mine 'Til Monday"; "Make the Man Love Me"; "I'm Like a New Broom"; "Look Who's Dancing"; "Love Is the Reason"; "Mine Next Monday"; "If You Haven't Got a Sweetheart"; "I'll Buy You a Star"; "That's How It Goes"; "He Had Refinement"; "Growing Pains"; "Is That My Prince?"; "Halloween"; "Don't Be Afraid"
Comments: Shirley Booth stopped the show each night when she sang "He Had Refinement." Although the songs were lovely, some reviewers felt that the musical suffered because the movie verison (1945), starring Dorothy McGuire, Joan Blondell, and James Dean, had been so acclaimed.
THE UNSINKABLE MOLLY BROWN (November 3, 1960; Winter Garden Theatre; 532 performances)
Production credits: Producers: Theatre Guild and Dore Schary; Director: Dore Schary; Composer/Lyricist: Meredith Willson; Librettist: Richard Morris; Choreographer: Peter Gennaro
Original cast: Molly Tobin (Tammy Grimes), Michael Tobin (Sterling Clark), Aloysius Tobin, Wounded Sailor, and Dancer (Bill Starr), Patrick Tobin, Baron of Auld, and Dancer (Bob Daley), Father Flynn, Mr. Wadlington, Singer, and Dancer (Norman Fredericks), Shamus Tobin (Cameron Prud'homme), Brawling Miner and Dancer (Alex Stevens), Brawling Miner, Gitter, and Dancer (Joe Pronto), Charlie (Woody Hurst), Christmas Morgan (Joseph Sirola), Banjo (Billy Faier), Johnny "Leadville" Brown (Harve Presnell), Boy (Paul Floyd), Sheriff (Terry Violino), Mrs. McGlone (Edith Meiser), Monsignor Ryan (Jack Harrold), Roberts (Christopher Hewett), Professor Gardella, Maitre D', and Singer (Dale Malone), Germaine, Saloon Girl, and Dancer (Lynn Gay Lorino), Princess DeLong (Mony Dalmes), Prince DeLong (Mony Daimes), Countess Ethanotous and Singer (Wanda Saxon), Jenab-ashros, Male Passenger, and Singer (Marvin Goodis), Grand Duchess Marie Nicholaiovna and Singer (Patricia Kelly), Count Feranti, Young Waiter, and Singer (Michael Davis), Duchess of Burlingame and Dancer (Barbara Newman), Duke of Burlingame and Dancer (Ted Adkins), Malcolm Broderick and Singer (Barney Johnston), Mrs. Wadlington and Singer (Lynne Osborne), Mother and Singer (Nada Rowand), Singer (June Card)
Synopsis: Molly is sure she is going to be rich one day. Her dream seems to come true when she marries Johnny Brown, a miner who gives her $300,000 from a claim; however, she hides it in an oven and burns it by mistake. The couple moves to Denver, where Molly is snubbed, but they go on to Europe where she becomes the darling of society. They return to Denver, where Molly expects to flaunt herself, but her party is wrecked by Johnny's old mining buddies. So she returns to Europe, but decides to go back to Johnny, taking the Titanic. She is one of the survivors and a heroine.
Songs: "I Ain't Down Yet"; "Belly Up to the Bar, Boys"; "I've Already Started In"; "I'll Never Say No"; "My Own Brass Bed"; "The Denver Police"; "Beautiful, People, of Denver"; "Are You Sure?"; "Happy Birthday, Mrs. J. J. Brown"; "Bon Jour"; "If I Knew"; "Chick-a-Pen"; "Keep-a-Hoppin'"; "Leadville Johnny Brown"; "Up Where the People Are"; "Dolce Far Niente"
Tony Award: Best Featured Actress in a Musical (Grimes)
Comments: The reviews were mixed; one said that Molly "fails to float." Most audience reaction depended on how the theatregoers liked Tammy Grimes in the lead role.
*THE VAMP (November 10, 1955; Winter Garden Theatre; 60 performances). Director: David Alexander; Composer: James Mundy; Lyricist: John Latouche; Librettists: John C. Touche and Sam Locke; Choreographer: Robert Alton. Audiences were unenthusiastic even with Carol Channing, well-known by then for Gentlemen Prefer Blondes, heading the cast. She was Flora Weems, a farm girl from the Bronx who goes on to fame in the early film studios of New York. Critics found nothing exciting about the story, music, or choreography.
Tony nominations: Best Actress in a Musical (Channing), Best Choreography, Conductor and Musical Director (Milton Rosenstock)
WEST SIDE STORY (September 26, 1957; Winter Garden Theatre; 732 performances)
Production credits: Producers: Robert E. Griffith and Harold S. Prince, by arrangement with Roger L. Stevens; Director/Choreographer: Jerome Robbins; Composer: Leonard Bernstein; Lyricist: Stephen Sondheim; Librettist: Arthur Laurents; Original source: Based on a conception of Jerome Robbins
Original cast: Riff (Mickey Calin), Tony (Larry Kert), Action (Eddie Roll), A-Rab (Tony Mordente), Baby John (David Winters), Snowboy (Grover Dale), Big Deal (Martin Charnin), Diesel (Hank Brunjes), Gee-Tar (Tommy Abbott), Mouth Piece (Frank Green), Tiger (Lowell Harris), Graziella (Wilma Curley), Velma (Carole D'Andrea), Minnie (Nanette Rosen), Clarice (Marilyn D'Honau), Pauline (Julie Oser), Anybodys (Lee Becker), Bernardo (Ken Le Roy), Maria (Carol Lawrence), Anita (Chita Rivera), Chino (Jamie Sanchez), Pepe (George Marcy), Indio (Noel Schwartz), Luis (Al De Sio), Anxious (Gene Gavin), Nibbles (Ronnie Lee), Juano (Jay Norman), Toro (Erne Castaldo), Moose (Jack Murray), Rosalia (Marilyn Cooper), Consuela (Reri Grist), Teresita (Carmen Gutierrez), Francisca (Elizabeth Taylor), Estella (Lynn Ross), Marguerita (Liane Plane), Doc (Art Smith), Schrank (Arch Johnson), Krupke (William Bramley), Gladhand (John Harkins)
Synopsis: Two rival gangs, the American Jets and the Puerto Rican Sharks, vie for territory in New York City. Jet member Tony dreams of a life outside of the gangs. At a dance, he meets Maria, sister of the Shark leader Bernardo. They fall in love and plan a life together. But Bernardo is furious when he finds out. A rumble occurs between the two gangs, which Tony tries to stop, but when Bernardo stabs the Jet leader, Riff, Tony kills him. Tony goes to Maria to beg her forgiveness. Chino of the Sharks finds and kills Tony. Marie threatens to kill herself but cannot do it. At the end, both gangs gather around Tony's body to suggest that the feud may be over.
Songs: "Jet Song"; "Something's Coming"; "The Dance at the Gym"; "Maria"; "Tonight"; "America"; "Cool"; "One Hand, One Heart"; "I Feel Pretty"; "Somewhere"; "Gee, Officer Krupke"; "A Boy Like That"; "I Have a Love"; "Taunting"
Tony Award: Best Choreography, Best Scenic Design (Oliver Smith).Tony nominations: Best Musical, Best Featured Actress in a Musical (Lawrence), Best Costume Design (Irene Sharaff), Conductor and Musical Director (Max Goberman)
Comments: This is one of Broadway's best-loved musicals.
WHAT MAKES SAMMY RUN? (February 27, 1964; 54th Street Theatre; 540 performances)
Production credits: Producer: Joseph Cates; Director: Abe Burrows; Composer/Lyricist: Ervin Drake; Librettists: Budd Schulberg and Stuart Schulberg; Choreographer: Matt Mattox; Original source: Based on Budd Schulberg's novel
Original cast: Al Manhaim (Robert Alda), Sammy Glick (Steve Lawrence), O'Brien (Ralph Stantley), Osborn (John Dorrin), Bartender (George Blackwell), Julian Blumberg (George Coe), Rita Rio (Graciela Daniele), Tracy Clark (Richard France), Lucky Dugan (Edward McNally), Sheik Orsini (Barry Newman), Sidney Fineman (Arny Freeman), Kit Sargent (Sally Ann Howes), H. L. Harrington (Walter Klavun), Laurette Harrington (Bernice Massi), Seymour Glick (Mace Barrett)
Synopsis: Sammy Glick is a heel who has made good in the newspaper business by stealing someone else's material. He writes a movie script that gets him to Hollywood, where he is befriended by famous producer Sidney Fineman and loved by secretary Kit Sargent. But in his drive to the top, Sammy maneuvers Fineman out of his job, after which the producer commits suicide. Then, Sammy ditches Kit for Laurette, the daughter of the chairman of the board. They are married, and Sammy learns that his wife is more ruthless than he.
Songs: "A New Pair of Shoes"; "You Help Me"; "A Tender Spot"; "Lites
—Camera—Platitude"; "My Hometown"; "Monsoon"; "I See Something"; "Maybe Some Other Time"; "You Can Trust Me"; "A Room without Windows"; "Kiss Me No Kisses"; "I Feel Humble"; "Something to Live For"; "Paint a Rainbow"; "You're No Good"; "The Friendliest Thing"; "Wedding of the Year"; "Some Days Everything Goes Wrong"
Tony nominations: Best Actor in a Musical (Lawrence), Best Conductor and Musical Director (Lehman Engel)
Comments: Steve Lawrence was a popular nightclub singer at the time the show opened. After five months, attendance began to drop off, as he missed twenty-four performances during a four-month period. The show closed more than $285,000 in the red.
WHERE'S CHARLEY? (October 11, 1948; St. James Theatre; 792 performances)
Production credits: Producers: Cy Feuer and Ernest H. Martin, with Gwen Rickard; Director: George Abbott; Composer/Lyricist: Frank Loesser; Librettist: George Abbott; Choreographer: George Balanchine; Original source: Based on Brandon Thomas's play Charley's Aunt
Original cast: Brassett (John Lynds), Jack Chesney (Byron Palmer), Charley Wykeham (Ray Bolger), Kitty Verdun (Doretta Morrow), Amy Spettigue (Allyn Ann McLerie), Wilkinson (Edgar Kent), Sir Francis Chesney (Paul England), Mr. Spettigue (Horace Cooper), Professor (Jack Friend), Donna Lucia D'Alvadorez (Jane Lawrence), Photographer (James Lane), Patricia (Marie Foster), Reggie (Douglas Deane)
Synopsis: Charley's aunt is a millionairess. She does not arrive at a luncheon that Charley and Jack had planned for their girlfriends; however, when Charley arrives at a student theatrical production decked out in women's clothes, he suddenly finds himself playing the role of his aunt. A mad romp follows as Jack's father is smitten and begins to woo the bogus aunt. All ends well when the masquerade is finally revealed. Charley and Jack get their girls, and Jack's father, Sir Francis Chesney, meets the real Charley's aunt.
Songs: "The Years Before Us"; "Better Get Out of Here"; "The New Ashmolean Marching Society and Students' Conservatory Band"; "My Darling, My Darling"; "Make a Miracle"; "Serenade with Asides"; "Lovelier Than Ever"; "The Woman in His Room"; "Pernambuco"; "Where's Charley?"; "Once in Love with Amy"; "The Gossips"
Tony Award: Best Actor in a Musical (Bolger)
Comments: What was intended as the hit song—"Once in Love with Amy"—did not become one until several weeks after the opening, when Ray Bolger began urging the audience to sing along. Bolger recreated his movie role (1952) in a production that was filmed in England.
*WHOOP-UP (December 22, 1958; Shubert Theatre; 56 performances). Director: Cy Feuer; Composer: Moose Charlap; Lyricist: Norman Gimbel; Librettists: Cy Feuer, Dan Cushman, and Ernest Martin; Choreographer: Onna White. Susan Johnson was bar owner Glenda in this short-lived tale of life on a modern-day (for the time) Native American reservation. A better-than-average score did not save the show.
Tony nominations: Best Featured Actress in a Musical (Julienne Marie), Best Choreography
WILDCAT (December 16, 1960; Alvin Theatre; 171 performances)
Production credits: Producers: Michael Kidd and N. Richard Nash; Director/Choreographer: Michael Kidd; Composer: Cy Coleman; Lyricist: Carolyn Leigh; Librettist: N. Richard Nash
Original cast: Jane Jackson (Paula Stewart), Wildcat Jackson (Lucille Ball), Sheriff Sam Gore (Howard Fischer), Barney and Singer (Ken Ayers), Luke and Dancer (Anthony Saverino), Countess Emily O'Brien (Edith King), Joe Dynamite (Keith Andes), Hank (Clifford David), Miguel (H. F. Green), Sookie (Don Tomkins), Matt (Charles Braswell), Corky (Bill Linton), Oney (Swen Swenson), Sandy (Ray Mason), Tattoo (Bill Walker), Postman (Bill Richards), Inez and Dancer (Marsha Wagner), Blonde (Wendy Nickerson)
Synopsis: Wildcat Jackson convinces the people of Centavo City that she has drilling rights there. Joe Dynamite becomes her foreman, but he gets discouraged when no oil is found. Just when the crew is ready to run out, Wildcat tosses some dynamite into the well and—lo and behold—a gusher. She gets the oil, and she gets Joe.
Songs: "Corduroy Road"; "The Day I Do"; "El Sombrero"; "Give a Little Whistle"; "Hey, Look Me Over"; "One Day We Dance"; "Tall Hope"; "Tippy Toes"; "Wildcat"; "What Takes My Fancy"; "You're a Liar"; "You've Come Home"
Comments: Most reviewers agreed that the only reason to see the show was Lucille Ball. The book was slight and the songs not particularly memorable.
WISH YOU WERE HERE (June 25, 1952; Imperial Theatre; 598 performances)
Production credits: Producers: Leland Hayward and Joshua Logan; Director/Choreographer: Joshua Logan; Composer/Lyricist: Harold Rome; Librettists: Arthur Kober and Joshua Logan; Original source: Based on Arthur Kober's play Having a Wonderful Time
Original cast: Teddy Stern (Patricia Marand), Chick Miller (Jack Cassidy), Fay Fromkin (Sheila Bond), Itchy Flexner (Sidney Armus), Pinky Harris (Paul Valentine), Harry "Muscles" Green (John Perkins), Lou Kandel (Sammy Smith), Herman Fabricant (Harry Clark), Miriam (Nancy Franklin), New Girl (Florence Henderson), Acrobat (Steve Wiland), Girl Diver (Beverly Weston), Eccentric Diver (Joseph Thomas), Seymour's Girl Friend (Nancy Baker)
Synopsis: Life at a Jewish summer camp, complete with swimming pool on stage, focuses on the romance between Teddy Stern and Chick Miller. The social director, Itchy, causes some trouble when he, inadvertantly, gives Chick the idea that Teddy has spent the night with Pinky Harris. All is well in the end.
Songs: "Camp Karefree"; "There's Nothing Nicer Than People"; "Social Director"; "Shopping Around"; "Bright College Days"; "Mix and Mingle"; "Could Be"; "Tripping the Light Fantastic"; "Where Did the Night Go?"; "Certain Individuals"; "They Won't Know Me"; "Summer Afternoon"; "Don Jose"; "Everybody Loves Everybody"; "Wish You Were Here"; "Relax"; "Flattery"
Tony Awards: Best Featured Actress in a Musical (Bond), Stage Technician (Abe Kurnit)
Comments: The show was named for the standard greeting on most postcards of the time.
WONDERFUL TOWN (February 25, 1953; Winter Garden Theatre; 559 performances)
Production credits: Producer: Robert Fryer; Director: George Abbott; Composer: Leonard Bernstein; Lyricists: Betty Comden and Adolph Green; Librettists: Joseph Fields and Jerome Chodorov; Choreographer: Donald Saddler
Original cast: Tour Guide and Associate Editor (Warren Galjour), Greenwich Villager (Joe Layton), Appopolous (Henry Lascoe), Officer Lonigan (Walter Kelvin), Helen (Michele Burke), Wreck (Jordan Bentley), Violet and Greenwich Villager (Dody Goodman), Speedy Valenti (Ted Beniades), Eileen Sherwood (Edith Adams), Ruth Sherwood (Rosalind Russell), Strange Man, Italian Chef, and Policeman (Nathaniel Frey), Drunk, Shore Patrolman, Greenwich Villager, and Policeman (Lee Papell), Drunk, Italian Waiter, Greenwich Villager, and Policeman (Delbert Anderson), Robert Baker (George Gaynes), Associate Editor and Policeman (Albert Linville), Mrs. Wade (Isabella Hoopes), Frank Lippencott (Cris Alexander),Waiter (Delbert Anderson), Delivery Boy (Alvin Beam), Chick Clark (Dort Clark), First Cadet and Greenwich Villager (David Lober), Second Cadet and Greenwich Villager (Ray Dorian), Ruths's Escort, Greenwich Villager, and Policeman (Chris Robinson)
Synopsis: This musical is based on My Sister Eileen, featuring Ruth and sister Eileen who have come to the big city from Ohio. They find a small basement apartment and immediately think about going home. Ruth wants to be a writer and Eileen an actress. Ruth's editor, Robert Baker, tells her to go home. Through many a mishap, Ruth is about to get published, and Eileen gets an offer of a job in a nightclub.
Songs: "Christopher Street"; "Ohio"; "Conquering New York"; "One Hundred Easy Ways"; "What a Waste"; "A Little Bit in Love"; "Pass the Football"; "Conversation Piece"; "A Quiet Girl"; "Conga!"; "My Darlin' Eileen"; "Swing!"; "It's Love"; "Wrong Note Rag"
Tony Awards: Best Musical, Best Actress in a Musical (Russell), Best Choreographer, Best Scenic Design (Raoul Pène Du Bois), Conductor and Musical Director (Lehman Engel)
# 5
## The Golden Age Stars
of Broadway
During the Golden Age of musical theatre in America, countless performers appeared before the footlights. Some made a lasting impression in one performance; others span a lifetime. Musicals, as well as drama, often entice audiences by casting well-known actors in the leading roles. Although in modern times many Broadway actors also have a career in films or television, a number are still primarily stage actors who spend most of their time "on the boards." But the increase in film and television work has led to an easing of the once prominent attitude that stage actors—meaning performers in the so-called legitimate theatre—are of higher quality than those in other acting forms.
Just about anyone involved in a Broadway show belongs to a union or professional/trade organization. Actors, singers, dancers, and members of the chorus belong to the Actors' Equity Association (AEA). Musicians are part of the American Federation of Musicians (AFM). Directors and choreographers are members of the Society of Stage Directors and Choreographers (SSD&C). Playwrights are in the Dramatists Guild; press agents and company managers are part of the Association of Theatrical Press Agents and Managers (ATPAM). Such personnel as stagehands, ushers, or hairdressers belong to locals of the International Alliance of Theatrical Stage Employees (IA). The only theatre group not unionized so far are the casting directors.
Along with memorable directors, composers, lyricists, and choreographers, this section lists some of the brightest, most talented, and/or most remembered stars on Broadway during the twenty-two years of the Golden Age. Tony awards and nominations are listed primarily for Golden Age Broadway musical productions, though many post–Golden Age nominations and awards are also noted.
Actors, Male
ROBERT ALDA (February 26, 1914–May 3, 1986; born Alphonso Giuseppe Giovanni Roberto D'Abruzzo, New York, NY). A singer and dancer in vaudeville, Alda portrayed George Gershwin in the film Rhapsody in Blue (1945) and starred on Broadway in Guys and Dolls (1950) and What Makes Sammy Run? (1964). He was the father of actor Alan Alda and twice appeared with his son on the hit TV show M*A*S*H*. Tony Award: Best Actor in a Musical, Guys and Dolls, 1951.
THEODORE BIKEL (May 2, 1924; born Theodor Meir Bikel, Vienna, Austria). Bikel came to the United States in 1954 and originated the role of Captain von Trapp in The Sound of Music (1959). He was nominated for an Academy Award for his role as the southern sheriff in The Defiant Ones (1958). Tony nomination: Best Featured Actor in a Musical, The Sound of Music, 1959.
LARRY BLYDEN (June 23, 1925–June 6, 1975; born Ivan Lawrence Blieden, Houston, TX). Probably best known for his television work, Blyden appeared on Broadway in a number of roles, including Ensign Pulver in Mister Roberts (1948) and Sammy Fong in Flower Drum Song (1958). He won the Tony for Best Featured Actor in a Musical for the revival of A Funny Thing Happened on the Way to the Forum in 1972 and received a nomination for Best Featured Actor in a Play in 1975 for Absurd Person Singular. He died in an auto accident in Morocco. Tony nomination: Best Actor in a Musical, Flower Drum Song, 1959.
RAY BOLGER (January 10, 1904–January 15, 1987; born Raymond Wallace Bulcao, Dorchester, MA). Bolger's signature work was the part of the Scarecrow in The Wizard of Oz (1939). He also had four Broadway shows to his credit: On Your Toes (1936) and By Jupiter (1942) before the Golden Age, and All American (1962) and Where's Charley (1948), in which he delighted audiences with "Once in Love with Amy." Tony Award: Best Actor in a Musical, Where's Charley?, 1949. Tony nomination: Best Actor in a Musical, All American, 1962
TOM BOSLEY (October 1, 1927–October 19, 2010; born Thomas Edward Bosley, Chicago, IL). Well known for his work in television, Bosley won a Tony for playing the title role in Fiorello! (1959). He also appeared in the Broadway production of Beauty and the Beast (1994) and the Broadway revival of Cabaret (2002). Tony Award: Best Featured Actor in a Musical, Fiorello!, 1960.
EDDIE BRACKEN (February 7, 1915–November 14, 2002; born Edward Vincent Bracken, Astoria, NY). A vaudeville performer at age nine, Bracken began his Broadway musical career in Too Many Girls. After a stint in Hollywood, he returned to the stage for two musicals, Shinbone Alley (1957) and Hello, Dolly! (1964), as well as The Odd Couple (1965) and Sugar Babies (1979).
DAVID BROOKS (October 24, 1917–March 31, 1999; born Portland, OR). Brooks made his Broadway debut in Bloomer Girl (1944) and appeared as Tommy in Brigadoon (1947). He was also featured in a number of Off-Broadway productions.
YUL BRYNNER (July 11, 1920–October 10, 1985; born Yuli Borisovich Brynner, Vladivostok, Russia). Noted for his deep baritone voice and shaved head, Brynner made his mark on both stage and screen (winning an Oscar) in the role of King Mongkut of Siam in The King and I (1951). He played the role 4,626 times during the span of his career. The shaved head, which he adopted for the role and kept afterward, became his trademark. Tony Award: Best Featured Actor in a Musical, The King and I, 1952
RICHARD BURTON (November 10, 1925–August 5, 1984; born Richard Walter Jenkins, Pontrhydyfen, Wales, UK). The twelfth of thirteen children who became the highest-paid actor in Hollywood, Burton made his professional acting career in Liverpool and London. He appeared in both London's West End productions and on Broadway. Married five times, he is probably best known for his two marriages to Elizabeth Taylor and his six nominations for a Best Actor Oscar. He appeared on Broadway in Time Remembered (1958); as King Arthur in Camelot (1960); in Hamlet (1964), which had the longest run of the play in Broadway history (136 shows); in Equus (1976); and in Private Lives (1983), with Taylor. A notoriously heavy drinker, Burton died of a cerebral hemorrhage at his home in Switzerland at the age of fifty-eight. Tony Award: Best Actor in a Musical, Camelot, 1961.
SID CAESAR (September 8, 1922; born Isaac Sidney Caesar, Yonkers, NY). A comedian, actor, and musician, Caesar sang the lead role on Broadway in Little Me. He is best known for his comedy routines with Imogene Coca. Tony nomination: Best Actor in a Musical, Little Me, 1963.
JOHN CARRADINE (February 5, 1906–November 27, 1988; born Richmond Reed Carradine, New York, NY). Carradine began his career as a Shakespearean dramatic actor but is best known for his film work, including ten John Ford productions, and his deep, resonant voice. On Broadway, he appeared in The Duchess of Malfi (1946), The Madwoman of Chaillot (1950), A Funny Thing Happened on the Way to the Forum (1962), and the one-night flop Frankenstein (1981).
JACK CASSIDY (March 5, 1927–December 12, 1976; born John Joseph Edward Cassidy, New York, NY). A Tony winner for She Loves Me (1964), Cassidy got his start in show business from a relative who was a contortionist in the circus. He was married to actress Shirley Jones. Cassidy died when his couch caught fire after he fell asleep with a lit cigarette. Tony Award: Best Supporting Actor in a Musical, She Loves Me, 1964.
SYDNEY CHAPLIN (March 30, 1926–March 3, 2009; born Beverly Hills, CA). Third son of the legendary Charlie Chaplin, Sydney began his acting career in Hollywood but achieved fame on Broadway. He opened in Bells Are Ringing (1956) with Judy Holliday. His second great triumph was in Funny Girl (1964), playing gambler Nick Arnstein opposite Barbra Streisand as Fanny Brice. In both cases, he had problems with his leading ladies, which led to other actors, notably Dean Martin and Omar Sharif, respectively, taking the parts when the musicals were transferred to film. Tony Award: Best Featured Actor in a Musical, Bells Are Ringing, 1957. Tony nomination: Best Actor in a Musical, Funny Girl, 1965.
BOBBY CLARK (June 16, 1888–February 12, 1960; born Robert Edwin Clark, Springfield, OH). Part of the comedy team of Clark & McCullough, after Paul McCullough's death, Clark appeared in two Michael Todd Broadway musicals, Mexican Hayride (1944) and As the Girls Go (1948), as well as in revues. His last Broadway credit was as Mr. Applegate in Damn Yankees (1955).
ROBERT COOTE (February 4, 1909–November 26, 1982; born London, UK). Coote arrived in Hollywood in the late 1930s and also served in the Canadian Air Force during World War II. He is forever remembered as Colonel Pickering, the sidekick of Henry Higgins, in My Fair Lady (1956), which is often referred to as the greatest musical of the Golden Age. He also played in the musical's 1976 revival. Coote died in his sleep at the New York Athletic Club at the age of seventy-three. Tony nomination: Best Featured Actor in a Musical, My Fair Lady, 1957.
HOWARD DA SILVA (May 4, 1909–February 16, 1986; born Howard Silverblatt, Cleveland, OH). Da Silva appeared in the first production of The Cradle Will Rock (1937) and costarred in the 1943 production of Oklahoma!, in which he played Jud Fry. He made several films but was blacklisted in Hollywood in the 1950s and returned to the stage. Tony nomination: Best Featured Actor in a Musical, Fiorello!, 1960.
OSSIE DAVIS (December 18, 1917–February 4, 2005; born Raiford Chatman Davis, Cogdell, GA). The county clerk thought his mother's pronunciation of his initials—R. C.—was "Ossie" and the name stuck. Davis and wife Ruby Dee were awarded the American National Medal of Arts in 1995. They were also honored at the Kennedy Center in 2004 for their lifetime contributions to the performing arts. Tony nomination: Best Featured Actor, Jamaica, 1958.
SAMMY DAVIS JR. (December 8, 1925–May 16, 1990; born Harlem, NY). Billed as the "greatest living entertainer in the world," Davis was the son of a vaudeville star. He could do it all—sing, dance, act, do stand-up, and play musical instruments. Davis starred on Broadway in Golden Boy (1964). A chain smoker, he died of lung cancer at the age of sixty-four. Tony Award: Best Actor in a Musical, Golden Boy, 1965.
ALFRED DRAKE (October 7, 1914–July 25, 1992; born Alfred Capurro, Bronx, NY). One of the musical theatre's most respected actors, Drake created the male leads in Oklahoma! (1943), Kiss Me, Kate (1949), and Kismet (1953). He did not, however, take those roles to Hollywood. He became the highest-paid leading man in Broadway history when he earned $5,000 weekly for Kismet. That distinction lasted until 1959, when Jackie Gleason demanded—and got—$5,050 a week to star in Take Me Along. Pleading a full schedule, Drake turned down the role of the king in The King and I (1951). The lead went to Yul Brynner. Tony Awards: Best Actor in a Musical, Kismet, 1954; Tony nomination: Best Actor in a Musical, Kean, 1962. Special Tony Award for Excellence in the Theatre, 1990.
MAURICE EVANS (June 3, 1901–March 12, 1989; born Maurice Herbert Evans, Rottingdean, UK). A British classical actor, Evans was considered one of the best interpreters of Shakespeare. He received a Tony for producing the Best Play of 1954, The Teahouse of the August Moon. Tony nomination: Best Actor in a Musical, Tenderloin, 1961.
JOSÉ FERRER (January 8, 1912–January 26, 1992; born José Vicente Ferrer de Otero y Cintron, Santurce, Puerto Rico). Actor, director, and producer, Ferrer made his Broadway debut in A Slight Case of Murder (1935) and won a Tony for the drama Cyrano de Bergerac (1946), a role for which he also won the Oscar in 1951. Ferrer also won a Tony in 1952 for directing three plays—The Fourposter, Stalag 17, and The Shrike—the latter earning him another Tony for Best Actor in a Play. He also appeared in the Noël Coward musical The Girl Who Came to Supper (1963). His final stage appearance was in the musical Born Again (1990). Ferrer was married to actress Uta Hagen (1938–1948) and singer Rosemary Clooney (1953–1961, 1964–1966). Tony nomination: Best Musical (Book), Oh Captain, 1958.
JACKIE GLEASON (February 26, 1916–June 24, 1987; born Herbert Walton Gleason Jr., Brooklyn, NY). Gleason was one of early television's biggest stars, noted for his brash humor. The Jackie Gleason Show (1952–1957, 1966–1970) became television's brightest hour in the 1950s. But his most popular character was blustery bus driver Ralph Kramden in The Honeymooners (1955–1956). Gleason also appeared in several Broadway productions, including Follow the Girls (1944); Along Fifth Avenue (1949); and Take Me Along (1959), for which he received the highest weekly salary (see Alfred Drake bio). Tony Award: Best Actor in a Musical, Take Me Along, 1960.
ELLIOT GOULD (August 29, 1938; born Elliott Goldstein, Brooklyn, NY). A prominent film actor of the 1970s, Gould was once on the cover of Time magazine. His Broadway musical credits include Irma La Douce (1960); I Can Get It for You Wholesale (1962), where he met Barbra Streisand, whom he later married; and Drat! The Cat! (1965).
ROBERT GOULET (November 26, 1933–October 30, 2007; born Robert Gerald Goulet, Lawrence, MA). Goulet made several television appearances before he met Alan Lerner and Frederick Loewe, who were looking for someone to play the role of Lancelot in Camelot. Goulet got the part and received favorable reviews when it opened in 1960, especially for the ballad "If Ever I Would Leave You." He also appeared on Broadway in The Happy Time (1968), for which he won a Best Actor Award, Rose Marie (1982), and a revival of La Cage aux Folles (2005). He toured in several musicals, including Carousel. Goulet died in Los Angeles while awaiting a lung transplant.
FRED GWYNNE (July 10, 1926–July 2, 1993; born Frederick Hubbard Gwynne, New York, NY). A talented character actor in many films, Gwynne is best known for his role as Herman Munster in television's The Munsters, (1964–1966). On Broadway he portrayed the pimp Polyte-Le-Mou in Irma La Douce (1960).
BUDDY HACKETT (August 31, 1924–June 30, 2003; born Leonard Hacker, Brooklyn, NY). Known mainly as a nightclub comic with a slightly off-color offering, Hackett appeared in many Hollywood films. His stage highlight during the Golden Age was in the musical The Music Man (1962), where he played Robert Preston's sidekick.
REX HARRISON (March 5, 1908–June 2, 1990; born Reginald Carey Harrison, Lancashire, UK). Harrison attained international fame when he portrayed the king in Anna and the King of Siam (1946), his first American film. In 1949, he won a Tony for Best Actor for Anne of the Thousand Days. But the defining role of his stage career was his portrayal of Professor Henry Higgins in My Fair Lady (1956), for which he received a Tony, as well as an Oscar for the film version. Two of Harrison's five wives were actresses Lilli Palmer and Kay Kendall. He was knighted in 1989. Tony Award: Best Actor in a Musical, My Fair Lady, 1957.
STUBBY KAYE (November 11, 1918–December 14, 1997; born Bernard Katzin, New York, NY). Kaye of the butterball frame kept his real name a secret throughout his career, which began after winning a radio contest in 1939. His big Broadway hit came in 1950, when he played Nicely-Nicely Johnson in Guys and Dolls and sang "Sit Down, You're Rockin' the Boat." He was also a winner as Marryin' Sam in Li'l Abner (1956). He played both roles in film as well.
RICHARD KILEY (March 31, 1922–March 5, 1999; born Richard Paul Kiley, Chicago, IL). Although Kiley is best known for his signature role in the post–Golden Age musical Man of La Mancha (1966), for which he won a Tony, he also appeared in Redhead (1959), for which he also won a Tony, and in No Strings (1962). Tony Award: Best Actor in a Musical, Redhead, 1959. Tony nomination: Best Actor in a Musical, No Strings, 1962.
BERT LAHR (August 13, 1895–December 4, 1967; born Irving Lahrheim, New York, NY). Lahr will forever be remembered as the Cowardly Lion in The Wizard of Oz, but he was no stranger to Broadway. He appeared in eighteen Broadway shows from 1927 through 1964, most notably in the musical Foxy (1964). Tony Award: Best Actor in a Musical, Foxy, 1964.
STEVE LAWRENCE (July 8, 1935; born Sidney Liebowitz, New York, NY). Lawrence and wife Eydie Gorme have been appearing regularly together since they were first seen on Steve Allen's The Tonight Show in the mid-1950s. Among his many musical awards, he was nominated for a Tony for What Makes Sammy Run, for which he also received a Drama Critics Circle Award. Tony nomination: Best Actor in a Musical, What Makes Sammy Run?, 1964.
PAUL LYNDE (June 13, 1926–January 10, 1982; born Paul Edward Lynde, Mount Vernon, OH). Best known for being a regular guest on the game show Hollywood Squares, he also made a hit on Broadway as the befuddled father in Bye Bye Birdie (1960).
RODDY MCDOWALL (September 17, 1928–October 3, 1998; born Roderick Andrew Anthony Jude McDowall, London, UK). One of the few child actors to continue successfully into adulthood, McDowall is best known for his film work, which included How Green Was My Valley (1941), Lassie Come Home (1943), Cleopatra (1963), and The Poseidon Adventure (1972). On stage, he appeared in ten productions, including No Time for Sergeants (1955), Camelot (1960), and The Fighting Cock, for which he won the Tony for Best Featured Actor (1960).
RAY MIDDLETON (February 8, 1907–April 10, 1984; born Raymond Earl Middleton Jr., Chicago, IL). The first actor to play Superman (at the 1939 World's Fair), Middleton spent most of his career on the Silver Screen; however, he costarred with Ethel Merman in the original production of Annie Get Your Gun (1946).
THOMAS MITCHELL (July 11, 1892–December 17, 1962; born Elizabeth, NJ). Actor, playwright, and screenwriter, Mitchell was nominated for an Oscar for his performance in The Hurricane (1937). He was the first person to win an Oscar (Best Supporting Actor in Stagecoach, 1939), an Emmy (Comedy Actor category, 1952), and a Tony. Tony Award: Best Actor in a Musical, Hazel Flagg, 1953.
ROBERT MORSE (May 18, 1931; born Newton, MA). Morse made his Broadway debut with the musical On the Town (1949) and appeared in Say, Darling (1958) and Take Me Along (1958) before his big hit as J. Pierrepont Finch in How to Succeed in Business without Really Trying (1961), for which he won a Tony and then another for the post–Golden Age production of Tru. Tony Award: Best Actor in a Musical, How to Succeed in Business without Really Trying, 1962. His composition of "What Kind of Fool Am I," written with Leslie Bricusse for Stop the World, won the Grammy for Song of the Year in 1963. Tony nomination: Best Actor in a Musical, Take Me Along, 1960
ZERO MOSTEL (February 28, 1915–September 8, 1977; born Samuel Joel Mostel, Brooklyn, NY). Blacklisted by the house of Un-American Activities Committee in the 1950s, Mostel got his nickname from a press agent, who said of the then comedian, "Here's a guy who's starting from nothing." He first appeared on Broadway in 1942 in Café Crown, but he reached star status with his performances in A Funny Thing Happened on the Way to the Forum (1962) and as Tevye the milkman in Fiddler on the Roof (1964). Tony Awards: Best Actor in a Musical, A Funny Thing Happened on the Way to the Forum, 1963; Best Actor in a Musical, Fiddler on the Roof, 1965.
ANTHONY NEWLEY (September 24, 1931–April 14, 1999; born George Anthony Newley, London, UK). Newley had a successful career as a pop music vocalist and in films. His great successes on Broadway were writing and performing in Stop the World—I Want to Get Off (1962) and cowriting music and lyrics with Leslie Bricusse for The Roar of the Greasepaint—The Smell of the Crowd (1965). His composition of "What Kind of Fool Am I," written with Leslie Bricusse for Stop the World, won the Grammy for Song of the Year in 1963. Tony nominations: Best Musical, Best Actor in a Musical, Best Author of a Musical (Book), and Best Composer and Lyricist of a Musical, Stop the World—I Want to Get Off, 1963; Best Composer and Lyricist, The Roar of the Greasepaint—The Smell of the Crowd, 1965, Best Direction of a Musical, The Roar of the Greasepaint—The Smell of the Crowd.
JERRY ORBACH (October 20, 1935–December 28, 2004; born Jerome Bernard Orbach, Bronx, NY). Best known for his role as Detective Lennie Briscoe in the television series Law and Order, Orbach was also an accomplished Broadway and Off-Broadway actor. He first big role was El Gallo in the Off-Broadway, decades-long production of The Fantasticks (1960). He was the replacement for Rome Smith in The Threepenny Opera (1955) and appeared in Carnival (1961) and in a revival of Guys and Dolls (1965). He earned three Tony nominations, winning Best Actor in a Musical for Promises, Promises in 1969. He was a fixture in the Hell's Kitchen section of New York City, and a portion of 53rd Street near Eighth Avenue is renamed Jerry Orbach Way in his honor.
EZIO PINZA (May 18, 1892–May 9, 1957; born Rome, Italy). An outstanding opera singer during the first half of the twentieth century, Pinza is noted for his stage performance opposite Mary Martin in South Pacific (1949). His rendition of "Some Enchanted Evening" made him a matinee idol. He also appeared opposite Florence Henderson in Fanny (1954). Tony Award: Best Actor in a Musical, South Pacific, 1950.
ROBERT PRESTON (June 8, 1918–March 21, 1987; born Robert Preston Meservey, Newton Highlands, MA). Preston mesmerized Broadway audiences as Professor Harold Hill in The Music Man (1957), a feat made all the more remarkable because he had never appeared in a musical nor sung a song on stage until that time. He grew up in Los Angeles and got a contract to Paramount Studio, which dropped his last name. After World War II, he concentrated on theatre in New York City, until the part that immortalized him on Broadway. After The Music Man, he earned two more Best Actor Tony nominations for I Do! I Do (1967) and Mack and Mabel (1975), winning for the former. Tony Award: Best Actor in a Musical, The Music Man, 1958.
JOHN RAITT (January 29, 1917–February 20, 2005; born John Emmett Raitt, Santa Ana, CA). Raitt set the standard for the handsome, strong leading man of the Golden Age. His musicals include Oklahoma! (1943), Carousel (1945), The Pajama Game (1954), Carnival in Flanders (1953), Three Wishes for Jamie (1952), and A Joyful Noise (1966). Father of singer Bonnie Raitt, his only leading role in Hollywood was The Pajama Game (1957), with Doris Day. He toured with Mary Martin in Annie Get Your Gun, and they recreated the roles for television in 1957.
CYRIL RITCHARD (December 1, 1897–December 18, 1977; born Cyril Trimnell-Ritchard, Sydney, New South Wales, Australia). With a career that spanned six decades, Ritchard is probably best remembered as the prancing Captain Hook in Peter Pan (1954), a role he recreated in several film versions. In addition to his success in musicals, Ritchard was nominated twice in 1959 for Best actor and Best Director for The Pleasure of His Company. He also had a long film career and appeared at the Metropolitan Opera in New York City. Tony Award: Best Featured Actor in a Musical, Peter Pan, 1955. Tony nomination: Best Actor in a Musical, The Roar of the Greasepaint—The Smell of the Crowd, 1965
PHIL SILVERS (May 11, 1911–November 1, 1985; born Philip Silver, New York, NY). Multitalented Silvers was a comedian and film and stage actor. He also wrote the lyrics to "Nancy with the Laughing Face," for Frank Sinatra's oldest child. Silvers was seen on Broadway in High Button Shoes (1948), Top Banana (1951), and Do Re Mi (1960), as well as a 1971 revival of A Funny Thing Happened on the Way to the Forum, for which he won his second Tony. His eyeglasses were so much a trademark that he wore them even after he had cataract surgery and implants and no longer needed them. Tony Award: Best Actor in a Musical: Top Banana, 1952. Tony nomination: Best Actor in a Musical, Do Re Mi, 1961.
WALTER SLEZAK (May 3, 1902–April 21, 1983; born Vienna, Austria-Hungary [now Austria]). Known as a portly character film actor in the 1940s, Slezak starred on Broadway in Fanny (1954). In despair over illness, he committed suicide by shooting himself in his Flower Hill, New York, home. Tony Award: Best Actor in a Musical, Fanny, 1955.
RAY WALSTON (December 2, 1914–January 1, 2001; born Herman Walston, New Orleans, LA). Walston made his Broadway debut in a 1945 production of Hamlet but gained success as Satan in Damn Yankees (1955) opposite Gwen Verdon. Both Walston and Verdon won awards and reprised their roles in the film version. Best known for his television roles on My Favorite Martian and Picket Fences, the latter earned Walston consecutive Emmys for Best Supporting Actor in 1995 and 1996. Tony Award: Best Actor in a Musical, Damn Yankees, 1956.
DAVID WAYNE (January 30, 1914–February 9, 1995; born Wayne James McMeekan, Traverse City, MI). Famous for movie and television roles, Wayne was the first to receive a Tony Award for acting in 1947, the first year the Tonys were presented. He went on to win again for Best Actor in a Play for The Teahouse of the August Moon (1954) and was nominated for Best Actor in a Musical in 1968 for The Happy Time. Tony Award: Best Featured Actor in a Musical, Finian's Rainbow, 1947.
Actors, Female
ANNA MARIA ALBERGHETTI (May 15, 1936; born Pesaro, Italy). A child prodigy who performed at Carnegie Hall in New York City at the age of thirteen, Alberghetti appeared in films as a teenager and was twice on the cover of Life magazine. She later appeared in Carnival (1961). Her sister Carla eventually replaced her on Broadway in the role. Tony Award: Best Actress in a Musical, Carnival, 1962.
ELIZABETH ALLEN (January 25, 1929–September 19, 2006; born Elizabeth Ellen Gillease, Fishkill, NY). A former fashion model for the Ford Modeling Agency, Allen was a member of the Helen Hayes Repertory Company and first starred on Broadway in Romanoff and Juliet (1957). She was also known as the "Away We Go" girl on The Jackie Gleason Show, introducing his variety skits each week. Tony nominations: Best Featured Actress in a Musical, The Gay Life, 1962; Best Actress in a Musical, Do I Hear a Waltz?, 1965.
JULIE ANDREWS (October 1, 1935; born Julia Elizabeth Wells, Walton-on-Thames, England). With a long career in films and on stage, Julie Andrews is best known for her portrayal of Eliza Doolittle opposite Rex Harrison in the great Broadway hit My Fair Lady (1956). In 1960, she starred as Queen Guinevere in Camelot opposite Richard Burton. Her work in films and on television has earned her many awards, including the Oscar for Mary Poppins in 1964. She received another nomination for Best Actress in a Musical for Victoria/Victoria (1996) adapted from the film, for which she received an Oscar nomination in 1983. She was made a dame commander of the British Empire in 2000 and was honored at the Kennedy Center in 2001 for her work in performing arts. Tony nominations: Best Actress in a Musical, My Fair Lady, 1957; Best Actress in a Musical, Camelot, 1961.
BEATRICE ARTHUR (May 13, 1922–April 25, 2009; born Bernice Frankel, New York, NY). Bea Arthur took the name of her first husband, Robert Alan Aurthur, and modified it for her stage name. She began her acting career in the 1940s in an Off-Broadway group at the Cherry Lane Theatre. She played Lucy Brown in the Off-Broadway premiere of Threepenny Opera (1954) and Yente the Matchmaker in the premiere of Fiddler on the Roof on Broadway (1964). In 1966 she received the Tony for Best Featured Actress in a Musical for Mame. She also appeared in Woody Allen's The Floating Lightbulb (1981). Arthur is best known for her television portrayals as outspoken liberal in the title character in Maude and Dorothy Zbornak in the highly successful sitcom The Golden Girls, earning Emmys for both shows. In 2002, she returned to Broadway with Bea Arthur on Broadway: Just between Friends.
KAYE BALLARD (November 20, 1925; born Catherine Gloria Balotta, Cleveland, OH). A comedienne and television star, Ballard appeared on Broadway in The Golden Apple (1954), Carnival! (1961), and the revival of The Pirates of Penzance (1981).
ISABEL BIGLEY (February 23, 1926–September 30, 2006; born Bronx, NY). Bigley made her Broadway debut in the chorus of Oklahoma! (1943). She starred in the London production opposite Howard Keel for three years. Bigley was also Sarah Brown in Guys and Dolls (1950), for which she won a Tony. Tony Award: Best Featured Actress in a Musical, Guys and Dolls, 1951.
VIVIAN BLAINE (November 21, 1921–December 9, 1995; born Vivian Stapleton, Newark, NJ). Blaine stopped the show each night as the original long-suffering Miss Adelaide in Guys and Dolls (1950), singing "Miss Adelaide's Lament." She played the same role in the film and as a command performance in London for Queen Elizabeth II. Besides many national tours, she also appeared on Broadway in Hatful of Rain (1955), Say, Darling (1958), Zorba (1968), and Company (1970). In 1952, she appeared on the best-dressed women of America list, along with actresses Ann Sheridan and Betty Furness.
CAROL BRUCE (November 15, 1919–October 9, 2007; born Shirley Levy, Great Neck, NY). A radio and television star as well as a singer, Bruce had a number of stage appearances before her hit as Annie Oakley in a revival of Annie Get Your Gun (1950). She also appeared as Signora Fiora in Do I Hear a Waltz? (1965).
CAROL BURNETT (April 26, 1933; born Carol Creighton Burnett, San Antonio, TX). Actress, comedian, dancer, singer, and writer, Burnett is best known for the award-winning The Carol Burnett Show (1967–1978). She appeared on Broadway in Once upon a Mattress (1959), Fade Out—Fade In (1964), Moon over Buffalo (1995), and Putting It Together (1999). Tony nomination: Best Actress in a Musical, Once Upon a Mattress, 1960.
CAROL CHANNING (January 31, 1921; born Carol Elaine Channing, Seattle, WA). Best known for her unforgettable roles as Lorelei Lee in Gentlemen Prefer Blondes (1949) and as Dolly Levi in Hello, Dolly! (1964), Channing made her stage debut in the chorus of No for an Answer (1941). Her fame was assured when she appeared in Lend an Ear (1948), with a voice that goes from baby squeaks to a baritone. She studied dance and drama at Bennington College before dropping out to head for New York. Noted for her popping eyes and bushy blonde hairdo, Channing is also a film and television star. Tony Awards: Best Actress in a Musical, Hello, Dolly!, 1964; Lifetime Achievement Award, 1995. Tony nomination: Best Actress in a Musical, The Vamp, 1956.
JEAN DARLING (August 23, 1922; born Dorothy Jean LeVake, Santa Monica, CA). A child actress and regular on the Our Gang series, Darling made her Broadway debut as Jean Darling in Count Me In (1942). But the height of her stage career was as Carrie Pipperidge in Carousel (1945), when she appeared in 850 consecutive performances. After retirement, she went to Ireland and has been writing mystery stories.
NANETTE FABRAY (October 27, 1920; born Ruby Bernadette Nanette Fabares, San Diego, CA). Legally deaf since the 1950s, Fabray appeared in such Broadway productions as By Jupiter (1942), Bloomer Girl (1944), High Button Shoes (1947), Love Life (1948), and Mr. President (1962) during the Golden Age. Tony Award: Best Actress in a Musical, Love Life, 1949. Tony nomination: Best Actress in a Musical, Mr. President, 1962.
DOLORES GRAY (June 7, 1924–June 26, 2002; born Chicago, IL). A stage and film actress, Gray appeared on Broadway in Two on the Aisle (1951), Carnival in Flanders (1953), Destry Rides Again (1959), Sherry! (1967), and 42nd Street (1980). She holds a stage record unlikely to be broken for the shortest run in a play that merited a Tony; Carnival in Flanders had only six performances, but Gray won a Tony. Tony Award: Best Actress in a Musical, Carnival in Flanders, 1954. Tony nomination: Best Actress in a Musical, Destry Rides Again, 1960.
CHARLOTTE GREENWOOD (June 25, 1890–December 28, 1977; born Frances Charlotte Greenwood, Philadelphia, PA). A nightclub and high-kick dancer, Greenwood was the original choice for Aunt Eller in the stage version of Oklahoma!, but film commitments gave the part to Betty Garde. She eventually played the role in the 1955 film version. Greenwood originally had a large role in Annie Get Your Gun, but it was toned down considerably at the insistence of star Ethel Merman.
CAROL HANEY (December 24, 1924–May 10, 1964; born in New Bedford, MA). A dancer and choreographer, Haney owned her own dance school before she left high school. She got her start in films when she teamed with Bob Fosse and stopped the show in the movie Kiss Me, Kate (1953). Fosse brought Haney to Broadway to dance a minor role in The Pajama Game (1954). Producer George Abbott was so impressed with Haney that he enlarged her part, and that led to a Tony. Tony Award: Best Featured Actress in a Musical, The Pajama Game, 1954. Tony nominations: Best Choreography, Flower Drum Song, 1959; Best Choreography, Bravo Giovanni, 1963; Best Choreography, Funny Girl, posthumously, 1964.
FLORENCE HENDERSON (February 14, 1934; born Dale, IN). Henderson started her stage career in the touring productions of Oklahoma! and South Pacific and made her Broadway debut in Wish You Were Here (1952). She later played in The Girl Who Came to Supper (1963). She is best known for her television work as Carol Brady on The Brady Bunch, which ran from 1969 until 1974.
JUDY HOLLIDAY (June 21, 1921–June 7, 1965; born Judith Tuvim [Jewish for "holiday"], New York, NY). Holliday's first job after high school was as an assistant switchboard operator at the Mercury Theatre, run by Orson Welles and John Houseman. She opened on Broadway in March 1945 in Kiss Them for Me and played the scatterbrained Billie Dawn in Born Yesterday (1946); she won an Oscar for the film version (1950). In 1956, she starred in The Solid Gold Cadillac and won raves as Ella Peterson in Bells Are Ringing. Holliday died of breast cancer at the age of forty-three. Tony Award: Best Actress in a Musical, Bells Are Ringing, 1957.
CELESTE HOLM (April 29, 1917; born New York, NY). After several mostly short-lived Broadway appearances, Holm was cast as Ado Annie in the smash Oklahoma! (1943) and got raves for her rendition of "I Cain't Say No." She followed that with Bloomer Girl (1944) and then signed a long-term film contract with 20th Century Fox. In 1948, she received a best Supporting Actress Oscar for Gentleman's Agreement and was nominated two more times in 1950 and 1951. She returned to Broadway for two musicals, The Tender Trap (1955) and High Society (1956). In 1977, she turned down the Broadway revival of Oklahoma! because she was wanted for the part of Aunt Eller, not Ado Annie.
LAINIE KAZAN (May 15, 1940; born Lanie Levine, Brooklyn, NY). Kazan's Broadway debut was in The Happiest Girl in the World (1961), followed by Bravo Giovanni (1961). She was Barbra Streisand's understudy in Funny Girl (1964), finally getting on stage eighteen months into the run when Streisand had a sore throat. In 1993 she received a nomination for Best Featured Actress in a Musical for My Favorite Year, recreating her role from the 1982 film.
LISA KIRK (February 25, 1925–November 11, 1990; born Elise Marie Kirk, Charleroi, PA). Kirk played Emily in the original cast of Allegro (1947) but is best known as Bianca in the hit show Kiss Me, Kate (1948). She also introduced Cole Porter's tunes "Why Can't You Behave?" and "Always True to You (in My Fashion)."
ABBE LANE (December 14, 1932; born Abigail Francine Lassman, Brooklyn, NY). Lane's greatest success was as a nightclub singer during the years she was married to bandleader Xavier Cugat (1952–1964). Besides television work, she starred on Broadway opposite Tony Randall in Oh, Captain! (1958).
ANGELA LANSBURY (October 16, 1925; born Angela Brigid Lansbury, Poplar, London, UK). One of the most well-loved ladies of the Broadway theatre, Lansbury began her stage career in the short-lived Anyone Can Whistle (1964) by Stephen Sondheim. Her big triumph came after the Golden Age with Mame (1966), which ran for 1,508 performances. She also starred in the first Broadway revival of Gypsy (1974) and was entrepreneur Mrs. Lovett in Sondheim's ballad opera Sweeney Todd (1979). It was that role, she told Robert Osborne on Turner Classic Movies, for which she would most like to be remembered. Lansbury returned to Broadway after twenty-five years to star in Deuce (2007) with Marian Seldes for a limited run of eighteen weeks. Despite her impressive Broadway career, she is probably best known for her portrayal of Jessica Fletcher in the long-running television mystery series Murder, She Wrote (1984–1996). She also holds the record for most Emmy nominations (twelve) for Best Actress without a single win; she has also never won an Oscar despite three nominations. She became a commander in the Order of the British Empire in 1994, won the National Medal of Arts in 1997, and was honored at the Kennedy Center in 2000 for her contribution to the performing arts. In 2009, Lansbury won her fifth Tony for Blithe Spirit. Tony Awards: Best Actress in a Musical, Mame, 1966; Best Actress in a Musical, Dear World, 1969; Best Actress in a Musical, Gypsy, 1975; Best Actress in a Musical, Sweeney Todd, 1979; Best Featured Actress in a Musical, Blithe Spirit, 2009. Tony nominations: Best Actress in a Play, Deuce, 2007; Best Featured Actress in a Musical, A Little Night Music, 2010
CAROL LAWRENCE (September 5, 1932; born Carol Maria Laraia, Melrose Park, IL). An actress, singer, and dancer, Lawrence created the role of Maria in West Side Story (1957). She also starred on Broadway in Saratoga (1959), Subways Are for Sleeping (1961), I Do! I Do! (1966), and Kiss of the Spider Woman (1993), besides her many television appearances. Tony nomination: Best Featured Actress in a Musical, West Side Story, 1958.
GERTRUDE LAWRENCE (July 4, 1898–September 6, 1952; born Gertrude Alexandria Dagmar Lawrence-Klasen, London, England). Lawrence's last and best-known role was as Anna Leonowens in the original Broadway production of The King and I (1951). She discovered she had cancer early in the stage run and died the following year. She was buried in the pink ball gown she wore for the role when she sang "Shall We Dance?" Her last request before her death was that the name of Yul Brynner, the leading man in the production, be upgraded to share top billing with whom-
ever would play Anna in future performances. Tony Award: Best Actress in a Musical, The King and I, 1952.
MICHELE LEE (June 24, 1942; born Michele Lee Dusick, Los Angeles, CA). Lee launched her career with the Broadway revue Vintage '60 (1960), followed by landing the lead as Rosemary in How to Succeed in Business without Really Trying (1961); she also starred in the 1967 film. Movie and television work followed, and Lee was nominated for a Tony for her work in the post–Golden Age musical Seesaw (1973).
VIVIEN LEIGH (November 5, 1913–July 7, 1967; born Vivian Mary Hartley, Darjeeling, India). Born to a British stockbroker and his wife, Leigh made her professional acting debut in London's West End in 1935 and then alternated between stage and film work. From 1940 to 1960, she was married to noted British actor Laurence Olivier, with whom she appeared in a number of productions. But she will always be remembered as the beautiful and defiant Scarlett O'Hara in Gone with the Wind (1939), for which she won the first of two Academy Awards. Her Broadway stage fame came as Tatiana in Tovarich (1963); the production was poor, but Leigh got the Tony. Tony Award: Best Actress in a Musical, Tovarich, 1963.
ELLA LOGAN (March 6, 1913–May 1, 1969; born Georgina Allan, Glasgow, Scotland). Logan made her debut in London's West End in 1930 and immigrated to the United States, where she sang in various clubs. She also appeared in several Broadway shows but is best known as Sharon McLonergan in Finian's Rainbow (1947), in which she sang the show's most famous song, "How Are Things in Glocca Morra?"
TINA LOUISE (February 11, 1934; born Tatiana Josivovna Chernova Blacker, New York, NY). A model, nightclub singer, and television star, Louise made it to Broadway for her successful role in L'il Abner (1956) as Apassionata Von Climax. Louise is best known for the role of Ginger on the series Gilligan's Island (1964–1967).
MARY MARTIN (December 1, 1913–November 3, 1990; born Mary Virginia Martin, Weatherford, TX). One of the great stars of the musical comedy stage, Martin began her career in 1938 when she sang "My Heart Belongs to Daddy" in the Cole Porter musical Leave It to Me! Although she made ten films for Paramount in four years, the Broadway stage was truly her home. In her role in Peter Pan (1954), Martin, who was then in her forties, began flying around the stage suspended by cables. Her four Tony awards include special recognition in 1948 for the touring production of Annie Get Your Gun. Tony Awards: Best Actress in a Musical, South Pacific, 1950; Best Actress in a Musical, Peter Pan, 1955; Best Actress in a Musical, The Sound of Music, 1960. Tony nomination: Best Actress in a Musical, I Do! I Do!, 1967.
BARBARA MCNAIR (March 4, 1934–February 4, 2007; born Barbara Joan McNair, Chicago, IL). A popular vocalist and entertainer, McNair appeared on Broadway in The Pajama Game (1954); The Body Beautiful (1958); No Strings (1962), replacing the original star Diahann Carroll; and Sophisticated Ladies (1981).
KAY MEDFORD (September 14, 1914–April 10, 1980; born Margaret O'Regin, New York, NY). Roman Catholic, of Irish ancestry, Medford was often amused to be cast as a stereotypical Jewish mother. Beginning as a cabaret performer, she hit Broadway at the age of thirty-seven as Cherry in Paint Your Wagon (1951). She was also seen in Mr. Wonderful (1956); A Hole in the Head (1957); Carousel (1957); Bye Bye Birdie (1960), for which she won the New York Drama Critic's Award; and Funny Girl (1964), for which she snagged a Tony as the mother of Fanny Brice; she played Mrs. Brice in the film version as well. Tony Award: Best Featured Actress, Funny Girl, 1964.
ETHEL MERMAN (January 16, 1908–February 15, 1984; born Ethel Agnes Zimmermann, Astoria, Queens, NY). Beginning with her stage debut in Girl Crazy (1930), Merman was the preeminent star of Broadway musical comedy. No one could belt a song like Merman, even with her untrained voice, and no one could sing "There's No Business Like Show Business" as she did. She took her stage name by removing the first three letters and the last letter of her birth name. Married and divorced four times, her last marriage (to actor Ernest Borgnine) lasted thirty-two days. When she published her autobiography in 1978, her description of the marriage consisted of one blank page. When told she had lost the Tony Award to Mary Martin in The Sound of Music, she said, "You can't buck a nun." Tony Awards: Best Actress in a Musical, Call Me Madam, 1951; Special Tony Award for Lifetime Achievement in the Theatre, 1972. Tony nominations: Best Actress in a Musical, Happy Hunting, 1957; Best Actress in a Musical, Gypsy, 1960.
LIZA MINNELLI (March 12, 1946; born Liza May Minnelli, Los Angeles, CA). Daughter of film superstar Judy Garland and movie director Vincente Minnelli, Liza was practically raised in the MGM studios. She has had a long and varied career despite high profile stays at drug-rehabilitation clinics. Minnelli won an Oscar for Cabaret in 1972 and a Tony for Flora, the Red Menace in 1965. She received a special Tony in 1974 for "adding lustre to the Broadway season." Tony Award: Best Actress in a Musical, Flora, the Red Menace, 1965. Best Actress in a Musical, The Act, 1978. Tony nomination: Best Actress in a Musical, The Rink, 1984.
PATRICIA NEWAY (September 30, 1919; born New York, NY). An opera singer, Neway also taught voice and choir. She won a Tony for her role as the Abbess to Mary Martin in The Sound of Music. Tony Award: Best Featured Actress, The Sound of Music, 1960.
MOLLY PICON (June 1, 1898–April 5, 1992; born Margaret Pyekoon, New York, NY). Picon was a Yiddish icon who entertained audiences for more than seven decades. Her role as Clara Weiss in Milk and Honey (1961) brought her to a far larger audience. Tony nomination: Best Actress in a Musical, Milk and Honey, 1962.
IRENE RICH (October 13, 1891–April 22, 1988; born Irene Luther, Buffalo, NY). This star of silent films and early talkies had one claim to fame on Broadway; she was the first female U.S. president in Bobby Clark's long-running musical As the Girls Go (1948). She retired from screen and stage in 1950.
THELMA RITTER (February 14, 1905–February 5, 1969; born Brooklyn, NY). Known mainly for her film work, she received six Oscar nominations during her career for Best Supporting Actress but never won. She won a Tony, which she shared with costar Gwen Verdon, for New Girl in Town (1957). Tony Award: Best Actress in a Musical (shared with Verdon), New Girl in Town, 1958.
CHITA RIVERA (January 23, 1933; born Dolores Conchita Figueroa del Rivero, Washington, D.C.). Rivera was given a scholarship to the George Balanchine School of American Ballet in 1944; her teachers were Allegra Kent and Maria Tallchief. She landed a role in Call Me Madam (1950), which was followed by other such productions as Guys and Dolls (1950) and Can-Can (1953). But what made her a Broadway star was as the firebrand Anita in West Side Story (1957). (Another Puerto Rican, Rita Moreno, received fame—and an Oscar—for the film version.) In 2003, she played Liliane LaFleur in a revival of Nine, which earned her a nomination for Best Featured Actress in a Musical. In the post Golden Age, Rivera won Tonys for Best Actress in a Musical for The Rink (1984) and Kiss of the Spider Woman (1993). She was nominated for the award five other times for Chicago (1976), Bring Back Birdie (1976), Merlin (1983), Jerry's Girls (1986), and Chita Rivera: A Dancer's Life (2006). In 2003, she played Liliane LaFleur in a revival of Nine, which earned her a nomination for Best Featured Actress in a Musical. Tony nomination: Best Featured Actress in a Musical, Bye Bye Birdie, 1961.
ROSALIND RUSSELL (June 4, 1907–November 28, 1976; born Waterbury, CT). Russell was known mainly as a film actress, but she toured with Bell, Book, and Candle (1951) and won a Tony for Wonderful Town two years later (1953). The musical was based on the same source as her film My Sister Eileen (1942), for which she received an Oscar nomination for her first of four. Tony Award: Best Actress in a Musical, Wonderful Town, 1953. She later received a Tony nomination for Best Actress in a Play for Auntie Mame (1957).
OLGA SAN JUAN (March 16, 1927–January 3, 2009; born Brooklyn, NY). Limited in films by her heavy accent, San Juan appeared on Broadway as one of the leads in Paint Your Wagon (1951).
JEAN STAPLETON (January 19, 1923; born Jeanne Murray, New York, NY). Stapleton (her mother's maiden name) is best known as the long-suffering, devoted wife of Archie Bunker in the television hit sitcom All in the Family, for which she won three Emmys. She began her stage career in the Off-Broadway play American Gothic. She was also featured in several Broadway productions, including Damn Yankees (1955), Bells Are Ringing (1956), Juno (1959), and Funny Girl (1964).
BARBRA STREISAND (April 24, 1942; born Barbara Joan Streisand, Brooklyn, NY). One of the most successful female entertainers in history and one of the all-time best-selling recording artists in the United States, Streisand is a singer, actress, composer, director, and film producer. She has won two Oscars, eight Grammys, four Emmy awards, and a Special Tony. She was inducted as a Kennedy Center honoree in 2008 for her contribution to the performing arts. Streisand made her Broadway debut in I Can Get It for You Wholesale (1962) and went on to star in the hit Funny Girl (1964). Tony nominations: Best Featured Actress in a Musical, I Can Get It for You Wholesale, 1961; Best Actress in a Musical, Funny Girl, 1964.
PAT SUZUKI (September 23, 1934; born Chiyoko Suzuki, Cressey, CA). Suzuki's family was one of many Japanese American families forced to enter internment camps during World War II. She released her first singing album in 1958, which led to a role in Flower Drum Song (1958).
MIYOSHI UMEKI (May 8, 1929–August 28, 2007; born Otarui, Hakkaido, Japan). Umeki traveled with a U.S. Army jazz band in Japan as Nancy Umeki and moved to the United States in 1955. In 1958 she won the Oscar for Best Supporting Actress for Sayonara. Her big hit on Broadway was in Flower Drum Song (1958) as the demure mail order bride. She recreated the role in the film version in 1961. Tony nomination: Best Actress in a Musical, Flower Drum Song, 1958. In 1958 she won the Oscar for Best Supporting Actress for Sayonara.
GWEN VERDON (January 13, 1925–October 18, 2000; born Gwyneth Evelyn Verdon, Culver City, CA). Verdon, a dancer and film and stage actress, spent her early years in rigid leg braces from a case of rickets. After many jobs in the chorus line, she got the second female lead in Can-Can (1953). Considered Broadway's best dancer in the 1950s and 1960s, she is best remembered as Lola in Damn Yankees (1955). She was Charity in Sweet Charity (1966), choreographed by husband Bob Fosse. She also appeared in Chicago (1975) and Dancin' (1978). Upon her death from a heart attack in 2000, the lights of Broadway dimmed in tribute. Tony Awards: Best Actress in a Musical, Damn Yankees, 1956; Best Actress in a Musical, New Girl in Town (shared with Thelma Ritter), 1958; Best Actress in a Musical, Redhead, 1959. Tony nomination: Best Featured Actress in a Musical, Can-Can, 1954. Best Actress in a Musical, Sweet Charity, 1966; Best Actress in a Musical, Chicago, 1976.
NANCY WALKER (May 10, 1922–March 25, 1992; born Anna Myrtle Swoyer, Philadelphia, PA). Although at four feet, ten inches, she was somewhat difficult to cast, Walker was a working actress throughout the 1940s and 1950s, noted for her dry wit. On Broadway she originated the roles of Hildy Eszterhazy in On the Town (1944) and Katey O'Shea in Copper and Brass (1957). Walker made many televisions appearances through the years, most notably as Valene Harper's mother on Rhoda, and received eight Emmy nominations. Tony nominations: Best Actress in a Musical, Phoenix '55, 1956; Best Actress in a Musical, Do Re Mi, 1961.
Directors
GEORGE ABBOTT (June 25, 1887–January 31, 1995; born George Francis Abbott, Forestville, NY). At the University of Rochester, in New York, Abbott wrote his first play, Perfectly Harmless. He wrote The Head of the Family for the Harvard Dramatic Club in 1912. He first appeared on Broadway as an actor in The Misleading Lady (1913). His theatre credits as director beginning in 1926 include Lilly Turner (1932), High Button Shoes (1947), Call Me Madam (1950), The Pajama Game (1954), Fiorello! (1959; 1960 Pulitzer Prize for Drama), and A Funny Thing Happened on the Way to the Forum (1962). His last production as director was Music Is (1976). Abbott was honored at the Kennedy Center in 1982 for his contributions to the performing arts. Tony Awards: Best Musical (Book), The Pajama Game, 1955; Best Musical (Book), Damn Yankees, 1956; Best Musical, Fiorello!, 1960; Best Direction of a Musical, Fiorello!, 1960; Best Direction of a Musical, A Funny Thing Happened on the Way to the Forum, 1963; Lawrence Langer Award, 1976; Special Tony Award on occasion of his 100th birthday, 1987. Tony nominations: Best Musical (Book), New Girl in Town, 1958, Best Direction of a Play, Never Too Late, 1963, Best Direction of a Musical, How Now Dow Jones, 1968.
JOSEPH ANTHONY (May 24, 1912–January 20, 1993; born Milwaukee, WI). Of his many Broadway productions, two were during the Golden Age, The Most Happy Fella (1956) and 110 in the Shade (1963). His first Broadway credit was as author of A Ship Comes In (1934), and his acting roles include Lady in the Dark and Peer Gynt. He was six times nominated for a Tony as best director but never won. Tony nominations: Best Direction of a Musical, The Lark, 1956; Best Direction of a Musical, The Most Happy Fella, 1957; Best Direction of a Play, A Clearing in the Woods, 1957; Best Direction of a Play, The Best Man, 1960; Best Direction of a Play, Rhinoceros, 1961; Best Direction of a Musical, 110 in the Shade, 1964.
PETER BROOK (March 21, 1925; born Peter Stephen Paul Brook, London, UK). Although known mainly for his work in the English theatre, Brook's Broadway musical credits include House of Flowers (1954) and Irma La Duce (1960). He was nominated three times for Best Director of a Play, winning twice for The Persecution and Assassination of Marat . . . (1966) and A Midsummer Night's Dream (1971). Tony nominations: Best Direction of a Play, The Visit, 1959, Best Direction of a Musical, Irma La Douce, 1961.
ABE BURROWS (December 18, 1910–May 17, 1985; born Abram Solman Borowitz, New York, NY). Humorist, author, and director for radio and the stage, Burrows hosted his own radio program in 1948. He attributed his eventual success on the stage to his work under legend George S. Kaufman. Among his many credits are Can-Can (1953) and How to Succeed in Business without Really Trying (1961). He was such a noted script doctor that when a producer got in trouble, the call went out, "Get me Abe Burrows!" His son, James Burrows, has been nominated for more than 40 Emmys, winning 10 for directing and producing such shows as Taxi, Cheers, Frasier, and Will and Grace. Tony Awards: Best Musical (Book), Guys and Dolls, 1951; Best Musical (Book), How to Succeed in Business without Really Trying, 1962; Best Author of a Musical, How to Succeed in Business without Really Trying; Best Direction of a Musical, How to Succeed in Business without Really Trying, 1962.
PETER COE (April 11, 1929–May 25, 1987; born London, England). Coe's career peak was in 1961, when three plays he directed ran simultaneously in London's West End: The Miracle Worker, The World of Suzie Wong, and Oliver! He is best known to American audiences for directing Oliver! It opened on Broadway in 1963 and ran for 775 performances at the Imperial and Shubert theatres, before going on a national tour. It reopened at the Martin Beck in 1965 and was revived in 1984 at the Mark Hellinger, again under Coe's direction. In 1981 he received a Tony nomination for best Direction of Play for a Life. Coe died in London as the result of an auto accident in 1987. Tony nomination: Best Direction of a Musical, Oliver!, 1963
MORTON DACOSTA (March 7, 1914–January 29, 1989; born in Philadelphia, PA). DaCosta started his career as a stage actor in 1942 and gained fame as director for The Music Man. Tony nomination: Best Direction of a Musical, The Music Man, 1958.
CY FEUER (January 15, 1911–May 17, 2006; born Seymour Arnold Feuer, Brooklyn, NY). Feuer once worked as a trumpet player in Radio City Music Hall. Winner of four Tonys as a producer, he was also nominated twice for a Tony for best direction. Tony Awards: Best Musical, Guys and Dolls, 1951; Best Musical, How to Succeed in Business without Really Trying, 1962; Best Producer of a Musical, How to Succeed in Business without Really Trying, 1962; Special Tony for Lifetime Achievement in the Theatre, 2003. Tony nominations: Best Direction of a Musical, Little Me, 1963; Best Musical, Skyscraper, 1966; Best Direction of a Musical, Skyscraper; Best Musical, Walking Happy, 1967.
MOSS HART (October 24, 1904–December 20, 1961; born New York, NY). Hart suffered with bouts of depression throughout his adult life. His play Merrily We Roll Along, which he cowrote with George S. Kaufman, was adapted into a 1982 Broadway show by Stephen Sondheim. It subsequently received the Laurence Olivier Theatre Award in 2001. Hart's face appeared on a thirty-seven-cent stamp in 2004. The last show he directed was Alan Jay Lerner's and Frederick Loewe's Camelot (1960). Tony Award: Best Direction of a Musical, My Fair Lady, 1957.
GARSON KANIN (November 24, 1912–March 13, 1999; born Rochester, NY). A noted American writer and director of plays and films, Kanin collaborated with his wife, Ruth Gordon, on many film classics, such as Adam's Rib and Pat and Mike. He wrote and staged the comedy Born Yesterday (1946), which ran for 1,642 performances. He directed The Diary of Anne Frank (1955), for which he received a Tony nomination for Best Director, and the Golden Age musical Funny Girl (1964). Tony nominations: Best Musical (Book), Do Re Mi, 1961; Best Direction of a Musical, Do Re Mi.
GEORGE S. KAUFMAN (November 16, 1889–June 2, 1961; born Pittsburgh, PA). Kaufman was known as a director, playwright, producer, humorist, and drama critic for the New York Times. His Broadway debut was Someone in the House, written in 1918 with Larry Evans and W. C. Percival. It was panned; however, from 1921 through 1958, a play written by Kaufman appeared in every Broadway season. He was very successful with two productions, The Cocoanuts (1925) and Animal Crackers (1928), for the Marx Brothers. Kaufman wrote very few plays alone; his most successful collaborations were with Moss Hart, including You Can't Take It with You (1936), which won the Pulitzer Prize for Drama in 1937. His big Broadway success was Guys and Dolls (1950), which he directed but did not write. Tony Award: Best Direction of a Musical, Guys and Dolls, 1951.
WALTER KERR (July 8, 1913–October 9, 1996; born Walter Francis Kerr, Evanston, IL). Best known as a writer for the New York Times and a producer, Kerr also directed Goldilocks (1958) on Broadway. The theatre on West 48th Street is named for him.
ARTHUR LAURENTS (July 14, 1918; born Brooklyn, NY). Also a playwright, novelist, screenwriter, and librettist, he wrote his first play, Home of the Brave, in 1945. His several books for musicals include West Side Story (1957), Anyone Can Whistle (1964), and Do I Hear a Waltz? (1965). Among his film credits are The Snake Pit and Alfred Hitchcock's Rope. His productions as director include I Can Get It for You Wholesale (1962), La Cage aux Folles (1983), and the 2009 revival of West Side Story. He won for Best Director of a Musical in 1975 for Hallelujah, Baby! and in 1984 for the stage adaptation of La Cage aux Folles and was twice nominated for Best Director of a Musical for revivals of Gypsy in 1975 and 2008. Tony nominations: Best Musical (Book), West Side Story, 1958; Best Musical (Book), Gypsy, 1960.
JOSHUA LOGAN (October 5, 1908–July 12, 1988; born Joshua Lockwood Logan III, Texarkana, TX). A Princeton graduate, Logan began his Broadway career as an actor in Carry Nation (1932). After spending time in London and Hollywood, he directed On Borrowed Time (1938) on Broadway and later in 1938 directed his first big success, I Married an Angel. After World War II, he shared the 1950 Pulitzer Prize for Drama with Richard Rodgers and Oscar Hammerstein II for cowriting South Pacific (1955). Somehow his name was omitted, and at first the Pulitzer committee gave the prize only to Rodgers and Hammerstein. In his autobiography in 1976, he admitted to having bipolar disorder. He won three Tonys in 1948 for Mister Roberts: Best Direction, Best Play, and Best Author (the latter two shared with Thomas Heggen). He won another Best Director Tony in 1953 for Picnic, and received a nomination for Best Play in 1959 by coproducing Epitaph for George Dillon. Tony Awards: Best Direction of a Musical, South Pacific, 1950; Best Musical, South Pacific, 1950; Best Producer of a Musical, South Pacific; Best Libretto (shared with Oscar Hammerstein), South Pacific. Tony nominations: Best Direction of a Musical, All American, 1962.
HAROLD PRINCE (January 30, 1928; born Harold Smith Prince, New York, NY). Prince is associated with many of the best-known Broadway musicals of the second half of the twentieth century, both as director and producer. He began work as an assistant to director George Abbott and later produced The Pajama Game (1954) with him. After a string of failures, he hit success with Cabaret (1966) and then joined forces with composer/lyricist Stephen Sondheim, resulting in a string of hits that included Company (1970), A Little Night Music (1973), and Sweeney Todd (1979). Prince's post–Golden Age awards include Best Musical, Cabaret (1967), Best Direction of a Musical, Cabaret (1967), Best Musical, Company (1971), Best Direction of a Musical, Company (1971), Best Direction of a Musical, Follies (1972), Best Musical, A Little Night Music (1973), Best Direction of a Musical, Candide (1974), Best Direction of a Musical, Sweeney Todd (1979), Best Direction of a Musical, Evita (1980), Best Direction of a Musical, The Phantom of the Opera (1988), Best Direction of a Musical, Show Boat (1995). Prince also received a Special Award for Candide (1974) and one for Lifetime Achievement in the Theatre in 2006.
He received nominations for Best Musical, Zorba (1967), Best Direction of a Musical, Zorba (1969), Best Musical, Follies (1972), Best Direction of a Musical, A Little Night Music (1973), Best Musical, Pacific Overtures (1976), Best Direction of a Musical, Pacific Overtures (1976), Best Musical, Side by Side by Sondheim (1977), Best Direction of a Musical, On the Twentieth Century (1978), Best Musical, Grind (1985), Best Direction of a Musical, Grind (1985), Best Direction of a Musical, Kiss of the Spider Woman (1993), Best Direction of a Musical, Parade (1999). Tony Awards: Best Producer of a Musical, The Pajama Game, 1954; Best Producer of a Musical, Damn Yankees, 1955; Best Producer of a Musical, She Loves Me, 1963; Best Producer of a Musical, A Funny Thing Happened on the Way to the Forum, 1963; Best Musical, Fiddler on the Roof, 1965; Best Direction of a Musical, Fiddler on the Roof; Best Producer of a Musical, Fiddler on the Roof. Tony nominations: Best Musical, West Side Story, 1958; Best Musical, New Girl in Town 1958; Best Musical, Little Me, 1964; Best Direction of a Musical, Little Me; Best Producer of a Musical, Little Me
BRETAIGNE WINDUST (January 20, 1906–March 18, 1960; born Ernest Retaigne Windust, Paris, France). Windust moved to the United States in 1920 and attended Columbia University and Princeton. His first major production as a theatre director was Eugene O'Neill's Strange Interlude (1932). His first major hit on Broadway was directing Life with Father (1939), which ran for 3,224 performances, a record for many years. Windust's claim to fame in the Golden Age was as director of the much acclaimed Finian's Rainbow (1947).
Composers and Lyricists
RICHARD ADLER (August 3, 1921; born New York, NY). After serving in the U.S. Navy, Adler teamed with Jerry Ross in 1950. Their first major hit was "Rags to Riches," recorded by Tony Bennett. Their first big success on Broadway was The Pajama Game (1954), which was followed a year later by another hit, Damn Yankees (1955). After Ross's early death in 1955, Adler composed alone and with other partners. His last Broadway musical was Music Is (1976). Tony Awards: Best Musical, The Pajama Game, 1955 (Music and Lyrics with Ross); Best Musical and Lyrics (Music with Ross), Damn Yankees, 1956. Tony nomination: Best Composer (Music and Lyrics), Kwamina, 1962.
LEROY ANDERSON (June 29, 1908–May 18, 1975; born Cambridge, MA). Schooled at the New England Conservatory of Music and a Harvard University graduate, Anderson started his song-writing career in 1946 with "Sleigh Ride." By 1952, he was established as a noted American composer of light concert music. His one try at musical theatre resulted in Goldilocks (1958). The reviews were scathing, but his score was praised.
HAROLD ARLEN (February 15, 1905–April 23, 1986; born Hyman Arluck, Buffalo, NY). A noted composer of twentieth-century popular music, Arlen wrote more than 400 songs for Broadway, films, and the Cotton Club, a popular Harlem night spot in the 1930s. While working in New York in the early 1920s as an accompanist in vaudeville, he changed his name to Arlen. His first well-known song was "Get Happy" (1929), with lyrics by Ted Koehler. In California in 1938, he teamed with lyricist Yip Harburg to write one of the all-time popular tunes, "Over the Rainbow," which won them an Oscar for Best Original Song. Arlen's Broadway contributions include the Golden Age musicals Bloomer Girl (1944), Jamaica (1957), and Saratoga (1959). Tony nomination: Best Musical (Music), Jamaica, 1957.
IRVING BERLIN (May 11, 1888–September 22, 1989; born Israel Isidore Baline, either in Belarus or Ryumen, Russia). One of America's most prolific songwriters, Berlin wrote both lyrics and music. Composer of more than 3,000 songs, he wrote 17 film scores and 31 scores for Broadway. "Alexander's Ragtime Band" (1911) launched his career. While in the U.S. Army in World War I, he staged a musical revue, Yip Yip Yaphank. The song he composed for it, "God Bless America," was not released until years later and became one of the most widely known songs in the country. Besides revues, Berlin wrote book shows as well, such as The Cocoanuts (1925) and Face the Music (1932). His most successful Broadway production was Annie Get Your Gun (1946). He was called in after Jerome Kern died suddenly. This is considered his best theatre score, but he almost left out the showstopper, "There's No Business Like Show Business," because he thought—wrongly—that Richard Rodgers and Oscar Hammerstein II did not like it. His second greatest success was Call Me Madam (1950). He won the Academy Award for "White Christmas" and received eight more Oscar nominations, two for Original Story. Tony nomination: Best Original Score, Call Me Madam, 1951.
LEONARD BERNSTEIN (August 25, 1918–October 14, 1990; born Lawrence, MA). Composer, conductor, author, pianist, and lecturer, Bern-
stein was a Harvard graduate who is probably best known as the longtime music director of the New York Philharmonic Orchestra and for writing the music for West Side Story (1957). He began at the Philharmonic in 1958 and held the post until 1969. His other principal works for the musical theatre include On the Town (1944), Wonderful Town (1953), 1600 Pennsylvania Avenue (1976), The Madwoman of Central Park West (1979), and The Race to Urgo (1987). In 1969 he received a Special Award Tony. Tony Award: Best Musical, Wonderful Town, 1953. Tony nominations: Best Musical (Music), Candide, 1957; Best Musical (Music), West Side Story, 1957.
JERRY BOCK (November 23, 1928–November 3, 2010; born Jerrold Lewis Bock, New Haven, CT). Inducted into the Songwriters Hall of Fame in 1972, Bock won four Tonys and was nominated for a Tony for three other productions. He is especially known for the scores of Fiorello! and Fiddler on the Roof. He received three Tony nominations in 1967 for The Apple Tree and another in 1971 as Best Composer and Lyricist for The Rothschilds. Tony Awards: Best Musical (Music), Fiorello!, 1960; Best Musical (Music), Fiddler on the Roof, 1965; Best Composer and Lyricist, Fiddler on the Roof, 1965. Tony nominations: Best Musical (Music), She Loves Me, 1964.
SAMMY CAHN (June 18, 1913–January 15, 1993; born Samuel Cohen, New York, NY). Although best known for his film work—Oscars for "Three Coins in the Fountain" (1954) and "All the Way" (1957), among others—songwriter Cahn also had success with the Golden Age production of High Button Shoes (1947). He received three Tony nominations for his work after the Golden Age, including Skyscraper (1966) and Walking Happy (1967), both with Jimmy Van Heusen.
CY COLEMAN (June 14, 1929–November 18, 2004; born Seymour Kaufman, New York, NY). Known for such songs as "Big Spender" and "Hey, Look Me Over," Coleman gave his first piano recital at age six in Town Hall, New York City. He wrote the Broadway scores for Wildcat (1960), Little Me (1962), and Sweet Charity (1966). He received several post-Golden Age nominations, including two for Sweet Charity (Best Musical-Music, Best Composer and Lyricist), Seesaw (Best Original Score, 1974), I Love My Wife (Best Original Score, 1977), two for Barnum (Best Musical, Best Original Score, 1980), and three for The Life (Best Musical, Best Original Score, Best Book, 1997). He won Best Original Score Tonys for On the Twentieth Century in 1978, City of Angels in 1990, and The Will Rogers Follies in 1991. On November 19, 2004, the lights of Broadway dimmed in his honor. Tony nominations: Best Composer, Little Me, 1963. Best Musical (Music), Little Me, 1963.
BETTY COMDEN AND ADOLPH GREEN (Comden: May 3, 1915–November 23, 2006; born Elizabeth Cohen, New York, NY. Green: December 2, 1914–October 23, 2002; born Bronx, NY). Comden and Green were a famed songwriting team who won seven Tony awards from 1953 to 1991. Their collaboration was so well known and so close that many thought they were married, which they were not. They met in 1938 when Comden was studying drama at New York University. Their first try at Broadway was On the Town (1944), for which they were both lyricists and librettists, with Leonard Bernstein as composer. Among their great triumphs are both the Broadway and television Mary Martin versions of Peter Pan. Post–Golden Age wins included Best Musical (Lyrics) and Best Composer and Lyricist for Hallelujah, Baby!, Best Musical (Book) for Applause (1970), Best Book of a Musical and Best Original Score (Lyrics) for On the Twentieth Century in 1978, and Best Original Score (Lyrics) for The Will Rogers Follies in 1991. The also received nominations for Best Book of a Musical and Best Original Score (Lyrics) for A Doll's Life in 1983 and Best Book of a Musical for Singin' in the Rain in 1986. They were honored by the Kennedy Center in 1991 for their lifetime contributions to the performing arts. Tony Award: Best Musical (Best Lyrics), Wonderful Town, 1953. Tony nominations: Best Musical (Book), Bells Are Ringing, 1957); Best Musical (Lyrics), Bells Are Ringing; Best Musical (Lyrics), Do Re Mi, 1961.
NOËL COWARD (December 16, 1899–March 26, 1973; born Noël Peirce Coward, Teddington, UK). Noted for his wit and flamboyance, Coward was a playwright, director, actor, and singer, in addition to composer, such as for Sail Away (1961) and The Girl Who Came to Supper (1963) during the Golden Age. In 1970 he received a Special Award Tony for "his multiple and immortal contributions to the theatre." Tony nominations: Best Direction (Musical), High Spirits, 1964; Best Author (Musical), The Girl Who Came to Supper, 1964.
DUKE ELLINGTON (April 29, 1899–May 24, 1974; born Edward Kennedy Ellington, Washington, D.C.). One of the most influential figures in jazz and one of the twentieth century's best-known African American celebrities, the Duke's only Broadway musical was Beggar's Holiday (1946). An award-winning revue, Sophisticated Ladies (1981) contained many of the tunes he made famous.
SAMMY FAIN (June 17, 1902–December 6, 1989; born Samuel E. Feinberg, New York, NY). With Irving Kahal, Fain wrote such classic songs as "Let a Smile Be Your Umbrella." His credits on Broadway during the Golden Age include Flahooley (1951) and Ankles Aweigh (1955).
DOROTHY FIELDS (July 15, 1905–March 28, 1974; born Allenhurst, NJ). Fields wrote more than 400 songs for Broadway and Hollywood. In 1961, she won an Oscar with Jerome Kern for Best Song for "The Way You Look Tonight." In the 1940s, she teamed with her brother Herbert as librettists for three Cole Porter shows: Let's Face It! (1941), Something for the Boys (1943), and Mexican Hayride (1944). They were also the librettists for Annie Get Your Gun (1946). Her biggest success in the 1950s was Redhead, which won five Tonys, including Best Musical. She collaborated with Cy Coleman in the 1960s for Sweet Charity and then Seesaw in 1973. From that came her last great hit, "It's Not Where You Start, It's Where You Finish." She received post–Golden Age nominations for Best Composer and Lyricist (Lyrics) for Sweet Charity in 1966 and Best Original Score (Lyrics) for Seesaw in 1974. Tony Award: Best Lyrics, Redhead, 1959; Best Musical (Book), Redhead, 1959.
MORTON GOULD (December 10, 1913–February 21, 1996; born Richmond Hill, NY). Recognized early on as a child prodigy, Gould won the 1995 Pulitzer Prize for Drama for Stringmusic and was honored by the Kennedy Center in 1994 for his lifetime contributions to the performing arts. His Broadway scores include Billion Dollar Baby (1945) and Arms and the Girl (1950).
ADOLPH GREEN. See BETTY COMDEN AND ADOLPH GREEN.
OSCAR HAMMERSTEIN II (July 12, 1895–August 23, 1960; born Oscar Greeley Clendenning Hammerstein II, New York, NY). Half of the famous Rodgers and Hammerstein team on Broadway, Oscar studied law at Columbia University until he left school to join Otto Harbach for his first musical Always You in 1921. Hammerstein teamed with many other composers through the years, including Jerome Kern; their biggest hit was Show Boat (1927). His first collaboration with Richard Rodgers was the opener for the Golden Age musical Oklahoma! (1943). They went on to such great successes as South Pacific (1949) and The King and I (1951). Hammerstein died of stomach cancer shortly after the opening of The Sound of Music (1960). Tony Awards: Best Producer of a Musical, South Pacific, 1950; Best Libretto, South Pacific; Best Musical, South Pacific, 1950; Best Musical, The King and I, 1952; Best Musical, The Sound of Music, 1960. Tony nominations: Best Musical, Pipe Dream, 1956; Best Musical, Flower Drum Song, 1957; Best Lyrics Collaboration, Flower Drum Song, 1959; Best Original Score (Lyrics), State Fair, 1966.
E. Y. HARBURG (April 8, 1896–March 4, 1981; born Isidore Hochberg, New York, NY). Known as Edgar Yip Harburg, his nickname was Yipsel, shortened to Yip. He is best known for writing the lyrics to The Wizard of Oz, for which he won an Oscar with Harold Arlen. His musical Broadway credits include Bloomer Girl (1944); the hit Finian's Rainbow (1947), which was one of the first Broadway musicals with an integrated chorus line; Flahooley (1951); Jamaica (1957), featuring Lena Horne; and The Happiest Girl in the World (1961). Tony nomination: Best Musical, Jamaica, 1958.
SHELDON HARNICK (April 30, 1924; born Sheldon Mayer Harnick, Chicago, IL). Inducted into the Songwriters Hall of Fame in 1972 with his partner, Jerry Bock, Harnick won three Tonys and was nominated for five others. Tony Awards: Best Musical, Fiorello!, 1960; Best Musical (Lyrics), Fiddler on the Roof, 1965; Best Composer and Lyricist, Fiddler on the Roof, 1965. Along with Bock, he received three Tony nominations in 1967 for The Apple Tree and another in 1971 as Best Composer and Lyricist for The Rothschilds. He also received a Best Original Score nomination for Cyrano-The Musical in 1994. Tony nominations: Best Musical (Lyrics), She Loves Me, 1964; Best Composer and Lyricist, Fiddler on the Roof, 1965.
JERRY HERMAN (July 10, 1931; born Gerald Herman, New York, NY). Herman first became involved in musical productions at a camp in the Berkshires. After graduating from the University of Miami, he moved to New York City and produced an Off-Broadway revue called I Feel Wonderful. His Broadway debut came in 1960 with the revue From A to Z. His first full musical was Milk and Honey (1961). Then came the hits Hello, Dolly! (1964) and Mame (1966), the latter bringing him nominations for best Musical and Best Composer and Lyricist. These were followed by Dear World (1969), Mack & Mabel (1974), The Grand Tour (1979), and another big hit, La Cage aux Folles (1983). The Grand Tour brought him nominations for Best Original Score as composer and lyricist, and he won in the same category for La Cage. He is the first composer/lyricist with three musicals that ran more than 1,500 performances on Broadway: Hello, Dolly!, 2,844; Mame, 1,508; La Cage aux Folles, 1,761. In 2009 he received a Special Award for Lifetime Achievement. Tony Awards: Best Composer and Lyricist, Hello, Dolly!, 1964. Tony Awards: Best Musical (Music and Lyrics), Hello Dolly!, 1964. Tony nominations: Best Composer, Milk and Honey, 1962; Best Musical (Music and Lyrics), Milk and Honey, 1962.
BURTON LANE (February 2, 1912–January 5, 1997; born Burton Levy, New York, NY). Lane composed such popular songs as "How Are Things in Glocca Morra?," from Finian's Rainbow (1947), for which he wrote the score. He also composed the score for On a Clear Day You Can See Forever (1965), which earned him a nomination for best Composer and Lyricist. He also received a Best Original Score nomination for Carmelina in 1979.
JACK LAWRENCE (April 7, 1912–March 16, 2009; born New York, NY). Lawrence wrote the lyrics for "Tenderly," which became one of Rosemary Clooney's trademark songs. His Broadway lyrics include those for Courtin' Time (1951) and I Had a Ball (1964).
ALAN JAY LERNER AND FREDERICK LOEWE (Lerner: August 31, 1918–June 14, 1986; born New York, NY. Loewe: June 10, 1901–February 14, 1988; born Berlin, Germany). One of Broadway's most respected musical teams, Lerner and Loewe's Broadway musicals include Life of the Party (1942), Brigadoon (1947), Paint Your Wagon (1951), My Fair Lady (1956), Camelot (1960), and Gigi (1973). They also collaborated on the film version of Gigi (1958), which won nine Oscars and later earned them a Best Original Score Tony in 1974 for the stage version. The two met in 1942 at the Lambs Club, a hangout for theatre people. My Fair Lady was their crowning Broadway achievement. It set a record at the time for the longest original run of any musical production in London or New York City. It was translated into eleven languages, toured the country for several years, and was revived several times. After Loewe's retirement, Lerner collaborated with several other composers on Broadway, such as Burton Lane for On a Clear Day You Can See Forever (1965), but never to the level of success he achieved with Loewe. However, Lerner did receive Tony nominations for On a Clear Day You Can See Forever (1965), Coco (1970), and Carmelina, (1979). Tony Awards: Best Musical, My Fair Lady, 1957.
FRANK LOESSER (June 29, 1910–July 26, 1969; born Frank Henry Loesser, New York, NY). Composer and lyricist, Loesser wrote "Praise the Lord and Pass the Ammunition" (1942), the first time that he wrote both the melody and lyrics. Besides composing for the movies and Tin Pan Alley, Loesser has several musicals to his credit, including Where's Charley? (1948), Guys and Dolls (1950), The Most Happy Fella (1956), Greenwillow (1960), How to Succeed in Business without Really Trying (1961), and Pleasures and Palaces (1965). Tony Awards: Best Musical (Music and Lyrics), Guys and Dolls, 1951; Best Musical (producer: Frank Productions), The Music Man, 1958. Tony nominations: Best Musical (Book, Music, and Lyrics), The Most Happy Fella, 1957; Best Composer, How to Succeed in Business without Really Trying, 1962; Best Musical, How to Succeed in Business without Really Trying, 1962.
FREDERICK LOEWE. See ALAN JAY LERNER AND FREDERICK LOEWE.
HUGH MARTIN (August 11, 1914; born Birmingham, AL). Best known for his score in the classic 1944 MGM musical Meet Me in St. Louis, Martin wrote the music for five Broadway musicals, including Best Foot Forward (1941), Look Ma, I'm Dancin'! (1948), Make a Wish (1951), High Spirits (music and lyrics with Timothy Gray, 1964), and Meet Me in St. Louis (1989) , the last of which earned him a Tony nomination for Best Score. He also appeared on Broadway as a performer in Where Do We Go from Here (1938) and Louisiana Purchase (1940). Tony nominations: Best Musical, High Spirits, 1964; Best Composer and Lyricist, High Spirits.
JIMMY MCHUGH (July 10, 1893–May 23, 1969; born James Francis McHugh, Boston, MA). McHugh's first Broadway score was for Blackbirds (1928), but he later returned to Broadway for As the Girls Go (1948). His long Hollywood career produced such memorable tunes as "I'm in the Mood for Love" and "A Lovely Way to Spend an Evening."
BOB MERRILL (May 17, 1921–February 17, 1998; born Henry Levan, Atlantic City, NJ). Merrill's many song hits include "If I Knew You Were Comin' Id've Baked a Cake," and "Love Makes the World Go Round." He made his Broadway debut in 1957 with New Girl in Town, but his greatest success was with Barbra Streisand in Funny Girl (1964), with the introduction of "People." His Broadway credits include Take Me Along (1959) and Carnival (1961). Progressively ill in the 1990s, he took his own life in 1998. Tony nominations: Best Musical (Music and Lyrics), New Girl in Town, 1957; Best Musical (Music) and Lyrics), Take Me Along, 1959; Best Musical (Music and Lyrics), Carnival, 1962; Best Composer and Lyricist (Lyricist), Funny Girl, 1964.
COLE PORTER (June 9, 1891–October 15, 1964; born Cole Albert Porter, Peru, IN). Noted for his sophisticated lyrics and clever rhymes, the name of Yale-educated Cole Porter first appeared on Broadway in the revue Hands Up (1915), for which he wrote his first song, "Esmeralda." His first Broadway production, See America First (1916), was a flop. In 1928, the musical Paris introduced some of his greatest songs, such as "Let's Do It"; however, most consider his greatest score to be that for Anything Goes (1934), with such songs as "I Get a Kick Out of You" and "All Through the Night." It was the first Porter show to feature Ethel Merman; she went on to star in five of his musicals. After 1937, a riding accident left his legs crippled, but he continued to be a success on Broadway with such shows as Panama Hattie (1940); Seven Lively Arts (1944), which featured "Everytime We Say Goodbye"; and his biggest hit show, Kiss Me, Kate (1948). His last original Broadway production was Silk Stockings (1955). His life story was immortalized on film twice, first with the sanitized Night and Day (1946), with Cary Grant and Alexis Smith, and with the more realistic De-Lovely (2004), with Kevin Kline and Ashley Judd. Tony Award: Best Musical (Music and Lyrics), Best Composer and Lyricist Kiss Me, Kate, 1949.
MARY RODGERS (January 11, 1931; born New York, NY). Daughter of Richard Rodgers, Mary Rodgers was twice nominated for a Tony, in 1960 and 1978 (Best Original score for Working). Tony nomination: Best Musical (Music), Once upon a Mattress, 1960.
RICHARD RODGERS (June 28, 1902–December 30, 1979; born Richard Charles Rodgers [original family name: Rojazinsky], New York, NY). Rodgers was part of Rodgers and Hammerstein, probably the best-known musical team on Broadway. Along with Oscar Hammerstein II, he wrote the scores for such outstanding works as Oklahoma! (1943), Carousel (1945), South Pacific (1949), The King and I (1951), Flower Drum Song (1958), and The Sound of Music (1959). Rodgers's first musical was Pal Joey (1940), written with Lorenz Hart. The songs in most Rodgers and Hammerstein musicals were essential to the development of the characters and the story line and could not be removed without damaging both. In addition to their own success, the two produced shows by other writers, such as Annie Get Your Gun (1946), by Irving Berlin. Rodgers is one of only two people ever to have won an Oscar, a Grammy, an Emmy, a Tony, and a Pulitzer Prize (Marvin Hamlisch is the other). He won eleven Tonys (including three special awards in 1962, 1972, and 1979), and was inducted into the Songwriters Hall of Fame in 1970. Tony Awards: Best Musical (Producer, Music), Best Producer (Musical), Best Original Score, South Pacific, 1950; Best Musical (Music), The King and I, 1952; Best Musical (Music, Producer), The Sound of Music, 1960; Best Composer, No Strings, 1962. Tony nominations: Best Musical, Best Producer, Pipe Dream, 1956; Best Musical, Flower Drum Song, 1959; Best Musical (Producer, Music, Lyrics), No Strings, 1962; Best Composer and Lyricist (Music), Do I Hear a Waltz?, 1965; Best Original Score (Music), State Fair, 1996.
HAROLD ROME (May 27, 1908–October 26, 1993; born Hartford, CT). Composer and lyricist, Rome attended Yale and composed songs for a revue entitled Pins and Needles (1937), which ran for 1,108 shows. After World War II, he wrote the songs for Call Me Mister (1946). His hits include Wish You Were Here (1952), Destry Rides Again (1959), and I Can Get It for You Wholesale (1962). His last Broadway musical was Zulu and the Zeyda (1965).
JERRY ROSS (March 9, 1926–November 11, 1955; born Jerold Rosenberg, Bronx, NY). Billed as "boy star" in the Yiddish theatre, composer Ross studied at New York University and collaborated with Richard Adler in the 1950s. They won a Tony for The Pajama Game (1954), followed by another hit, Damn Yankees (1955). Ross died at age twenty-nine from lung disease; however, during that short time, alone or in collaboration, he wrote more than 250 songs. Tony Awards: Best Musical (Music with Adler), The Pajama Game, 1955; Best Musical and Lyrics (Music with Adler), Damn Yankees, 1956.
ARTHUR SCHWARTZ (November 4, 1900–September 3, 1984; born Brooklyn, NY). A songwriter on Broadway and in Hollywood for decades, Schwartz is best known for his compositions that have become standards, such as "You and the Night and the Music." A graduate of New York University law school, he published his first song in 1923. His songs were heard in his first Broadway show, The New Yorkers (1927). He closed his law office the following year and began to collaborate with lyricist Howard Dietz. Their first hit song, "I Guess I'll Have to Change My Plan," was for a 1929 Broadway revue entitled The Little Show. Their best Broadway revue was The Band Wagon, which marked Fred Astaire's final appearance with his sister Adele and featured their most famous song, "Dancing in the Dark." After time in Hollywood, Schwartz returned to Broadway in 1946. He wrote the songs with Dorothy Fields for A Tree Grows in Brooklyn (1951). He resumed his partnership with Dietz in the early 1960s. They are probably best known for what has become the show business standard "That's Entertainment."
STEPHEN SONDHEIM (March 22, 1930; born New York, NY). Sondheim was only in his teens when Richard Rodgers and Oscar Hammerstein had a hit with Oklahoma! in 1943, but he had already made up his mind to become a songwriter for the theatre. A graduate of Williams College, he got his first big break writing lyrics for Leonard Bernstein's music in the smash West Side Story (1957). His next lyric-writing hit was Gypsy (1959). But with A Funny Thing Happened on the Way to the Forum (1962), "music and lyrics by Stephen Sondheim" finally appeared on Broadway. He has since written music and lyrics for many hit productions and won Tonys for three post–Golden Age shows. Tony Award: Best Musical (Lyrics), A Funny Thing Happened on the Way to the Forum, 1963.
CHARLES STROUSE (June 7, 1928; born New York, NY). Strouse's first Broadway musical was the hit Bye Bye Birdie (1960), with collaborator Lee Adams, who wrote the lyrics. Golden Boy followed (1964), also with Adams. Strouse won Emmy awards for the television adaptations of Bye Bye Birdie and Annie. Tony Award: Best Musical (Music), Bye Bye Birdie, 1961.
JULE STYNE (December 31, 1905–September 20, 1994; born Julius Kerwin Stein, London, UK). Styne moved with his family to Chicago at the age of eight and attended Chicago Musical College. While still a teenager, Mike Todd commissioned him to write a song for a musical art show; it was the first of more than 1,500 songs Styne wrote during his career. He collaborated with lyricist Sammy Cahn on many songs for movies, including "Five Minutes More" and the Oscar-winning "Three Coins in the Fountain." His first Broadway score was with Cahn for High Button Shoes (1947). Many scores followed with several collaborators, including Gentlemen Prefer Blondes (1949), Peter Pan (1954), Bells Are Ringing (1956), Gypsy (1959), and Funny Girl (1964). He was honored at the Kennedy Center in 1990 for his contributions to the performing arts.
JIMMY VAN HEUSEN (January 26, 1913–February 7, 1990; born Edward Chester Babcock, Syracuse, NY). Before he moved to New York City in 1933, composer Van Heusen adopted his last name from the men's collar manufacturer. With lyricist Johnny Burke, he wrote such hit tunes for Hollywood as "Moonlight Becomes You," "Swinging on a Star," and "Suddenly It's Spring." Van Heusen received fourteen Oscar nominations, winning four for his film work. He also collaborated on the Broadway productions Nellie Bly (1946) and Carnival in Flanders (1953).
KURT WEILL (March 2, 1900–April 3, 1950; born Kurt Julian Weill, Dessau, Germany). A leading composer for the stage, Weill's most famous work is Threepenny Opera, which opened on Broadway in 1933 and closed after thirteen performances. His most famous song is "Mack the Knife," from that score. Weill won the first Tony given for Best Original Score in 1947. Tony Award: Best Original Score, Street Scene, 1947.
MEREDITH WILLSON (May 18, 1902–June 15, 1984; born Robert Meredith Willson, Mason City, IA). Willson attended Juilliard (then Damrosch Institute) in New York City and joined the New York Philharmonic Orchestra from 1924 to 1929. He composed symphonies as well as music for radio for many years. He is best known on Broadway for his hit The Music Man (1957), which was set in his hometown. Willson said it was, "an Iowan's attempt to pay tribute to his home state." Tony Award: Best Musical, The Music Man, 1958.
Choreographers
GOWER CHAMPION (June 22, 1921–August 25, 1980; born Gower Carlyle Champion, Genova, IL). A Tony winner for both directing and choreography, Champion began dancing at age eighteen, when he toured nightclubs with friend Jeanne Tyler. He worked on Broadway as a dancer and choreographer in the late 1930s and 1940s. After Coast Guard duty in World War II, he married Marjorie Belcher, and they became a dance team. He won his first Tony for staging Lend An Ear (1948), which introduced Carol Channing to Broadway audiences. In 1964, he had his biggest blockbuster as director with Hello, Dolly!, which ran for 2,844 performances. After some failures, including a divorce, in the 1970s, Champion was back in 1980 to choreograph and direct a stage adaptation of the film classic 42nd Street. The show ran for 3,486 performances, but Champion never got to see any of them, as he died of blood cancer on the day the show opened. Tony Awards: Best Choreography, Lend an Ear, 1949; Best Direction and Best Choreography, Bye Bye Birdie, 1961; Best Choreography, Hello, Dolly!, 1964; Best Direction of a Musical, Bye Bye Birdie, 1961; Best Direction of a Musical and Best Choreography, Hello, Dolly!, 1964; Best Direction of a Musical, The Happy Time, 1968. Tony nominations: Best Direction of a Musical, Carnival!, 1962; Best Direction of a Musical, I Do! I Do!, 1967.
JACK COLE (April 27, 1914–February 16, 1974; born New Brunswick, NJ). Cole began his career as a dancer and went on to choreograph both in films and on Broadway, including Kismet (1953), Jamaica (1957), and A Funny Thing Happened on the Way to the Forum (1962). His work was noted for Asian and jazz motifs.
AGNES DE MILLE (September 18, 1905–October 6, 1993; born Agnes George de Mille, Harlem, New York, NY). Born into a family of theatre professionals, de Mille originally wanted to be an actress but turned to dance to help cure her flat feet. One of her earliest jobs was in the movies, choreographing Cleopatra (1934); the dances were later cut from the film. Her first major work was Rodeo (1942); her final ballet was completed in 1992 (The Informer). In between, de Mille had many hits to her credit, including Oklahoma! (1943), Bloomer Girl (1944), Carousel (1945), Brigadoon (1947), Gentlemen Prefer Blondes (1949), Paint Your Wagon (1951), Goldilocks (1958), and 110 in the Shade (1963). She did not fare as well in Hollywood, except for Oklahoma!. De Mille was a significant force in the world of the theatre that became the Golden Age. Tony Awards: Best Choreography, Brigadoon, 1947. Tony nominations: Best Choreography, Goldilocks, 1959; Best Choreography, Kwamina, 1962.
BOB FOSSE (June 23, 1927–September 23, 1987; born Robert Louis Fosse, Chicago, IL). A choreographer and director, as a young dancer Fosse teamed with Charles Grass as the Riff Brothers, touring theatres in the Chicago area. After a few film appearances, he choreographed his first musical, The Pajama Game (1954), followed by Damn Yankees (1955). Fosse developed an immediately recognizable jazz style with stylized sexuality, inward knees, and rounded shoulders. He also used props—a la Fred Astaire—such as canes, chairs, and bowler hats. In 1986, he directed, choreographed, and wrote the Broadway production Big Deal. He married his third wife, Gwen Verdon, in 1960. Tony Awards: Best Choreography, Redhead, 1959; Best Choreography, Little Me, 1963. Tony nominations: Best Choreography, New Girl in Town, 1958.
HANYA HOLM (March 3, 1893–November 3, 1992; born Johanna Eckert, Worms, Germany). A member of the Wigman School in Dresden, Germany, she came to New York City in 1931 to open a branch of the dance school. In 1948, she choreographed Kiss Me, Kate, which led to other such musicals as Out of This World (1950), My Darling Aida (1952), The Golden Apple (1954), My Fair Lady (1956), Camelot (1960), and Anya (1965). Tony nomination: Best Choreography, My Fair Lady, 1957.
GENE KELLY (August 23, 1912–February 2, 1996; born Eugene Curran Kelly, Highland Park, PA). Choreographer and director on stage, Kelly is best known for his film work as an actor, dancer, and singer, especially for Singin' in the Rain (1952). He was a dominant force in Hollywood from the mid-1940s until the late 1950s, credited with bringing the ballet form of dance to the silver screen. Kelly appeared on Broadway in 1938 as a dancer in Leave It to Me! He first danced to his own choreography on stage in The Time of Your Life (1939). His leading role in Pal Joey (1940) brought him to stardom. After years in Hollywood, he returned to the stage to direct Flower Drum Song (1958). He was nominated for an Oscar for Best Actor for Anchors Aweigh (1945).
MICHAEL KIDD (August 12, 1915–December 23, 2007; born Milton Greenwald, New York, NY). Kidd was pursuing a career in chemical engineering at the City College of New York when he got a scholarship to the School of American Ballet. Noted for his work both in films and on the stage, he received an honorary Oscar in 1997 for the art of dance on the screen and also won five Tonys. Tony Awards: Best Choreography, Finian's Rainbow, 1947; Best Choreography, Guys and Dolls, 1951; Best Choreography, Can-Can, 1954; Best Choreography, L'il Abner, 1957; Best Choreography, Destry Rides Again, 1960. Tony nominations: Best Direction of a Musical: Destry Rides Again.
JOE LAYTON (May 3, 1931–May 5, 1994; born Joseph Lichtman, Brooklyn, NY). Both a director and choreographer, Layton began his career as a dancer in Wonderful Town (1953). He won an Emmy for My Name Is Barbra, introducing Streisand. His Broadway credits include The Sound of Music (1959), No Strings (1962), George M! (1968), and Two by Two (1970). Tony Award: Best Choreography, No Strings, 1962. Tony nominations: Best Choreography, Greenwillow, 1960; Best Direction of a Musical, No Strings, 1962.
JONATHAN LUCAS (August 14, 1922; born Luca Aco Giarraputo, Salaparuta, Sicily). Lucas had a number of stage appearances as a dancer, including in Of Thee I Sing (1952), before his first credit as a choreographer for First Impressions (1959).
JEROME ROBBINS (October 11, 1918–July 29, 1998; born Jerome Rabinowitz, New York, NY). A choreographer and director, Robbins danced in several Broadway musicals in the late 1930s. He also choreographed several ballets. His musical comedy works include Billion Dollar Baby (1945), High Button Shoes (1947), and Look Ma, I'm Dancin'! (1948), but he is best known for Peter Pan (1954) and West Side Story (1957), both of which he also directed. In the 1960s, he choreographed Funny Girl (1964) and Fiddler on the Roof (1964). Robbins is considered by many to be the greatest American choreographer.
HERBERT ROSS (May 13, 1927–October 9, 2001; born Herbert David Ross, Brooklyn, NY). Choreographer, actor, and director, Ross made his stage debut with the touring company of Macbeth in 1942. In 1954, he choreographed his first Broadway production, A Tree Grows in Brooklyn. His other choreography credits include Three Wishes for Jamie (1952), House of Flowers (1954), The Body Beautiful (1958), Finian's Rainbow (1960 revival), The Gay Life (1961), I Can Get It for You Wholesale (1962), Tovarich (1963), Anyone Can Whistle (1964), Do I Hear a Waltz? (1965), On a Clear Day You Can See Forever (1965), and The Apple Tree (1965).
HELEN TAMIRIS (April 24, 1903–August 4, 1966; born Helen Becker, New York, NY). Tamiris's Broadway musical career lasted from 1945 to 1957, during which time she choreographed modern dances in eighteen musical comedies, including Annie Get Your Gun (1946) and Fanny (1954). She began studying dance at the age of eight and founded her own company in 1930. She chose the name Tamiris because it sounded exotic. From 1927 to 1944, she created works for herself and such contemporaries as Martha Graham. For a time, she danced with the Metropolitan Opera. In 1960, she founded the Tamiris-Nagrin Dance Company with her husband, Daniel Nagrin.
ONNA WHITE (March 24, 1922–April 8, 2005; born Inverness, Nova Scotia). From Nova Scotia to the San Francisco Ballet Company led White to her first Broadway performance in Finian's Rainbow (1947). In Guys and Dolls (1950), she assisted choreographer Michael Kidd and choreographed her first Broadway show, Carmen Jones, in 1956. She received one of only two Oscars ever presented for choreography for Oliver! (1968). Tony nomination: Best Choreography, The Music Man, 1958.
# 6
## The Theatres of Broadway
The term Broadway theatre refers to thirty-nine professional buildings in New York City that each seat 500 or more patrons. (Forty-three theatres are listed here; however, the New Century was demolished in 1962, the Ziegfeld in 1966, and the George Abbott in 1970; and the Mark Hellinger is now the home of the Times Square Church.) Thirty-eight of the buildings are in the theatre district of Manhattan; the thirty-ninth is the Vivian Beaumont Theatre, regarded as Broadway class, uptown at Lincoln Center. Besides being a key tourist attraction, the theatre district, along with London's West End, is regarded as the highest form of commercial theatre in the English-speaking world.
Most Broadway theatre owners and producers belong to the Broadway League, formerly known as the League of American Theatres and Producers. It is a trade organization that showcases Broadway theatre, coadministers the Tony Awards with the American Theatre Wing, and negotiates contracts with the many theatrical unions. Most theatres on Broadway are either owned or managed by three groups: the Shubert Organization, which owns seventeen theatres; the Nederlander Organization, which has nine theatres; and Jujamcyn, which owns five.
AL HIRSCHFELD (302 W. 45th St., opened 1924 as the Martin Beck, seats 1,292). Designed as the most opulent theatre of its time by architect G. Albert Lansburgh for vaudeville promoter Martin Beck, this was the only Broadway theatre that opened without a mortgage. The opening
production on November 11, 1924, was Madame Pompadour. Critics claimed that patrons would not cross Eighth Avenue to get to the new theatre, but Beck proved them wrong. Two Pulitzer Prize winners opened at the Martin Beck: The Teahouse of the August Moon (October 15, 1953) and A Delicate Balance (September 22, 1966). In addition, many well-known actors performed there, including Katharine Cornell, Alfred Lunt and Lynn Fontanne, and Helen Hayes. The theatre was renamed on June 21, 2003, for the caricaturist famous for his drawings of Broadway celebrities. Its reopening production, on November 23, 2003, was a revival of Wonderful Town. Other notable shows include Bye Bye Birdie (April 14, 1960), Oliver! (August 2, 1965), Kiss Me, Kate (November 18, 1999), and Sweet Charity (May 2, 2005). The theatre has dressing rooms for 200 actors.
Golden Age musicals: As the Martin Beck: St. Louis Woman, 3/30/46; Barefoot Boy with Cheek, 4/3/47; Copper and Brass, 10/17/57; Beg, Borrow, or Steal, 2/10/60; Bye Bye Birdie, 4/14/60; The Happiest Girl in the World, 4/3/61; Milk and Honey, 10/10/61; Café Crown, 4/17/64; I Had a Ball, 12/15/64; Drat! The Cat!, 10/10/65
AMBASSADOR (219 W. 49th St., opened 1921, seats 1,088). Designed by architect Herbert J. Krapp for the Shuberts, the theatre's opening show was the musical The Rose Girl (February 11, 1921). It starred Mabel Withee and Charles Purcell and ran for ninety-nine performances. This was the first of six theatres built by the Shuberts on 48th and 49th streets. Although the theatre outwardly looks like any other Broadway house, it is built diagonally across the plot to seat as many people as possible. The Shuberts sold the property in 1935. Four years later, it was the launching site for the careers of three notable performers, Imogene Coca, Alfred Drake, and Danny Kaye, who appeared in Strawhat Revue. It was used as a movie theatre/television studio until 1956, when the Shuberts repurchased it and made it a legitimate theatre once again. Notable productions include The Diary of Anne Frank (February 26, 1957), The Lion in Winter (March 3, 1966), and Chicago: The Musical (January 29, 2003). The Ambassador is a designated New York City landmark.
AMERICAN AIRLINES (227 W. 42nd St., opened 1918 as the Selwyn, seats 740). The Selwyn was one of three theatres built by the Selwyn brothers and named for producer Arch Selwyn. Its opening production was Information Please (October 2, 1918), starring Jane Cowl. The entire 1927 season showcased The Royal Family, concerning the Barrymore family (family of Drew Barrymore). Early musicals included Cole Porter's Wake Up and Dream (December 30, 1929). Over the next few decades, it was used as a legitimate theatre now and again until the city and state of New York took possession in 1992. Renovated in 1997 to restore its former glamour, it was renamed and reopened with a revival of The Man Who Came to Dinner on July 27, 2000.
AUGUST WILSON (245 W. 52nd St., opened 1925, seats, 1,263). Built by the Theatre Guild, the August Wilson was leased as a radio station in 1943 and purchased by the American National Theatre and Academy (ANTA) in 1950. In 1981, Jujamcyn bought it and named it the Virginia. It was renamed in 2005 for a Pennsylvania-born poet of black culture. He is one of seven American playwrights to have won two Pulitzer Prizes. Notable productions at the theatre include revivals of Shenandoah (August 8, 1989), Flower Drum Song (October 17, 2002), and Jersey Boys (November 6, 2005).
Golden Age musicals: As the ANTA: Seventh Heaven, 5/26/55; Say, Darling, 4/3/58; The Conquering Hero, 1/16/61
BELASCO (111 W. 44th St., opened 1907 as the Stuyvesant, seats 1,907). The opening production in the Stuyvesant on October 16, 1907, was A Grand Army Man, with William Warfield and Antoinette Perry (for whom the Tony Award is named). The theatre, built by director David Belasco, contained the most sophisticated lighting system of its day, as well as plush apartments for him and the star actors. In 1910, Belasco renamed the theatre for himself, and it housed his own presentations until he died in 1931. It has remained a legitimate playhouse, except for a brief period in the 1950s when NBC used it as a radio studio.
BERNARD B. JACOBS (242 W. 45th St., opened 1927 as the Royale, seats 1,078). The opening production in the Royale was Piggy on January 11, 1927, and it scored a hit in the second season with Diamond Lil (April 9, 1928), starring Mae West. Built by the Chanin Brothers, real estate magnates, ownership was transferred to the Shuberts in 1930. Two years later it housed the Pulitzer Prize winner Both Your Houses (March 6, 1933). John Golden leased the theatre from 1934 to 1936 and named it for himself. It was back in Shubert hands in 1936, and the name returned to the Royale. As such it was leased to a CBS radio studio until 1940. In 1964, it housed another Pulitzer Prize winner, The Subject Was Roses (May 25, 1964). In 2005, the name was changed to honor the former president of the Shubert organization. The Jacobs has been home to many hits, such as Cole Porter's Du Barry Was a Lady (October 21, 1940), with Gypsy Rose Lee and Betty Grable; The Lady's Not for Burning (November 8, 1950), with John Gielgud and an acclaimed revival of One Flew Over the Cuckoo's Nest (April 8, 2001).
Golden Age musical: As the Royale: The Boy Friend, 9/20/54
BILTMORE (261 W. 47th St., opened 1925, seats 903). One of the smaller Broadway houses, the Biltmore opened on December 7, 1925, with Easy Come Easy Go. From 1952 to 1961, it was leased by CBS as a radio and television studio. An arsonist destroyed the interior of the theatre in 1987, leaving the house vacant for several years. Manhattan Theatre Club bought it in 2001, restoring several sections of the original building. Notable productions at the Biltmore include Brother Rat (December 16, 1936), My Sister Eileen (December 26, 1940), Barefoot in the Park (October 23, 1963), and the rock musical Hair (April 29, 1968), which moved uptown from Off-Broadway. The Biltmore is a designated New York City landmark.
BOOTH (222 W. 45th St., opened 1913, seats 766). The Booth was built by Lee Shubert and producer Winthrop Ames to honor actor Edwin Booth (1833–1893), brother of John Wilkes Booth, who assassinated Abraham Lincoln. This was actually the second Booth theatre, the first built in 1869 on 23rd Street and Sixth Avenue by Booth himself. The first production of the second theatre was The Great Adventure by Arnold Bennet (October 16, 1913). Many stars have had great success at the Booth, including Shirley Booth in Come Back, Little Sheba (February 15, 1950); Henry Fonda and Anne Bancroft in Two for the Seesaw (January 16, 1958); Stephen Sondheim and James Lapine in Sunday in the Park with George (May 2, 1984), which won the Pulitzer Prize for Drama; and Paul Newman's return to Broadway in Our Town (December 4, 2002). Two earlier Pulitzer winners on its stage were You Can't Take It with You (December 14, 1936) and Time of Your Life (September 23, 1940).
BROADHURST (235 W. 44th St., opened 1917, seats 1,156). Built by the Shuberts in partnership with British-born playwright George Broadhurst, for whom the theatre is named, the first production was a drama, Misalliance (September 17, 1917). The theatre's first musical production was Ladies First (October 24, 1918). This was not a Gershwin musical, but it was the first time that a song by George and Ira Gershwin ("The Real American Folk Song") was heard on Broadway. Notable productions include the Pulitzer winners Men in White (September 26, 1933) and the Golden Age musical Fiorello! (November 23, 1959).
Golden Age musicals: Flahooley, 5/14/51; Seventeen, 6/21/51; Fiorello!, 11/23/59; Sail Away, 10/3/61; Bravo Giovanni, 5/19/62; 110 in the Shade, 10/24/63; Oh! What a Lovely War, 9/30/64; Kelly, 2/5/65; Half a Sixpence, 4/25/65
BROADWAY (1681 Broadway, opened 1924 as B. S. Moss's Colony, seats 1,761). This theatre is one of only five that are actually on Broadway. (The other four are Marquis, Minskoff, Palace, and Winter Garden.) Originally a film house, its most notable showing was Disney's Steamboat Willie (1928). In 1930, it became a legit theatre with its present name. From 1934 until 1940, it was back in the film business, this time offering the Disney premiere of Fantasia (1939). From 1940 onward, except for a brief time as a Cinerama movie house, it has showcased live theatre. The first theatrical production was Cole Porter's and Herbert Fields's The New Yorkers (December 8, 1930), starring Jimmy Durante. The Broadway has also housed some other notable premieres, including Irving Berlin's This Is the Army (July 4, 1942). Sammy Davis Jr. appeared there in Mr. Wonderful (March 22, 1956), and Ethel Merman took central stage in Gypsy (May 21, 1959).
Golden Age musicals: Carmen Jones, 12/2/43; Beggar's Holiday, 12/22/46; The Body Beautiful, 1/23/58; Mr. Wonderful, 3/22/56; Shinbone Alley, 4/13/57; Gypsy, 5/21/59; Kean, 11/2/61; Tovarich, 3/18/63; The Girl Who Came to Supper, 12/8/63; Baker Street, 2/16/65
BROOKS ATKINSON (256 W. 47th St., opened 1926 as the Mansfield, seats 1,069). Originally called the Mansfield (for actor Richard Mansfield), the theatre's opening production was The Night Duel (February 15, 1926), a melodrama starring Marjorie Rambeau and Felix Krembs. According to the Times review, the second act bedroom scene was embarrassing, although the audience seemed to enjoy it; however, the show lasted only seventeen performances. One of its notable productions was the 1930 Pulitzer Prize winner Green Pastures. In 1950, the theatre was renamed for the famed New York Times drama critic but was a television playhouse for the next ten years. It was refurbished in 2000, with the restoration of its original chandelier. The theatre tends to favor dramas, but it does house the occasional musical.
CIRCLE IN THE SQUARE (235 W. 50th St., opened 1972, seats 620). The Circle in the Square, along with the Gershwin, was built after the Uris Brothers tore down the Capitol Movie Theatre to build the Paramount Plaza office tower. Originally, the theatre was the midtown home to the Circle-in-the-Square repertory company in Greenwich Village. Mourning Becomes Electra (November 15, 1972) was the first production. The below-level theatre is only one of two legit Broadway houses with a thrust stage (the other at Lincoln Center's Vivian Beaumont). A thrust stage (also called a platform or open stage) extends into the audience on three sides, providing greater intimacy between performer and patron. The Circle-in-the-Square Theatre School is the only accredited training conservatory that is associated with a Broadway theatre. It offers a two-year training program.
CORT (138 W. 48th St., opened 1912, seats 1,082). Architect Thomas Lamb built the Cort for John Cort, a successful theatre operator on the West Coast, copying the Petit Trianon in Versailles, France. The first production was Peg o' My Heart (December 20, 1912), with the early 1900s superstar Laurette Taylor. It ran for an unheard-of-at-the-time 603 performances. Except for a short period as a television studio in the late 1960s, the Cort has been a legitimate Broadway theatre, with such performances as Lillian Gish in Uncle Vanya (April 15, 1930) and the Tony and Pulitzer winner The Diary of Anne Frank (October 5, 1955). It also premiered another two–Pulitzer Prize winner, The Shrike, on January 15, 1951.
ETHEL BARRYMORE (243 W. 47th St., opened 1928, seats 1,058). Named for the great lady of the theatre, the Ethel Barrymore's opening production, fittingly enough, starred her in The Kingdom of God (December 20, 1928). This is the only legitimate theatre left of those built by Lee and J.J. Shubert for performers with whom they worked. In 1932, Fred Astaire starred in Cole Porter's musical The Gay Divorcee (November 29, 1932), appearing without his sister Adele for the first time and in his last Broadway show before heading for Hollywood.
EUGENE O'NEILL (230 W. 49th St., opened 1925 as the Forrest, seats 1,110). Originally named for the international actor Edwin Forrest, the theatre's first production was Mayflowers (November 24, 1925). On December 4, 1933, Tobacco Road opened at the The Masque but moved to the Forrest in 1934, where it stayed for most of its 3,182 performances. The name was changed to the Coronet in 1945. In November 1959, it was renamed to honor the Nobel Prize–winning playwright, whose works include The Ice Man Cometh (1940) and Long Day's Journey into Night (1941). Playwright Neil Simon bought the theatre, which enjoyed a string of his hits, beginning with The Last of the Red Hot Lovers (December 28, 1969). Simon sold it to Jujamcyn Theatres in 1982. Among its many hits was the revival of Grease with Tommy Tune in 1994.
Golden Age musicals: As the Coronet: Happy as Larry, 1/6/50. As the Eugene O'Neill: Let It Ride, 10/12/62; She Loves Me, 4/23/63; Something More!, 11/10/64
GEORGE ABBOTT (152. W. 54th St., opened 1928 as the Craig, seats 1,434). The George Abbott has a long and varied history. It was renamed the Adelphi in 1934, the Radiant Center in 1940, and the Yiddish Arts Theatre in 1943. It became the Adelphi once again in 1944, was renamed the 54th Street in 1958, and was renamed to honor Broadway's George Abbott in 1965. The Hilton chain tore it down in 1970 to expand a hotel.
Golden Age musicals: As the Adelphi: Allah Be Praised!, 4/20/44; On the Town, 12/28/44; The Girl from Nantucket, 11/8/45; Nellie Bly, 1/21/46; The Duchess Misbehaves, 2/13/46; Street Scene, 1/9/47; Look, Ma, I'm Dancin'!, 1/29/48; Portofino, 2/21/58. As the 54th Street: Happy Town, 10/7/59; 13 Daughters, 3/2/61; Kwamina, 10/23/61; No Strings, 3/15/62; What Makes Sammy Run?, 2/27/64
GEORGE GERSHWIN (222 W. 51st St., opened 1972 as the Uris, seats 1,933). The George Gershwin opened as the Uris with the musical Via Galactica (November 18, 1972), starring Raul Julia; however, the show closed after seven performances. The first theatre built in New York City since 1928, it was renamed in 1983 to honor composer George Gershwin and his brother Ira. It is presently the largest theatre on Broadway (the New York State Theatre of Lincoln Center and New York City Center are larger). From 1974 to 1976, it was a concert hall for pop music and jazz performances. The Theatre Hall of Fame is located in the lobby.
GERALD SCHOENFELD (236 W. 45th St., opened 1917 as the Plymouth, seats 1,079). The Shubert brothers leased the theatre to producer Arthur Hopkins, who wanted it to be a showcase for such prominent actors as John and Lionel Barrymore. The opening production was a comedy called A Successful Calamity (October 10, 1917), with William Gillette. After Hopkins's death, the property returned to the Shuberts. Designated a New York City landmark in 1987, it was renamed for the chairman of the Shubert Organization in 2005. Its hit shows include Dial "M" for Murder (October 29, 1952), Jekyll & Hyde (April 28, 1997), Long Day's Journey into Night (May 6, 2003 revival), and A Chorus Line (October 5, 2006 revival).
Golden Age musicals: As the Plymouth: Irma La Douce, 9/29/60; The Beast in Me, 5/16/63
HELEN HAYES (240 W. 44th St., opened 1912 as the Little Theatre, seats 595). Designed by architect Harry Creighton Ingalls, the theatre was first called the Little Theatre because of its small size; it sat only 300. Today, it is still the smallest of the Broadway theatres. The opening production was The Pigeon (March 12, 1912), by John Galsworthy. The theatre was redesigned in the 1920s to improve the acoustics and enlarge the seating capacity. The New York Times bought it in 1931 and turned it into a conference hall, but ABC turned it back into a legitimate theatre in 1958. The Dick Clark Show originated from there from 1958 through September 1961. For a brief time in 1964, it was called the Winthrop Ames Theatre, but it reverted to its original name from 1965 through 1983. In that year, the namesake theatre for Helen Hayes, known as the first lady of the American theatre, was demolished, but Hayes was still alive. Due to the unusual event of having someone outlive his or her monument, the Little Theatre became the Helen Hayes. Since 1978, it has been privately owned by Martin Markinson.
HILTON (213 W. 42nd St., opened 1998, seats 1,815). The neighboring Lyric and Apollo theatres were destroyed in 1998 so that Canadian impresario Garth Drabinsky could build the Ford Center for the Performing Arts to launch his new musical, Ragtime. Although some gave it critical acclaim, the production foundered mainly due to Drabinsky's financial problems. In 2005, the Hilton Hotels Corporation along with Clear Channel Entertainment changed the name to the Hilton. It was home to a long run of 42nd Street (May 2, 2001), winner of the 2001 Tony for Best Musical Revival.
IMPERIAL (249 W. 45th St., opened 1923, seats 1,443). The Imperial was built specifically to accommodate musical theatre. It has been home to many musicals, including the opening production of Mary Jane McKane (Oscar Hammerstein II and Vincent Youmans, December 25, 1923). Other hit shows include Annie Get Your Gun (May 16, 1946), Fiddler on the Roof (September 22, 1964), and Les Misérables (October 17, 1990). Famous names on its stage include Gertrude Lawrence, Clifton Webb, Ray Bolger, Mary Martin, Zero Mostel, Shelley Winters, and John Lithgow.
Golden Age musicals: One Touch of Venus, 10/7/43; Annie Get Your Gun, 5/16/46; Miss Liberty, 7/15/49; Call Me Madam, 10/12/50; Wish You Were Here, 6/25/52; Silk Stockings, 2/24/55; The Most Happy Fella, 5/3/56; Jamaica, 10/31/57; Destry Rides Again, 4/23/59; Carnival, 4/13/61; Oliver!, 1/6/63; Fiddler on the Roof, 9/22/64
JOHN GOLDEN (252 W. 45th St., opened 1927 as The Masque, seats 804). The opening production at the Masque was Puppets of Passion (February 24, 1927). John Golden bought the theatre ten years later and named it for himself. Tobacco Road premiered there on December 4, 1933. In the 1940s and 1950s, it operated as a movie house until the Shuberts took over and returned it to legitimate theatre use. Seventy-six years after its opening, it housed another puppet production, the award-winning Avenue Q.
LONGACRE (220 W. 48th St., opened 1913, seats 1,091). The opening production at the Longacre was the comedy Are You a Crook? (May 1, 1913). It has been a legitimate theatre, except for a short period in the mid-1940s to early 1950s when it was a television studio. Named for the original name of Times Square, it was built by impresario Harry Frazee. Frazee is far better remembered, however, as the owner of the Boston Red Sox baseball team. When he needed money for his Broadway dealings, Frazee sold Babe Ruth's contract to the New York Yankees. Supposedly, there is a curse on the theatre because of that sale. In William Goldman's book The Season: A Candid Look at Broadway (1984), he notes that some producers actually avoid the theatre, fearing a flop; however, there have been many successful productions, including Hal Holbrook in Mark Twain Tonight!, for which he won a Tony in 1966; Julie Harris in The Belle of Amherst, which garnered a Tony for Harris in 1976; and Diana Rigg in Medea, for which she won a Tony in 1994.
LUNT-FONTANNE (205 W. 46th St., opened 1910 as the Globe, seats 1,489). The Globe opened in 1910 for the musicals of Charles Dillingham, with a performance of The Old Town (January 10, 1910), starring Fred Stone, Dave Montgomery, and Peggy Wood. Dillington went into bankruptcy in 1933, and the Globe became a movie house. Completely renovated, it reopened in 1958, renamed for the famous Broadway theatre team of Alfred Lunt and Lynn Fontanne, who performed in The Visit (May 5, 1958). In the audience that night to watch the famous acting couple were Katharine Cornell, Henry Fonda, Helen Hayes, Beatrice Lillie, Anita Loos, Mary Martin, Laurence Olivier, and Ginger Rogers. Lunt and Fontanne were married in 1922 and acted together on stage twenty-seven times, the last being in 1958. On display in the theatre lobby are photographs from the collection of Lunt and Fontanne.
Golden Age musicals: Goldilocks, 10/11/58; The Sound of Music, 11/16/59; Little Me, 11/17/62; Ben Franklin in Paris, 10/27/64
LYCEUM (149 W. 45th St., opened 1903, seats 922). The Lyceum is the oldest Broadway theatre in continuous use and the first to achieve landmark status. It is also one of the few Broadway houses to operate under its original name. The opening production was The Proud Prince (November 2, 1903). An apartment located above the orchestra section serves as the headquarters of the Shubert Archives. In the early years, such stars as Billie Burke, Basil Rathbone, Fanny Brice, Ethel Barrymore, and Miriam Hopkins appeared on its stage. Its notable productions include Born Yesterday (February 4, 1946), Gentlemen Prefer Blondes (April 10, 1995), and Macbeth (April 8, 2008).
MAJESTIC (245 W. 44th St., opened 1927, seats 1,645). Given landmark status in 1987, the Majestic was intended as a musical theatre from the outset and remains a premier Broadway musical house. The opening production was Rufus Le Maire's Affairs (March 28, 1927). Built for Irwin Chanin, he lost control during the Depression, and the theatre became the property of the Shuberts. In 1928, John Gielgud made his Broadway debut there in The Patriot. Carousel was a hit in 1945. In 1949, Mary Martin and Ezio Pinza enchanted the audience with Pulitzer Prize winner South Pacific. The Music Man, with Robert Preston, was the feature in 1957, as was the Tony-winning musical The Wiz in 1975. Phantom of the Opera began its phenomenal run in 1988.
Golden Age musicals: Dream with Music, 5/18/44; Carousel, 4/19/45; Allegro, 10/10/47; South Pacific, 4/7/49; Me and Juliet, 5/28/53; By the Beautiful Sea, 4/8/54; Fanny, 11/4/54; Happy Hunting, 12/6/56; The Music Man, 12/19/57; Camelot, 12/3/60; Hot Spot, 4/19/63; Jennie, 10/17/63; Anyone Can Whistle, 4/4/64; Golden Boy, 10/20/64
MARK HELLINGER (237 W. 51st Street, opened 1930 as the Warner Bros. Hollywood theatre, seats 1,506). Built as a movie house, the stage was large enough for live performances, the first being Martha Raye in Calling All Stars (1934). It was renamed the 51st Street Theatre in 1940, and in 1948 it was renamed to honor Broadway journalist Mark Hellinger, who died that year. The biggest smash hit at the Hellinger was My Fair Lady, which ran for a total of 2,717 performances (1956–1962). The Nederlander group bought the theatre in 1970, and it continued to showcase musicals, most of which were unsuccessful. The building was sold in 1991 to the Times Square Church, which has kept most of the original interior décor and invites the public for tours.
Golden Age musicals: Texas, Li'l Darlin', 11/25/49; Three Wishes for Jamie, 3/21/52; Hazel Flagg, 2/11/53; The Girl in Pink Tights, 3/3/54; Hit the Trail, 12/2/54; Plain and Fancy, 1/27/55; Ankles Aweigh, 4/18/55; My Fair Lady, 3/15/56; Fade Out—Fade In, 5/26/64; On a Clear Day You Can See Forever, 10/17/65
MARQUIS (1535 Broadway, opened 1986, seats 1,611). One of Broadway's newer theatres, the Marquis has showcased a series of hit musicals, including Me and My Girl (August 10, 1986), Gypsy (April 28, 1991), Damn Yankees (March 3, 1994), Peter Pan (November 23, 1998), and Thoroughly Modern Millie (April 18, 2002). It is located inside the Marriott Marquis Hotel.
MINSKOFF (1515 Broadway, opened 1973, seats 1,597). Broadway producer Jerome Minskoff joined the real estate firm of his father, Sam Minskoff, and in 1966, the company bought the old Astor Hotel in Times Square. A fifty-four-story office tower was erected on the site, and in 1973, the Minskoff opened in the building. Its first production was a hit revival of Irene (March 13, 1973), with Debbie Reynolds.
MUSIC BOX (239 W. 45th St., opened 1921, seats 1,009). The Music Box was built for Irving Berlin's Music Box Revues, the first production being Music Box Revue of 1921. The revues continued until 1924, with Robert Benchley making his stage debut in 1923. The theatre was given landmark status in 1987. The team of George S. Kaufman and Moss Hart had a string of hits in this theatre in the 1930s. Of Thee I Sing (December 26, 1931) was the first musical to win the Pulitzer Prize, and it helped to keep the theatre alive during the Depression years. In the 1950s, William Inge enjoyed success with Picnic (February 19, 1953), Bus Stop (March 2, 1955), and The Dark at the Top of the Stairs (December 5, 1957). Side by Side by Sondheim was featured there in 1977, and Christopher Plummer won a Tony for Barrymore in 1997.
Golden Age musical: Lost in the Stars, 10/30/49
NEDERLANDER (208 W. 41st St., opened 1921 as the National, seats 1,232). Over the years, this theatre has been known as the National, the Billy Rose, and the Trafalgar. Since 1980, it honors the name of the well-known theatre family. In its list of successful productions are Cyrano de Bergerac (November 1, 1923), Julius Caesar (March 1, 1938), King Lear (December 25, 1950), Who's Afraid of Virginia Woolf? (October 13, 1962), and Private Lives (December 4, 1969). Lena Horn won a Special Tony Award for her role in The Lady and Her Music (May 12, 1981, 333 performances).
Golden Age musicals: As the National: The Day before Spring, 11/22/45; Hold It!, 5/5/48; Courtin' Time, 6/13/51; Maggie, 2/18/53. As the Billy Rose: A Family Affair, 1/27/62
NEIL SIMON (250 W. 52nd St., opened 1927 as the Alvin, seats 1,445). This musical comedy house was built for producers Alex Aarons and Vinton Freedly, hence the "Al" and "Vin" that made up the original name. Its opening production featured Fred and Adele Astaire in Funny Face (November 22, 1927). After the owners lost control in the Depression year of 1932, the theatre was used as a radio studio by CBS until the mid-1940s, when it returned to legitimate use. It was bought by the Shubert Organization in 1975 and renamed in 1983 for the playwright during the production of his Brighton Beach Memoirs (March 27, 1983). The theatre was designated a landmark in 1985. Among its memorable performances are Ethel Merman singing "I've Got Rhythm" in 1930; Alfred Lunt and Lynn Fontanne in the Pulitzer Prize winner There Shall Be No Night in 1940; Andy Griffith in No Time for Sergeants in 1955; Beatrice Lillie in her last Broadway show, High Spirits, in 1964; and a revival of The King and I in 1996.
Golden Age musicals: As the Alvin: Jackpot, 1/13/44; Sadie Thompson, 11/16/44; Billion Dollar Baby, 12/21/45; A Tree Grows in Brooklyn, 4/19/51; The Golden Apple, 3/11/54; House of Flowers, 12/30/54; Rumple, 11/6/57; Oh Captain!, 2/4/58; First Impressions, 3/19/59; Greenwillow, 3/8/60; Wildcat, 12/16/60; A Funny Thing Happened on the Way to the Forum, 5/8/62; High Spirits, 4/7/64; Flora, the Red Menace, 5/11/65
NEW AMSTERDAM (214 W. 42nd St., opened 1903, seats 1,745). The New Amsterdam is one of Broadway's oldest surviving legitimate theatres, achieving landmark status in 1982. The opening production was Midsummer Nights Dream (November 2, 1903). From 1913 through 1927, Florenz Ziegfeld staged his follies at the theatre, as well as other reviews. In 1937, the building was converted into a movie house. The house was bought by the Nederlander Organization, but plans to return it to theatre use were constantly delayed. In 1992, the state of New York bought the New Amsterdam and sold it to the Walt Disney Company for $29 million. It was finally reconstructed in 1997. One of its greatest hits was The Lion King, which opened in 1998.
NEW CENTURY (932 Seventh Ave., opened as Jolson's 59th Street Theatre, seats 1,700). Originally named by the Shuberts, the theatre underwent several name changes over the years, including the Shakespeare and the Molly Picon. It was twice restored to its original name before becoming the New Century in 1944. Used for live television programs in the early 1950s, it was closed in 1954 and torn down in 1962.
Golden Age musicals: As the 59th St. Theatre: Buttrio Square, 10/14/52. As the New Century: Follow the Girls, 4/8/44; Are You with It?, 11/10/45; Louisiana Lady, 6/2/47; High Button Shoes, 10/9/47; Heaven on Earth, 9/16/48; Kiss Me, Kate, 12/30/48; Carnival in Flanders, 9/8/53
PALACE (1564 Broadway, opened 1913, seats 1,740). In the early years of Broadway, with its policy of just two shows a day, it was supposedly every variety actors dream to "play the Palace." It meant he or she had reached the top. Built by Martin Beck, it was for many years the preeminent vaudeville theatre in the country. Ed Wynn headlined the opening performance on March 24, 1913, and Ethel Barrymore appeared later in the year. Kate Smith had an eleven-week run in 1931. The highlight of the 1950s was the appearance of Judy Garland on its stage. The Nederlanders turned it into a legitimate theatre in 1965, and since then the who's who of the entertainment world have appeared there. Joel Grey starred in George M! in 1968, and Gene Barry in La Cage aux Folles had a run of 1, 176 performances in 1983. In the 1980s, a huge hotel was built over the theatre, so that today only its marquee is visible. The Palace also has an infamous side. Nearly every seat in its enormous second balcony has an obstructed view.
RICHARD RODGERS (226 W. 46th St., opened 1924 as Chanin's 46th Street Theatre, seats 1,319). The opening production was Greenwich Village Follies (December 24, 1924). Owner Irwin Chanin leased the building to the Shuberts soon after its opening. The Shuberts bought it in 1931 and called it the 46th Street Theatre. Its long-running productions include Du Barry Was a Lady (December 6, 1939), Finian's Rainbow (January 10, 1947), Guys and Dolls (November 24, 1950), and Damn Yankees (May 5, 1955). The Nederlander Organization bought it in 1982 and renamed it in honor of the great Broadway composer on March 27, 1990. This theatre was the first to use Chanin's so-called democratic seating plan. In earlier years, patrons who bought expensive seats had a different entrance from those who bought the cheap seats. Now, everyone entered through the same door. Among other notable productions are How to Succeed in Business without Really Trying (October 14, 1961), Chicago (June 3, 1975; November 14, 1996), Footloose (October 22, 1998), and Movin' Out (October 24, 2002).
Golden Age musicals: As the 46th Street: Finian's Rainbow, 1/10/47; Love Life, 10/7/48; Guys and Dolls, 11/10/50; Damn Yankees, 5/5/55; New Girl in Town, 5/14/57; Redhead, 2/5/59; Tenderloin, 10/17/60; Donnybrook!, 5/18/61; How to Succeed in Business without Really Trying, 10/14/61; Do I Hear a Waltz?, 3/18/65; Pickwick, 10/4/65
SAM S. SHUBERT (225 W. 44th St., opened 1913, seats 1,460). Named after one of the three brothers of the theatrical producing family, it opened on October 21, 1913, with a series of Shakespeare's plays. The theatre shares a façade with the adjoining Booth, which connects to it by a private sidewalk known as Shubert's Alley. The top floor of the building is home to the Shubert Organization offices. The Shubert is a New York City landmark; its auditorium and murals were restored in 1996. The theatre has been home to many hits through the years, its most spectacular being A Chorus Line, which began on July 25, 1975, and ran for fifteen years for 6,137 performances.
Golden Age musicals: Bloomer Girl, 10/5/44; Park Avenue, 11/4/46; Paint Your Wagon, 11/12/51; Can-Can, 5/7/53; The Roar of the Greasepaint—The Smell of the Crowd, 5/16/55; Pipe Dream, 11/30/55; Bells Are Ringing, 11/29/56; Whoop-Up, 12/22/58; Take Me Along, 10/22/59; The Gay Life, 11/18/61; I Can Get It for You Wholesale, 3/22/62; Stop the World—I Want to Get Off, 10/3/62; Here's Love, 10/3/63; Bajour, 11/23/64
ST. JAMES (246 W. 44th St., opened 1927 as the Erlanger, seats 1,623). Built by producer Abraham L. Erlanger on the site of the original Sardi's restaurant, the theatre's first production was The Merry Malones (September 25, 1927). After Erlanger's death in 1930, control went to the Astor family, who actually owned the land under the building, and it was given its present name. William McKnight got it in 1957 after winning an antitrust case. It was renovated and reopened in 1958. Among its notable productions are L'il Abner (November 15, 1956), Hello, Dolly! (January 16, 1964), Barnum (April 30, 1980), and Gypsy (March 27, 2008). On March 31, 1943, Oklahoma! began its string of 2,212 performances. It was the first Richard Rodgers and Oscar Hammerstein musical on Broadway, the first Broadway show for choreographer Agnes de Mille, and the first Broadway musical for Celeste Holm.
Golden Age musicals: Oklahoma!, 3/31/43; Sleepy Hollow, 6/3/48; Where's Charley?, 10/11/48; The King and I, 3/29/51; The Pajama Game, 5/13/54; L'il Abner, 11/15/56; Flower Drum Song, 12/1/58; Do Re Mi, 12/26/60; Subways Are for Sleeping, 12/27/61; Mr. President, 10/20/62; Hello, Dolly!, 1/16/64
STEPHEN SONDHEIM (124 W. 43rd St., opened 1918 as Henry Miller's, seats 1,055). Originally named for actor-producer Henry Miller, it was the first air-conditioned theatre in Manhattan. The first hit show was Noel Coward's The Vortex (September 16, 1925). From then until the 1960s, such stars as Helen Hayes, Lillian Gish, and Douglas Fairbanks appeared on stage. Sold in 1968, it became a porn theatre, then a discotheque, and returned to a legitimate theatre as the Kit Kat Club in 1998. With the opening of Urinetown on September 20, 2001, it was once again named for Henry Miller. It closed in 2004 and given a new interior. In March 2010, it was named to honor composer and lyricist Stephen Sondheim.
Golden Age musical: As Henry Miller's: The Nervous Set, 5/12/59
VIVIAN BEAUMONT (Lincoln Center, 150 W. 65th St., opened 1965, seats 1,080). The only Broadway-class theatre not in the theatre district, it is named for Vivian Beaumont Allen, former actress and heiress to the May Department Stores. It differs from most other Broadway theatres because of its thrust stage (one of only two legit Broadway houses with a thrust stage, the other being at the Circle at the Square) and amphitheatre configuration. Operated by Lincoln Center Theater since 1985, it was the site of such notable productions as the 1994 Tony Award revival of Carousel (March 24, 1994) and the 2008 revival of South Pacific (April 3, 2008).
WALTER KERR (219 W. 48th St., opened 1921 as the Ritz, seats 945). The building was constructed in 1921 in a record sixty days, built by the Shuberts as a sister theatre to the Ambassador on West 49th. It opened with Clare Eames on March 21, 1921, in John Drinkwater's Mary Stuart. Katherine Cornell appeared in 1923 in The Enchanted Cottage (March 31, 1923) and Claudette Colbert in The Kiss in a Taxi (August 25, 1925). That decade ended with the appearance of a young actress named Bette Davis in Broken Dishes (November 5, 1929). Soon afterward, David left for Hollywood. From that time onward, the theatre was occasionally used for live radio shows but went completely legitimate in 1971 with a rock opera called Soon (January 12, 1971). The Ritz underwent a major renovation and reopened in May 1983. In 1990, it was renamed for Broadway theatre critic and writer Walter Kerr (1913–1996). The opening production was The Piano Lesson (April 16, 1990), which won August Wilson Pulitzer and New York Drama Critics awards for best play.
WINTER GARDEN (1634 Broadway, opened 1911, seats, 1,526). The fourth New York venue to be called the Winter Garden, it opened with Jerome Kern's La Belle Paree (March 10, 1911). It was originally built by William Vanderbilt in 1896, who wanted it as the American Horse Exchange. The Shuberts leased it in 1911 as a legitimate theatre, and it was completely remodeled in 1922. From 1928 through 1933, it was used as a movie studio, but after that it remained a live theatre house. In 2002, it was renamed the Cadillac Winter Garden, but the name was changed back to its present one in 2007. The longest-running show in the Winter Garden was Cats, which ran for 7,485 performances over a span of almost nineteen years, beginning October 7, 1982. To accommodate a junkyard scene, the entire auditorium had to be gutted. After the show closed, the auditorium was restored to its 1920s appearance.
Golden Age musicals: Mexican Hayride, 1/28/44; As the Girls Go, 11/13/48; Great to Be Alive, 3/23/50; Make a Wish, 4/18/51; Top Banana, 11/1/51; My Darling Aida, 10/27/52; Wonderful Town, 2/25/53; Peter Pan, 10/20/54; The Vamp, 11/10/55; Shangri-La, 6/13/56; West Side Story, 9/26/57; Juno, 3/9/59; Saratoga, 12/7/59; The Unsinkable Mollie Brown, 11/3/60; Nowhere to Go but Up, 11/10/62; Sophie, 4/15/63; Funny Girl, 3/26/64
ZIEGFELD (141 W. 54th St., opened 1927, seats 1,660). Named for impresario Florenz Ziegfeld, the theatre opened on February 2, 1927, with Rio Rita, to be followed by the landmark musical Show Boat, which opened on December 27, 1927. During the Depression, the building was also a movie house and later a television studio. It was torn down in 1966 to make room for a skyscraper. The box taken from the cornerstone is in the New York Public Library's Billy Rose Theater Collection.
Golden Age musicals: Brigadoon, 3/13/47; Magdalena, 9/20/48; Gentlemen Prefer Blondes, 12/8/49; Kismet, 12/3/53; Foxy, 2/16/64
# 7
## The Awards of Broadway
To recognize and reward excellence in the theatre, a number of awards are given each year in several categories including Best Musical, Best Actor or Actress, Best Direction, and more. Some honor Broadway productions and some cite Off-Broadway or touring companies and other categories.
DRAMA DESK. Created in 1955, the Drama Desk Awards recognize Broadway productions as well as those produced Off-Broadway, Off-Off-Broadway, and in legitimate not-for-profit theatres. They were originally known as the Vernon Rice Awards named for the theatre critic of the New York Post. The name was changed in 1963. This award is often a boost to stardom, as was the case for Sada Thompson (Misanthrope, 1957) and Dustin Hoffman (Eh?, 1966). After receiving the award, such productions as Driving Miss Daisy and Steel Magnolias gained international spotlight. The Drama Desk is made up of theatre critics, editors, and writers. The award is given each year at LaGuardia Concert Hall at Fiorello H. LaGuardia High School of Music and Art and Performing Arts in Lincoln Center.
NEW YORK DRAMA CRITICS' CIRCLE. The oldest American theatre award, after the Pulitzer Prize for Drama, this annual citation honors the best play of the season, with added awards for musicals and foreign plays. It carries with it a cash prize of $2,500 to the playwright. The New York Drama Critics' Circle is made up of twenty-two drama critics from newspapers, magazines, and wire services based in New York City, excluding critics from the Times, who are nonvoting members. The organization was founded in 1935 at the Algonquin Hotel by a group including Brooks Atkinson and Walter Winchell. It honored as best musical Carousel in 1946, Fiorello! in 1960, and Hairspray in 2003.
Citation for Best Musical of the Golden Age: 1946–1947: Brigadoon; 1948–1949: South Pacific; 1950–1951: Guys and Dolls; 1952–1953: Wonderful Town; 1953–1954: The Golden Apple; 1955–1956: My Fair Lady; 1956–1957: The Most Happy Fella; 1957–1958: The Music Man; 1959–1960: Fiorello!; 1960–1961: Carnival; 1961–1962: How to Succeed in Business without Really Trying; 1963–1964: Hello, Dolly!; 1964–1965: Fiddler on the Roof
OBIE. The Village Voice newspaper annually bestows this award to Off-Broadway and Off-Off-Broadway artists, similar to the Tony Awards for on Broadway. First given in 1956 and initiated by Edwin Fancher, Village Voice publisher, they included only Off-Broadway but were later expanded to Off-Off-Broadway. There are no fixed categories and no listed nominations and not every category is awarded each year.
PULITZER PRIZE FOR DRAMA. Since 1917, Columbia University, in New York City, has awarded annual prizes for achievement in American journalism, letters, and music. The prizes were originally endowed with a $500,000 gift from newspaper editor and publisher Joseph Pulitzer (1847–1911). Since 1918, a Pulitzer Prize has been awarded for drama.
Golden Age winners: 1950: South Pacific; 1960: Fiorello!; 1962: How to Succeed in Business without Really Trying
THEATRE WORLD. Since the 1945–1946 season, the Theatre World Award recognizes actors in outstanding Broadway and Off-Broadway productions. The winners are chosen by a committee of New York–based critics, including writers for New York newspapers and Playbill. The awards are traditionally presented annually by former winners, including Carol Channing, Grace Kelly, Meryl Streep, Richard Burton, Laurence Harvey, and Anthony Perkins. The award itself is a bronze sculpture known as Janus after the Roman god of entrances, exits, and all beginnings.
Golden Age winners: 1944–1945: Betty Comden, On the Town; Bambi Linn and John Raitt, Carousel. 1945–1946: Patricia Marshall, The Day Before Spring. 1946–1947: Marion Bell, George Keane, and James Mitchell, Brigadoon; Ann Crowley, Carousel; Ellen Hanley, Barefoot Boy with Cheek; Dorothea MacFarland, Oklahoma!; David Wayne, Finian's Rainbow. 1947–1948: Mark Dawson, High Button Shoes; Patricia Wymore, Hold It!. 1948–1949: Mary McCarty, Sleepy Hollow; Allyn Ann McLerie and Byron Palmer, Where's Charley? 1949–1950: Marcia Henderson, Peter Pan. 1950–1951: Isabel Bigley, Guys and Dolls; Russell Nype, Call Me Madam. 1951–1952: Tony Bavaar, Paint Your Wagon; Peter Conlow, Courtin' Time; Dick Kallman and Helen Wood, Seventeen. 1952–1953: Edie Adams, Wonderful Town; Sheree North, Hazel Flagg; Gwen Verdon, Can-Can. 1953–1954: Joan Diener, Kismet; Carol Haney, The Pajama Game; Jonathan Lucas, The Golden Apple. 1954–1955: Julie Andrews, The Boy Friend; Shirl Conway, Barbara Cook, and David Daniels, Plain and Fancy. 1955–1956: Susan Johnson, The Most Happy Fella; John Michael King, My Fair Lady. 1956–1957: Sydney Chaplin, Bells Are Ringing; Peter Palmer, L'il Abner. 1957–1958: Eddie Hodges and Wynne Miller, The Music Man; Carol Lawrence, West Side Story; Jacqueline Mc-
Keever, Oh Captain!; Robert Morse, Say, Darling. 1958–1959: Pat Suzuki, Flower Drum Song. 1959–1960: Carol Burnett, Once Upon a Mattress; Lauri Peters, The Sound of Music. 1960–1961: Nancy Dussault, Do Re Mi; Robert Goulet, Camelot; Ron Husmann, Tenderloin; Bruce Yarnell, The Happiest Girl in the World. 1961–1962: Elizabeth Ashley, Take Her, She's Mine. 1962–1963: Dorothy Louden, Nowhere to Go but Up; Swen Swenson, Little Me. 1963–1964: Alan Alda, Fair Game for Lovers. 1964–1965: Joyce Jillson, The Roar of the Greasepaint—The Smell of the Crowd; Victor Spinetti, Oh! What a Lovely War. 1965–1966: John Cullum, On a Clear Day You Can See Forever; John Davidson, Oklahoma!; Leslie Ann Warren, Drat! The Cat!.
TONY (Antoinette Perry Awards for Excellence in Theatre). The Tony Awards, founded in 1947, are the American theatre's highest honor, similar to the Academy Awards for motion pictures and the Olivier Award in British theatre. They recognize achievement in live American theatre and are presented annually. They honor Broadway productions and performances, and, in addition, there are Special Tony Awards (including Lifetime Achievement) and Tony Honors for Excellence in the Theatre. The Tonys are named after Antoinette Perry, actor, director, producer, and wartime leader of the American Theatre Wing, which, along with the Broadway League, presents the awards. The award itself is a medallion. The first awards ceremony was held on April 6, 1947, at the Waldorf Astoria hotel in New York City, but the medallion was not actually given to winners until the third ceremony, in 1949.
The American Theatre Wing, originally part of the World War II Allied Relief Fund, was founded in 1939 by a group of theatrical women, including Perry, who were theatre actors and/or patrons. They were dedicated to supporting excellence and education in the theatre. The American Theatre Wing also established the Stage Door Canteen to entertain U.S. servicemen during World War II.
A panel of some 700 judges from all areas of the entertainment industry and press selects Tony winners. The awards, only for productions in the thirty-nine Broadway theatres, cover twenty-seven categories from Best Play to Best Performance by a Leading Actor to Best Choreography to Best Costume Design to Best Sound Design of a Musical (added in 2008). To be eligible, a production must open within the dates specified each year by the Management Committee. For example, the cutoff date for the 2007–2008 season was May 7, 2008. To win a Tony, a "new" play or musical must not have previously been produced on Broadway; however, shows recently transferred from Off-Broadway are regarded as new productions, as are those based closely on films. The rules for the awards are contained in the Rules and Regulations of The American Theatre Wing's Tony Awards. They apply only to the current season.
Top Golden Age winners: 1949: Musical: Kiss Me, Kate; Actor: Ray Bolger, Where's Charley?; Actress: Nanette Fabray, Love Life; Music/Lyrics: Cole Porter, Kiss Me, Kate; Choreography: Gower Champion, Lend an Ear (a revue). 1950: Musical: South Pacific; Actor: Ezio Pinza, South Pacific; Actress: Mary Martin, South Pacific; Music: Richard Rodgers, South Pacific; Lyrics: Oscar Hammerstein II, South Pacific; Choreography: Helen Tamiris, Touch and Go. 1951: Musical: Guys and Dolls; Actor: Robert Alda, Guys and Dolls; Actress: Ethel Merman, Call Me Madam; Music/Lyrics: Frank Loesser, Guys and Dolls; Choreographer: Michael Kidd, Guys and Dolls. 1952: Musical: The King and I; Actor: Phil Silvers, Top Banana; Actress: Gertrude Lawrence, The King and I. Choreographer: Robert Alton, Pal Joey. 1953: Musical: Wonderful Town; Actor: Thomas Mitchell, Hazel Flagg; Actress: Rosalind Russell, Wonderful Town; Music: Leonard Bernstein, Wonderful Town; Choreographer: Donald Saddler, Wonderful Town. 1954: Musical: Kismet; Actor: Alfred Drake, Kismet; Actress: Dolores Gray, Carnival in Flanders; Music: Aleksandr Borodin, Kismet; Choreographer: Michael Kidd, Can-Can. 1955: Musical: The Pajama Game; Actor: Walter Slezak, Fanny; Actress: Mary Martin, Peter Pan; Music/Lyrics: Richard Adler and Jerry Ross, The Pajama Game; Choreographer: Bob Fosse, The Pajama Game. 1956: Musical: Damn Yankees; Actor: Ray Walston, Damn Yankees; Actress: Gwen Verdon, Damn Yankees; Music/Lyrics: Richard Adler and Jerry Ross, Damn Yankees; Choreographer: Bob Fosse, Damn Yankees. 1957: Musical: My Fair Lady; Actor: Rex Harrison, My Fair Lady; Actress: July Holliday, Bells Are Ringing; Music: Frederick Loewe, My Fair Lady; Lyrics: Alan Jay Lerner, My Fair Lady; Choreographer: Michael Kidd, Lil Abner. 1958: Musical: The Music Man; Actor: Robert Preston, The Music Man; Actress: Thelma Ritter and Gwen Verdon (tie), New Girl in Town; Music/Lyrics: Meredith Willson, The Music Man. 1959: Musical: Redhead; Actor: Richard Kiley, Redhead; Actress: Gwen Verdon, Redhead; Music: Albert Hague, Redhead; Choreographer: Bob Fosse, Redhead. 1960: Musical: Fiorello! and The Sound of Music (tie); Actor: Jackie Gleason, Take Me Along; Actress: Mary Martin, The Sound of Music; Music: Jerry Bock, Fiorello!, and Richard Rodgers, The Sound of Music (tie); Choreographer: Michael Kidd, Destry Rides Again. 1961: Musical: Bye Bye Birdie; Actor: Richard Burton, Camelot; Actress: Elizabeth Seal, Irma la Douce; Music. 1962: Musical: How to Succeed in Business without Really Trying; Actor: Robert Morse, How to Succeed in Business without Really Trying; Actress: Anna Maria Alberghetti, Carnival, and Diahann Carroll, No Strings (tie); Music: Richard Rodgers, No Strings; Choreographers; Agnes de Mille, Kwamina, and Joe Layton, No Strings. 1963: Musical: A Funny Thing Happened on the Way to the Forum; Actor: Zero Mostel, A Funny Thing Happened on the Way to the Forum; Actress: Vivien Leigh, Tovarich; Music/Lyrics: Lionel Bart, Oliver!; Choreographer: Bob Fosse, Little Me. 1964: Musical: Hello, Dolly!; Actor: Bert Lahr, Foxy; Actress: Carol Channing, Hello, Dolly!. 1965: Musical: Fiddler on the Roof; Actor: Zero Mostel, Fiddler on the Roof; Actress: Liza Minnelli, Flora, the Red Menace; Music, Lyrics: Jerry Bock and Sheldon Harnick, Fiddler on the Roof; Choreographer: Jerome Robbins, Fiddler on the Roof.
TOURING BROADWAY. Previously known as the National Broadway Theatre Awards, they celebrate excellence in touring Broadway by recognizing both the productions and artists that perform in as many as 140 cities across North America. They are the only national awards for touring shows from Broadway. The award is chosen annually by fans of Broadway.
## Appendix of Show Tunes
Title | Musical
---|---
Abbondanza | The Most Happy Fella
The A.B.C. Song | Stop the World—I Want to Get Off
Abracadabra | Mexican Hayride
Addie's at It Again | I Had a Ball
Adelaide's Lament | Guys and Dolls
Adventure | Do Re Mi
Affable Balding Me | Texas, Li'l Darlin'
After All, It's Spring | Seventeen
Ain't It the Truth | Jamaica
All American | Stop the World—I Want to Get Off
All at Once You Love Her | Pipe Dream
Allegro | Allegro
All 'er Nothin' | Oklahoma!
All for Him | Paint Your Wagon
All for You | Tovarich
All I Need Is the Girl | Gypsy
All in the Cause of Economy | Half a Sixpence
All Kinds of People | Pipe Dream
All of My Life | Do Re Mi
All of You | Silk Stockings
All the Time | Oh Captain!
All You Need Is a Quarter | Do Re Mi
Almost | I Had a Ball
Almost Like Being in Love | Brigadoon
Alone Too Long | By the Beautiful Sea
Always, Always You | Carnival
Always True to You (in My Fashion) | Kiss Me, Kate
Ambition | Do Re Mi
America | West Side Story
American Cannes | As the Girls Go
Anatevka | Fiddler on the Roof
And This Is My Beloved | Kismet
An English Teacher | Bye Bye Birdie
Anna Lilla | New Girl in Town
Another Autumn | Paint Your Wagon
Another Hot Day | 110 in the Shade
Another O'p'nin, Another Show | Kiss Me, Kate
Anyone Who's Who | Happy Hunting
Anyone Would Love You | Destry Rides Again
The Apaches | Can-Can
Aren't You Glad? | The Most Happy Fella
Are You Ready, Gyp Watson? | Destry Rides Again
Are You Sure? | The Unsinkable Molly Brown
Are You with It? | Are You with It?
Arm in Arm | Here's Love
The Army of the Just | Tenderloin
Artificial Flowers | Tenderloin
Asking for You | Do Re Mi
As the Girls Go | As the Girls Go
As Long as He Needs Me | Oliver!
As on Through the Seasons We
Sail | Silk Stockings
As Simple As That | Milk and Honey
At the Spotlight Canteen | Follow the Girls
The Audition | Mr. Wonderful
|
Baby | Bye Bye Birdie
Baby June and Her Newsboys | Gypsy
Bad Companions | Goldilocks
Bad Timing | Billion Dollar Baby
Bajour | Bajour
Bali Ha'i | South Pacific
Ballad of the Garment Trade | I Can Get It for You Wholesale
Ballad of the Gun | Destry Rides Again
A Balloon Is Ascending | Ben Franklin in Paris
Bamboo Cage | House of Flowers
Bargaining | Do I Hear a Waltz?
The Battle | Peter Pan
Baubles, Bangles, and Beads | Kismet
Be a Performer | Little Me
Be a Santa | Subways Are for Sleeping
The Beast in You | Goldilocks
Beatnik Love Affair | Sail Away
Beat Out Dat Rhythm on a Drum | Carmen Jones
Beautiful Candy | Carnival
The Beautiful Land | The Roar of the Greasepaint—The Smell of the Crowd
Be Back Soon | Oliver!
Been a Long Day | How to Succeed in Business without Really Trying
Before I Gaze at You Again | Camelot
Before the Parade Passes By | Hello, Dolly!
The Begat | Finian's Rainbow
Behave Yourself | Redhead
Be Kind to Your Parents | Fanny
Bells Are Ringing | Bells Are Ringing
Belly Up to the Bar | The Unsinkable Molly Brown
Be My Host | No Strings
Benvenuta | The Most Happy Fella
The Best Thing for You Would
Be Me | Call Me Madam
Better Get Out of Here | Where's Charley?
Better Than a Dream | Bells Are Ringing
Bianca | Kiss Me, Kate
The Bicycle Song | High Spirits
The Big Black Giant | Me and Juliet
Big D | The Most Happy Fella
Big Mole | Lost in the Stars
The Big Movie Show in the Sky | Texas, Li'l Darlin'
Bikini Dance | Happy Hunting
A Bird of Passage | Lost in the Stars
Bird Watchers Song | High Button Shoes
Birthday Party | Little Me
Birthday Song | Fanny
Bless This Land | Tenderloin
Blondo | Goldilocks
Bloody Mary | South Pacific
Blow High | Carousel
Bonjour | The Unsinkable Molly Brown
Boom Boom | Little Me
Bottleneck | Destry Rides Again
Boy for Sale | Oliver!
The Boy Friend | The Boy Friend
A Boy Like That | West Side Story
Boys, Boys, Boys | I Had a Ball
The Bridge of Caulaincourt | Irma La Douce
Brigadoon | Brigadoon
Bright College Days | Wish You Were Here
Brighten Up and Be a Little Sunbeam | As the Girls Go
Bring Me My Bride | A Funny Thing Happened on the Way to the Forum
Broadway Blossom | Billion Dollar Baby
Brotherhood of Man | How to Succeed in Business without Really Trying
Brunette | Goldilocks
Brush Up Your Shakespeare | Kiss Me, Kate
The Bugle | Here's Love
The Bum One | Fiorello!
Bums Opera | Pipe Dream
A Bushel and a Peck | Guys and Dolls
But | Irma La Douce
Button Up with Esmond | Gentlemen Prefer Blondes
But Yours | Take Me Along
Bye Bye Baby | Gentlemen Prefer Blondes
|
Call Me Savage | Fade Out—Fade In
Calypso | The Golden Apple
Camelot | Camelot
Camp Karefree | Wish You Were Here
Can-Can | Can-Can
Can It Be Possible? | I Had a Ball
Can't You Just See Yourself in Love with Me? | High Button Shoes
Can't You See It? | Golden Boy
Can You Use Any Money Today? | Call Me Madam
Captain Henry St. James | Oh Captain!
Carino Mio | Paint Your Wagon
Carlotta | Mexican Hayride
Carnival Ballet | Carnival
The Carnival Song | Say, Darling
Carried Away | On the Town
Castle Walk | High Button Shoes
Certain Individuals | Wish You Were Here
C'est Magnifique | Can-Can
Charleston | Billion Dollar Baby
Charlie Welch | Mr. Wonderful
The Chase | Brigadoon
Chess and Checkers | New Girl in Town
Chick-a-Pen | The Unsinkable Molly Brown
Chief of Love | Say, Darling
Children's Ballet | Allegro
Chin Up, Ladies | Milk and Honey
Chop Suey | Flower Drum Song
Christmas Child | Irma La Douce
Christopher Street | Wonderful Town
The Church Social | The Golden Apple
Cinderella Darling | How to Succeed in Business without Really Trying
Circe, Circe | The Golden Apple
City Mouse, Country Mouse | Plain and Fancy
Climb Every Mountain | The Sound of Music
Close Harmony | Fade Out—Fade In
Cockeyed Optimist | South Pacific
Cocoanut Sweet | Jamaica
The Code | Ankles Aweigh
Coffee Break | How to Succeed in Business without Really Trying
Cold, Clear World | Baker Street
Cold Cream Jar Song | Fanny
Colorful | Golden Boy
Come Along, Boys | The Golden Apple
Come Along with Me | Can-Can
Come and Be My Butterfly | Hello, Dolly!
Come Back to Me | On a Clear Day You Can See Forever
Comedy Tonight | A Funny Thing Happened on the Way to the Forum
Come Home | Allegro
Comes Once in a Lifetime | Subways Are for Sleeping
Come to Me | Sail Away
Come to Me, Bend to Me | Brigadoon
Come Up to My Place | On the Town
The Company Way | How to Succeed in Business without Really Trying
Coney Island Boat | By the Beautiful Sea
Coney Island, U.S.A. | I Had a Ball
Conga! | Wonderful Town
Conquering New York | Wonderful Town
Consider Yourself | Oliver!
Conversation Piece | Wonderful Town
Cool | West Side Story
Coquette | Gentlemen Prefer Blondes
Corduroy Road | Wildcat
Cornet Man | Funny Girl
Could Be | Wish You Were Here
The Country's in the Very Best Hands | L'il Abner
Count Your Blessings | Mexican Hayride
Cry the Beloved Country | Lost in the Stars
Cry Like the Wind | Do Re Mi
|
Dainty June and Her Farmboys | Gypsy
Dance | Tenderloin
The Dance at the Gym | West Side Story
Dance Only with Me | Say, Darling
Dancing | Hello, Dolly!
The Dangerous Age | Fade Out—Fade In
Dat's Love | Carmen Jones
Dat's Our Man | Carmen Jones
The Day Before Spring | The Day Before Spring
The Day I Do | Wildcat
Days Gone By | She Loves Me
Dear Friend | She Loves Me
Dear Friend | Tenderloin
De Cards Don't Lie | Carmen Jones
Deep Down Inside | Little Me
The Denver Police | The Unsinkable Molly Brown
The Departure of Rhododendron | The Golden Apple
Dere's a Café on de Corner | Carmen Jones
Diamonds Are a Girl's Best Friend | Gentlemen Prefer Blondes
Diane Is | Ben Franklin in Paris
Did You Close Your Eyes? | New Girl in Town
Dimples | Little Me
Direct from Vienna | Carnival
Dis-Donc | Irma La Douce
Dis Flower | Carmen Jones
Distant Melody | Peter Pan
Dites-Moi, Pourquoi? | South Pacific
Does He Know? | Fanny
Dog Is a Man's Best Friend | Top Banana
Do I Hear a Waltz? | Do I Hear a Waltz?
Doin' What Comes Naturally | Annie Get Your Gun
Do It Yourself | Bells Are Ringing
Don Jose | Wish You Were Here
Don't Be Afraid of Romance | Mr. President
Don't Cry | The Most Happy Fella
Don't Forget 127th Street | Golden Boy
Don't Like Goodbyes | House of Flowers
Don't Marry Me | Flower Drum Song
Don't Rain on My Parade | Funny Girl
Don't Tamper with My Sister | On a Clear Day You Can See Forever
Don't Tell Me | Happy Hunting
Don't Turn Away from Love | Sail Away
Doomed, Doomed, Doomed | The Golden Apple
Do-Re-Me | The Sound of Music
Down in the Valley | Texas, Li'l Darlin'
Down on MacConnachy Square | Brigadoon
Do You Love Me? | Fiddler on the Roof
Dreams Come True | Billion Dollar Baby
Dr. Brock | Tenderloin
Dr. Freud | I Had a Ball
Drop That Name | Bells Are Ringing
|
Eager Beaver | No Strings
Eagle and Me | Bloomer Girl
Eat a Little Something | I Can Get It for You Wholesale
Economics | Love Life
Elegance | Hello, Dolly!
Elevator Song | Top Banana
Eleven O'Clock Song | Ankles Aweigh
El Sombrero | Wildcat
The Embassy Waltz | My Fair Lady
Empty Pockets Filled with Love | Mr. President
Erbie Finch's Twitch | Redhead
Essie's Vision | Redhead
Ethel, Baby | Mr. Wonderful
Evelina | Bloomer Girl
Everybody Likes You | Carnival
Everybody Loves Everybody | Wish You Were Here
Everybody Ought to Have a Maid | A Funny Thing Happened on the Way to the Forum
Everybody's Got a Home but Me | Pipe Dream
Every Man Is a Stupid Man | Can-Can
Every Once in a While | Destry Rides Again
Every Street's a Boulevard in Old New York | Hazel Flagg
Everything Beautiful Happens at Night | 110 in the Shade
Everything's Coming Up Roses | Gypsy
Everything's Great | Golden Boy
The Exorcism | High Spirits
Expect Things to Happen | Here's Love
Extra, Extra | Miss Liberty
|
Fade Out—Fade In | Fade Out—Fade In
Fair Warning | Destry Rides Again
Fairyland | Carnival
Faith | I Had a Ball
Falling Out of Love Can Be Fun | Miss Liberty
Family Fugue | Stop the World—I Want to Get Off
Family Way | I Can Get It for You Wholesale
Fancy Forgetting | The Boy Friend
Fanny | Fanny
Fan Tan Fannie | Flower Drum Song
Far from the Home I Love | Fiddler on the Roof
The Farmer and the Cowman | Oklahoma!
Farmer's Daughter | Bloomer Girl
Faster Than Sound | High Spirits
Fate | Kismet
Father's Day | As the Girls Go
Fear | Fade Out—Fade In
Fear! | Lost in the Stars
Feeling Good | The Roar of the Greasepaint—The Smell of the Crowd
A Fella Needs a Girl | Allegro
Femininity | Oh Captain!
Fickle Finger of Fate | I Had a Ball
The Fiddler and the Fighter | Fade Out—Fade In
Fie on Goodness! | Camelot
The Fight | Golden Boy
Finaletto | How to Succeed in Business without Really Trying
Finding Words for Spring | Baker Street
Find Yourself a Man | Funny Girl
Fireworks | Do Re Mi
The First Lady | Mr. President
Five More Minutes in Bed | Are You with It?
Flash Bang Wallop | Half a Sixpence
Flattery | Wish You Were Here
Flings | New Girl in Town
Follow the Fold | Guys and Dolls
Follow the Girls | Follow the Girls
Follow Your Heart | Plain and Fancy
Food, Glorious Food | Oliver!
Foolish Heart | One Touch of Venus
Forever and a Day | High Spirits
For Every Fish | Jamaica
For Love or Money | Happy Hunting
For Sweet Charity | Take Me Along
Four O'Clock | Lost in the Stars
Free | A Funny Thing Happened on the Way to the Forum
The Freedom of the Seas | Irma La Douce
Freshman Dance | Allegro
Fresno Beauties | The Most Happy Fella
The Friendliest Thing | What Makes Sammy Run?
Friends to the End | The Day Before Spring
From a Prison Cell | Irma La Douce
From This Day On | Brigadoon
Fugue for Tinhorns | Guys and Dolls
A Funny Thing Happened | I Can Get It for You Wholesale
|
Gaby's Comin' | On the Town
The Game | Damn Yankees
The Game of Love | Happy Hunting
Gary, Indiana | The Music Man
Gee, Officer Krupke | West Side Story
The Gentleman Is a Dope | Allegro
Gentleman Jimmy | Fiorello!
Gentlemen Prefer Blondes | Gentlemen Prefer Blondes
Geraniums in the Winder | Carousel
Gesticulate | Kismet
Get Away for a Day in the Country | High Button Shoes
Get Me to the Church on Time | My Fair Lady
Getting to Know You | The King and I
A Gift Today | I Can Get It for You Wholesale
Gimme Some | Golden Boy
Girls | Mexican Hayride
Girls Like Me | Subways Are for Sleeping
The Girl That I Marry | Annie Get Your Gun
Give It All You Got | Oh Captain!
Give the Little Lady | Goldilocks
Give a Little Whistle | Wildcat
Glad to Be Home | Mr. President
Gliding Through My Memoree | Flower Drum Song
Glorious Russian | Stop the World—I Want to Get
Off
God Bless the Human Elbow | Ben Franklin in Paris
God's Green World | The Day Before Spring
Go Home Train | Fade Out—Fade In
Go into Your Trance | High Spirits
Golden Boy | Golden Boy
Gonna Build a Mountain | Stop the World—I Want to Get
Off
Goodbye, Georg | She Loves Me
Goodbye, Old Girl | Damn Yankees
Good Clean Fun | Tenderloin
Good Morning, Good Day | She Loves Me
Goodnight Ladies | The Music Man
Goodnight, My Someone | The Music Man
Good Time Charlie | By the Beautiful Sea
Goona-Goona | The Golden Apple
Go Slow, Johnny | Sail Away
The Gossips | Where's Charley?
Gotta Dance | Look, Ma, I'm Dancin'!
Grand Imperial Cirque de Paris | Carnival
Grand Knowing You | Seventeen
Grand Old Ivy | How to Succeed in Business without Really Trying
Grant Avenue | Flower Drum Song
Green-Up Times | Love Life
Growing Pains | A Tree Grows in Brooklyn
Guarantees | Bajour
Guenevere | Camelot
Guys and Dolls | Guys and Dolls
|
The Haggie | Bajour
Hail, Bibinski | Silk Stockings
Half the Battle | Ben Franklin in Paris
Half a Sixpence | Half a Sixpence
Hand Me Down That Can O Beans | Paint Your Wagon
The Happiest House on the Block | Pipe Dream
Happily Ever After | Once Upon a Mattress
Happy Birthday, Mrs. J. J. Brown | The Unsinkable Molly Brown
Happy Habit | By the Beautiful Sea
Happy Hunting | Happy Hunting
Happy Talk | South Pacific
Happy to Be | The Most Happy Fella
Happy to Keep His Dinner Warm | How to Succeed in Business without Really Trying
Has I Let You Down? | House of Flowers
Have I Told You Lately? | I Can Get It for You Wholesale
Havin' a Time | Billion Dollar Baby
Headin' for the Bottom | Ankles Aweigh
Heart | Damn Yankees
Heart of Stone | Goldilocks
The Heather on the Hill | Brigadoon
Hector's Song | The Golden Apple
He Had Refinement | A Tree Grows in Brooklyn
Helen Is Always Willing | The Golden Apple
Hello, Dolly! | Hello, Dolly!
Hello, Hazel | Hazel Flagg
Hello, Hello There! | Bells Are Ringing
Hello, Mazurka | Bells Are Ringing
Hello, Young Lovers! | The King and I
Henry Street | Funny Girl
Here I Go Again | Are You with It?
Here I'll Stay | Love Life
Here's Love | Here's Love
Here's to Dear Old Us | Ankles Aweigh
Here's to Us | Little Me
Here We Are Again | Do I Hear a Waltz?
Her Face | Carnival
Her Is | The Pajama Game
Hernando's Hideaway | The Pajama Game
The Heroes Come Home | The Golden Apple
He's in Love | Kismet
He's a VIP | Do Re Mi
He Tried to Make a Dollar | High Button Shoes
Hey, Look Me Over | Wildcat
Hey Madame | Oh Captain!
Hey There | The Pajama Game
Hic Haec Hoc | Ben Franklin in Paris
The Highest Judge of All | Carousel
The Hills of Ixopo | Lost in the Stars
His and Hers | Ankles Aweigh
His Love Makes Me Beautiful | Funny Girl
Ho, Bill, O! | Love Life
Holiday in the Country | As the Girls Go
Home Again | Fiorello!
Homesick Blues | Gentlemen Prefer Blondes
Home Sweet Heaven | High Spirits
Homework | Miss Liberty
Honestly Sincere | Bye Bye Birdie
Honest Man | Bajour
Honey Bun | South Pacific
Honeymoon | Ankles Aweigh
Hook's Waltz | Peter Pan
Hoop-de-Dingle | Destry Rides Again
Hooray for George the Third | By the Beautiful Sea
Hootin' Owl Trail | Texas, Li'l Darlin'
Horseshoes Are Lucky | Texas, Li'l Darlin'
The Hosier Way | Seventeen
The Hostess with the Mostest on
the Ball | Call Me Madam
House of Flowers | House of Flowers
The House of Marcus Lycus | A Funny Thing Happened on the Way to the Forum
House on Rittenhouse Square | Gentlemen Prefer Blondes
How Are Things in Glocca Morra? | Finian's Rainbow
How Beautiful the Days | The Most Happy Fella
How Can I Wait? | Paint Your Wagon
How Can Love Survive? | The Sound of Music
How Can You Describe a Face? | Subways Are for Sleeping
How Do You Do, Miss Pratt? | Seventeen
How Do You Raise a Barn? | Plain and Fancy
How Do You Speak to an Angel? | Hazel Flagg
How Laughable It Is | Ben Franklin in Paris
How Long? | Pipe Dream
How Lovely to Be a Woman | Bye Bye Birdie
How the Money Changes Hands | Tenderloin
How Much I Love You | One Touch of Venus
How Sad | No Strings
How To | How to Succeed in Business without Really Trying
How to Handle a Woman | Camelot
Humming | Carnival
A Hundred Million Miracles | Flower Drum Song
Hungry Men | 110 in the Shade
Hurry! It's Lovely Up Here! | On a Clear Day You Can See Forever
The Husking Bee | Say, Darling
Hymn for a Sunday Evening | Bye Bye Birdie
A Hymn to Him | My Fair Lady
Hymn to Hymie | Milk and Honey
|
I Ain't Down Yet | The Unsinkable Molly Brown
I Am Ashamed That Women Are
so Simple | Kiss Me, Kate
I Am Going to Like It Here | Flower Drum Song
I Am in Love | Can-Can
I Believe in You | How to Succeed in Business without Really Trying
I Can | Bajour
I Can't Be in Love | Goldilocks
I Can't Say No | Oklahoma!
Icecream | She Loves Me
I Could Be Happy With You | The Boy Friend
I Could Get Married Today | Seventeen
I Could Have Danced All Night | My Fair Lady
I'd Do Anything | Oliver!
I'd Do It Again | Baker Street
I Don't Know His Name | She Loves Me
I Don't Think I'll End It All Today | Jamaica
I'd Rather Wake Up By Myself | By the Beautiful Sea
I Enjoy Being a Girl | Flower Drum Song
I Feel Humble | What Makes Sammy Run?
I Feel Like I'm Gonna Live
Forever | Hazel Flagg
I Feel Like I'm Not Out of
Bed Yet | On the Town
I Feel Pretty | West Side Story
If Ever I Would Leave You | Camelot
If a Girl Isn't Pretty | Funny Girl
If I Can't Take It with Me | Goldilocks
If I Gave You | High Spirits
If I Had My Druthers | L'il Abner
If I Knew | The Unsinkable Molly Brown
If I Loved You | Carousel
If I Were a Bell | Guys and Dolls
If I Were a Rich Man | Fiddler on the Roof
If Momma Was Married | Gypsy
If'n | Happy Hunting
I Fought Every Step of the Way | Top Banana
If the Rain's Got to Fall | Half a Sixpence
If That Was Love | New Girl in Town
If This Isn't Love | Finian's Rainbow
If We Only Could Stop the Old Town Clock | Seventeen
If You Haven't Got a Sweetheart | A Tree Grows in Brooklyn
If You'll Be Mine | Look, Ma, I'm Dancin'!
If You Loved Me Truly | Can-Can
I Get Embarrassed | Take Me Along
I Get a Kick Out of You | Mexican Hayride
I Got Everything I Want | I Had a Ball
I Got Lost in His Arms | Annie Get Your Gun
I Go to Bed | Tovarich
I Got a Song | Bloomer Girl
I Had a Ball | I Had a Ball
I Hate Him | Carnival
I Hate Him | Destry Rides Again
I Hate Men | Kiss Me, Kate
I Have Dreamed | The King and I
I Have a Love | West Side Story
I Have to Tell You | Fanny
I Invited Myself | Ben Franklin in Paris
I Just Can't Wait | Subways Are for Sleeping
I Just Heard | Fiddler on the Roof
I Know about Love | Do Re Mi
I Know the Feeling | Tovarich
I Know How It Is | The Most Happy Fella
I Know It Can Happen Again | Allegro
I Know What I Am | Half a Sixpence
I Know Your Heart | High Spirts
I Know Your Kind | Destry Rides Again
I Like You | Fanny
I'll Buy You a Star | A Tree Grows in Brooklyn
I'll Go Home with Bonnie Jean | Brigadoon
I'll Know | Guys and Dolls
I'll Never Be Jealous Again | The Pajama Game
I'll Never Say No | The Unsinkable Molly Brown
I'll Show Him | Plain and Fancy
I'll Try | Redhead
Ilona | She Loves Me
I Love a Cop | Fiorello!
I Loved You Once in Silence | Camelot
I Loved You This Morning | The Day Before Spring
I Love the Ladies | Ben Franklin in Paris
I Love Paris | Can-Can
I Love What I'm Doing | Gentlemen Prefer Blondes
I Love You | Little Me
I Love You | Mexican Hayride
I'm Back in Circulation | Redhead
I'm Calm | A Funny Thing Happened on the Way to the Forum
I Met a Girl | Bells Are Ringing
I'm the First Girl | Look, Ma, I'm Dancin'!
I'm a Funny Dame | Happy Hunting
I'm Glad I'm Leaving | Hazel Flagg
I'm Going Back | Bells Are Ringing
I'm Gonna Get Him | Mr. President
I'm Gonna Leave off Wearing My Shoes | House of Flowers
I'm Gonna Wash That Man Right Outta My Hair | South Pacific
I'm the Greatest Star | Funny Girl
I'm in London Again | Baker Street
I'm in Love with a Wonderful Guy | South Pacific
I'm Just Taking My Time | Subways Are for Sleeping
I'm Like a New Broom | A Tree Grows in Brooklyn
I'm Not at All in Love | The Pajama Game
I'm Not So Bright | Look, Ma, I'm Dancin'!
I'm On the Way | Paint Your Wagon
I'm an Ordinary Man | My Fair Lady
I'm Past My Prime | L'il Abner
Impossible | A Funny Thing Happened on the Way to the Forum
I'm a Stranger Here Myself | One Touch of Venus
I'm Sure of Your Love | Billion Dollar Baby
I'm a Tingle, I'm a Glow | Gentlemen Prefer Blondes
I'm Tired of Texas | Look, Ma, I'm Dancin'!
I'm with You | Fade Out—Fade In
I'm You're Man | Love Life
I'm Your Girl | Me and Juliet
In Between | Paint Your Wagon
Independence Day Hora | Milk and Honey
Indians! | Peter Pan
I Never Has Seen Snow | House of Flowers
I Never Know When | Goldilocks
In a Little While | Once Upon a Mattress
In Our Cozy Little Cottage of Tomorrow | Are You with It?
In Our Hideaway | Mr. President
Intermission Talk | Me and Juliet
Introducin' Mr. Paris | The Golden Apple
Introduction Tango | Tovarich
Iowa Stubborn | The Music Man
I Put My Hand In | Hello, Dolly!
I Remember It Well | Love Life
I Resolve | She Loves Me
Irma La Douce | Irma La Douce
I Said It and I'm Glad | Subways Are for Sleeping
I Say Hello | Destry Rides Again
I See Something | What Makes Sammy Run?
I Shall Miss You | Baker Street
I Shall Scream | Oliver!
Is He the Only Man in the World | Mr. President
I Sing of Love | Kiss Me, Kate
Is It a Crime? | Bells Are Ringing
Is It Him or Is It Me | Love Life
Is It Really Me? | 110 in the Shade
Is That My Prince? | A Tree Grows in Brooklyn
I Still Get Jealous | High Button Shoes
I Still See Elisa | Paint Your Wagon
I Talk to the Trees | Paint Your Wagon
Italy | Ankles Aweigh
It Feels Good | Me and Juliet
It Gets Lonely in the White House | Mr. President
It Isn't Enough | The Roar of the Greasepaint—The Smell of the Crowd
It Only Takes a Moment | Hello, Dolly!
It's All Right with Me | Can-Can
It's a Chemical Reaction | Silk Stockings
It's a Darn Campus | Allegro
It's Delightful Down in Chile | Gentlemen Prefer Blondes
It's Doom | Say, Darling
It's a Fine Life | Oliver!
It's the Going Home Together | The Golden Apple
It's Good to Be Alive | New Girl in Town
It's Good to Be Back Home | Fade Out—Fade In
It's Good to Be Here | Happy Hunting
It's Great to Be Alive | Texas, Li'l Darlin'
It's a Helluva Way to Run a Love Affair | Plain and Fancy
It's High Time | Gentlemen Prefer Blondes
It's Legitimate | Do Re Mi
It's Like a Beautiful Woman | Happy Hunting
It's Love | Wonderful Town
It's a Lovely Day Today | Call Me Madam
It's Me | Me and Juliet
It's More Fun Than a Picnic | As the Girls Go
It's Never Quite the Same | Oh Captain!
It's Never Too Late to Fall in Love | The Boy Friend
It's a Perfect Relationship | Bells Are Ringing
It's a Scandal! It's an Outrage! | Oklahoma!
It's the Second Time You Meet that Matters | Say, Darling
It's a Simple Little System | Bells Are Ringing
It's So Simple | Baker Street
It's You | Mr. Wonderful
It Takes a Woman | Hello, Dolly!
It Takes a Woman to Get a Man | As the Girls Go
It Used to Be | Tovarich
It Was a Glad Adventure | The Golden Apple
It Was Good Enough for Grandma | Bloomer Girl
It Wonders Me | Plain and Fancy
I Understand | On the Town
I've Already Started In | The Unsinkable Molly Brown
I've Been There and I'm Back | Oh Captain!
I've Been Too Busy | Mr. Wonderful
I've Come to Wive It Weathily in Padua | Kiss Me, Kate
I've Got the President's Ear | As the Girls Go
I've Got to Be Around | Mr. President
I've Got to Find a Reason | Carnival
I've Got Your Number | Little Me
I've Grown Accustomed to
Her Face | My Fair Lady
I've Never Been in Love Before | Guys and Dolls
I Wanna Get Married | Follow the Girls
I Want to Be Rich | Stop the World—I Want to Get
Off
I Want to Be Seen with You
Tonight | Funny Girl
I Want to Be with You | Golden Boy
(I Was Born Under a) Wandrin'
Star | Paint Your Wagon
I Was a Shoo-in | Subways Are for Sleeping
I Whistle a Happy Tune | The King and I
I Will Follow You | Milk and Honey
I Wish I Was Dead | On the Town
I Wonder What the King is Doing Tonight | Camelot
I Won't Grow Up | Peter Pan
I Would Die | Take Me Along
|
Jacques D'Iraq | Mr. Wonderful
Jazz | Look, Ma, I'm Dancin'!
Jeannie's Packing Up | Brigadoon
The Jester and I | Once Upon a Mattress
Jet Song | West Side Story
Jewelry | Baker Street
Joey, Joey, Joey | The Most Happy Fella
John Paul Jones | Follow the Girls
The Joker | The Roar of the Greasepaint—The Smell of the Crowd
Josephine | Silk Stockings
Joseph Taylor Jr. | Allegro
Jubilation T. Cornpone | L'il Abner
The Judgment of Paris | The Golden Apple
A Jug of Wine | Damn Yankees
The Juke Box Hop | Do Re Mi
June Is Busting Out All Over | Carousel
Just Another Guy | Happy Hunting
Just Beyond the Rainbow | Are You with it?
Just for Once | Redhead
Just in Time | Bells Are Ringing
Just a Kiss Apart | Gentlemen Prefer Blondes
Just One Way to Say I Love You | Miss Liberty
Just You Wait | My Fair Lady
|
Kansas City | Oklahoma!
Katie Went to Haiti | Mexican Hayride
Keep a Hoppin' | The Unsinkable Molly Brown
Keeping Cool with Coolidge | Gentlemen Prefer Blondes
Keep It Gay | Me and Juliet
Keep It Simple | Oh Captain!
Kiss Me and Kill Me with Love | Ankles Aweigh
Kiss Me, Kate | Kiss Me, Kate
Kiss Me No Kisses | What Makes Sammy Run?
Kukla Katusha | Tovarich
|
Lady in Waiting | Goldilocks
La Festa | Ankles Aweigh
The Late, Late Show | Do Re Mi
Later Than Spring | Sail Away
Laugh It Up | Mr. President
Laura De Maupassant | Hazel Flagg
Lazy Afternoon | The Golden Apple
Lazy Moon | Goldilocks
Leadville Johnny Brown | The Unsinkable Molly Brown
Leave the Atom Alone | Jamaica
Leave It to Us, Gov | Baker Street
Le Grisbi Is le Root of le Evil in Man | Irma La Douce
Let Me Entertain You | Gypsy
Let's Do It | Mexican Hayride
Let's Go Back to the Waltz | Mr. President
Let's Not Waste a Moment | Milk and Honey
Let's Take an Old Fashioned Walk | Miss Liberty
Letters | Baker Street
Lichtenburg | Call Me Madam
Lida Rose | The Music Man
Life Does a Man a Favor | Oh Captain!
A Life with Rocky | Billion Dollar Baby
Lift 'Em Up and Put 'Em Down | Carmen Jones
Like a God | Flower Drum Song
Like a Young Man | Milk and Honey
Lila Tremaine | Fade Out—Fade In
Lites—Camera—Platitude | What Makes Sammy Run?
Little Biscuit | Jamaica
A Little Bit of Love | Wonderful Town
The Little Boy Blues | Look, Ma, I'm Dancin'!
A Little Brains | Damn Yankees
A Little Fish in a Big Pond | Miss Liberty
A Little Girl from Little Rock | Gentlemen Prefer Blondes
The Little Gray House | Lost in the Stars
Little Green Snake | Take Me Along
Little Me | Little Me
A Little More Heart | Hazel Flagg
Little Old New York | Tenderloin
The Little Ones' ABC | Sail Away
A Little Red Hat | 110 in the Shade
Little Tin Box | Fiorello!
Live and Let Live | Can-Can
Living Simply | Bajour
Liza Crossing the Ice | Bloomer Girl
Lizzie's Coming Home | 110 in the Shade
Loads of Love | No Strings
The Lonely Gotherd | The Sound of Music
Lonely Room | Oklahoma!
Lonely Town | On the Town
Long Ago | Half a Sixpence
Long Before I Knew You | Bells Are Ringing
A Long Time Ago | The Most Happy Fella
Look at 'Er | New Girl in Town
Look at That Face | The Roar of the Greasepaint—The Smell of the Crowd
Look for Small Pleasures | Ben Franklin in Paris
Look, Little Girl | Here's Love
Look No Further | No Strings
Look to the Rainbow | Finian's Rainbow
Look Who's Dancing | A Tree Grows in Brooklyn
Look Who's in Love | Redhead
A Lopsided Bus | Pipe Dream
Lorna's Here | Golden Boy
Lost in the Stars | Lost in the Stars
A Lot of Livin' to Do | Bye Bye Birdie
Lottie Gibson Specialty | By the Beautiful Sea
Love and Kindness | The Most Happy Fella
Love Come Take Me Again | Here's Love
Love, Don't Turn Away | 110 in the Shade
Love from a Heart of Gold | How to Succeed in Business without Really Trying
Love Hell | Oh Captain!
Love, I Hear | A Funny Thing Happened on the Way to the Forum
Love in a Home | L'il Abner
Love Is a Chance | Bajour
Love Is the Reason | A Tree Grows in Brooklyn
Love Is a Very Light Thing | Fanny
Lovelier Than Ever | Where's Charley?
Love-Line | Bajour
Love Look Away | Flower Drum Song
Lovely | A Funny Thing Happened on the Way to the Forum
A Lovely Girl | Billion Dollar Baby
Love Makes the World Go | No Strings
Love Me, Love My Dog | Texas, L'il Darlin'
The Love of My Life | Brigadoon
Love Song | Love Life
Luck Be a Lady | Guys and Dolls
Lucky in the Rain | As the Girls Go
Lucky to Be Me | On the Town
Lullaby | Once Upon a Mattress
Lumbered | Stop the World—I Want to Get Off
The Lusty Month of May | Camelot
L. Z. in the Quest of His Youth | Fade Out—Fade In
|
Madame Rose's Toreadorables | Gypsy
Madame ZuZu | Love Life
Magic, Magic | Carnival
---|---
Maidens Typical of France | Can-Can
Maine | No Strings
Make a Friend | Tovarich
Make the Man Love Me | A Tree Grows in Brooklyn
Make a Miracle | Where's Charley?
Make the People Cry | Hazel Flagg
Make Someone Happy | Do Re Mi
Mama, Mama | I Can Get It for You Wholesale
Mamie Is Mimi | Gentlemen Prefer Blondes
A Man and a Woman | 110 in the Shade
A Man Doesn't Know | Damn Yankees
Man for Sale | Bloomer Girl
The Man I Used to Be | Pipe Dream
Man of the Year This Week | Top Banana
Man to Man Talk | Once Upon a Mattress
The Man Who Has Everything | No Strings
Many Moons Ago | Once Upon a Mattress
Many a New Day | Oklahoma!
The Marathon Dance Faithless | Billion Dollar Baby
The Marathoners | Billion Dollar Baby
Mardi Gras | House of Flowers
Maria | The Sound of Music
Maria | West Side Story
Marion the Librarian | The Music Man
Marriage Type Love | Me and Juliet
A Married Man | Baker Street
Marrying for Love | Call Me Madam
Marry the Man Today | Guys and Dolls
Matchmaker, Matchmaker | Fiddler on the Roof
The Matrimonial Stomp | L'il Abner
Maybe Some Other Time | What Makes Sammy Run?
May We Entertain You | Gypsy
Me and My Bundle | Miss Liberty
Meat and Potatoes | Mr. President
Meet Miss Blendo | Top Banana
Meilinki, Meilchick | Stop the World—I Want to Get Off
Melinda | On a Clear Day You Can See Forever
Melisande | 110 in the Shade
Merely Marvelous | Redhead
Miami | Mr. Wonderful
The Midas Touch | Bells Are Ringing
Milk and Honey | Milk and Honey
Million Dollar Smile | Billion Dollar Baby
Mine Next Monday | A Tree Grows in Brooklyn
Mine 'Til Monday | A Tree Grows in Brooklyn
The Minstrel | Once Upon a Mattress
Minstrel Parade | Love Life
Mira | Carnival
Miracle of Miracles | Fiddler on the Roof
Miss Liberty | Miss Liberty
Miss Marmelstein | I Can Get It for You Wholesale
Mix and Mingle | Wish You Were Here
Mona from Arizona | By the Beautiful Sea
Money Isn't Everything | Allegro
Money to Burn | Half a Sixpence
Monkey in the Mango Tree | Jamaica
Monsoon | What Makes Sammy Run?
A Month of Sundays | Texas, Li'l Darlin'
Montmartre | Can-Can
Moon in My Window | Do I Hear a Waltz?
More I Cannot Wish You | Guys and Dolls
More Love Than Your Love | By the Beautiful Sea
The Morning Music of
Montmartre | Oh Captain!
The Most Expensive Statue in the World | Miss Liberty
The Most Happy Fella | The Most Happy Fella
Motel Kamzoil | Fiddler on the Roof
Mother Hare's Prophecy | The Golden Apple
Mother Hare's Seance | The Golden Apple
Motherhood | Hello, Dolly!
Mother's Getting Nervous | Love Life
Move Over, America | Bajour
Move Over, New York | Bajour
Mr. Goldstone | Gypsy
Mr. Livingstone | Happy Hunting
Mr. Right | Love Life
Mrs. Sally Adams | Call Me Madam
Mr. Wonderful | Mr. Wonderful
Mu-Cha-Cha | Bells Are Ringing
Mumbo Jumbo | Stop the World—I Want to Get Off
Murder in Parkwold | Lost in the Stars
The Music That Makes Me Dance | Funny Girl
Must It Be Love? | Bajour
Mutual Admiration Society | Happy Hunting
My Darlin' Eileen | Wonderful Town
My Darling, My Darling | Where's Charley?
My Favorite Things | The Sound of Music
My First Love Song | The Roar of the Greasepaint—The Smell of the Crowd
My Fortune Is My Face | Fade Out—Fade In
My Gentle Young Johnny | Tenderloin
My Girl Is Just Enough Woman for Me | Redhead
My Heart Belongs to Daddy | Mexican Hayride
My Home Is in My Shoes | Top Banana
My Home Town | What Makes Sammy Run?
My Joe | Carmen Jones
My Kind of Night | Love Life
My Lord and Master | The King and I
My Love Is a Married Man | The Day Before Spring
My Love Is on the Way | The Golden Apple
My Miss Mary | Tenderloin
My Mother's Weddin' Day | Brigadoon
My Name | Oliver!
My Name Is Samuel Cooper | Love Life
My Own Brass Bed | The Unsinkable Molly Brown
My Picture in the Papers | The Golden Apple
My State | Here's Love
Mysterious Lady | Peter Pan
My Time of Day | Guys and Dolls
My Way | The Roar of the Greasepaint—The Smell of the Crowd
My White Knight | The Music Man
My Wish | Here's Love
|
Nag! Nag! Nag! | Stop the World—I Want to Get Off
Namely You | L'il Abner
The Name's LaGuardia | Fiorello!
Napoleon | Jamaica
Near to You | Damn Yankees
Necessity | Finian's Rainbow
The Neighborhood Song | I Had a Ball
Never Give Anything Away | Can-Can
Neverland Waltz | Peter Pan
Never, Never Be an Artist | Can-Can
Never Too Late for Love | Fanny
Never Was Born | Bloomer Girl
New Art Is True Art | One Touch of Venus
The New Ashmolean Marching Society and Students' Conversatory Band | Where's Charley?
A Newfangled Tango | Happy Hunting
The New Look | Look, Ma, I'm Dancin'!
A New Pair of Shoes | What Makes Sammy Run?
A New Town Is a Blue Town | Pajama Game
New York, New York | On the Town
The Next Time It Happens | Pipe Dream
Next to Texas, I Love You | High Button Shoes
Night of My Nights | Kismet
Night Song | Golden Boy
Nine O'Clock | Take Me Along
Nitchevo | Tovarich
Nobody Ever Died for Dear Old Rutgers | High Button Shoes
Nobody's Heart but Mine | As the Girls Go
Nobody Told Me | No Strings
No More | Golden Boy
No More Candy | She Loves Me
No! No! No! | Tovarich
No One'll Ever Love You | Goldilocks
No Other Love | Me and Juliet
Normal American Boy | Bye Bye Birdie
Normandy | Once Upon a Mattress
No Strings | No Strings
Not Guilty | Destry Rides Again
Nothing at All | Ankles Aweigh
Nothing Can Replace a Man | Ankles Aweigh
Nothing Ever Happens in Angel's Roost | The Golden Apple
Nothing in Common | Here's Love
Not Since Nineveh | Kismet
No Understand | Do I Hear a Waltz?
No Way | The Sound of Music
Now I Have Everything | Fiddler on the Roof
Nutmeg Insurance | Are You with It?
|
The Ocarina | Call Me Madam
Octopus Song | Fanny
Ode to Lola | Seventeen
Oh Happy Day | L'il Abner
Ohio | Wonderful Town
Oh, My Feet | The Most Happy Fella
Oh, Please | Take Me Along
Oh, What a Beautiful Mornin' | Oklahoma!
O.K. for TV | Top Banana
Oklahoma! | Oklahoma!
Old Devil Moon | Finian's Rainbow
Old Enough to Love | By the Beautiful Sea
The Oldest Established | Guys and Dolls
Old Fashioned Mothers | Ankles Aweigh
Old Maid | 110 in the Shade
The Old Military Canal | Half a Sixpence
Oliver! | Oliver!
The Olive Tree | Kismet
Omm-Pah-Pah | Oliver!
Once in the Highlands | Brigadoon
Once in a Lifetime | Stop the World—I Want to Get
Off
Once in Love with Amy | Where's Charley?
Once Knew a Fella | Destry Rides Again
Once a Time Today | Call Me Madam
Once a Year Day | The Pajama Game
On a Clear Day You Can See Forever | On a Clear Day You Can See Forever
One Boy | Bye Bye Birdie
One Day We Dance | Wildcat
One Foot, Other Foot | Allegro
One Hand, One Heart | West Side Story
One Hundred Easy Ways | Wonderful Town
One Man Ain't Quite Enough | House of Flowers
One Touch of Venus | One Touch of Venus
One-Track Mind | Billion Dollar Baby
On the Farm | New Girl in Town
The Only Dance I Know | Mr. President
Only For Americans | Miss Liberty
Only If You're in Love | Top Banana
The Only One | Tovarich
Only Time Will Tell | Destry Rides Again
On the Side of the Angels | Fiorello!
On the S.S. Bernard Cohn | On a Clear Day You Can See Forever
On the Street Where You Live | My Fair Lady
On a Sunday by the Sea | High Button Shoes
OO-OOO-OOO, What You Do to Me | Seventeen
An Opening for a Princess | Once Upon a Mattress
An Orthodox Fool | No Strings
The Other Generation | Flower Drum Song
The Other Half of Me | I Had a Ball
Other Hands, Other Hearts | Fanny
The Other Side of the Tracks | Little Me
O Tixo, Tixo, Help Me! | Lost in the Stars
Our Language of Love | Irma La Douce
Out for No Good | Follow the Girls
Out of My Dreams | Oklahoma!
Oysters, Cockles, and Mussels | Fanny
|
Paint a Rainbow | What Makes Sammy Run?
Pajama Dance | Look, Ma, I'm Dancin'!
The Pajama Game | The Pajama Game
Panisse and Son | Fanny
Papa, Won't You Dance with Me? | High Button Shoes
The Parade | Take Me Along
Paris Loves Lovers | Silk Stockings
Paris Original | How to Succeed in Business without Really Trying
Paris Wakes Up and Smiles | Miss Liberty
The Party's on the House | Half a Sixpence
The Party's Over | Bells Are Ringing
The Party That We're Gonna Have Tomorrow Night | Pipe Dream
The Passenger's Always Right | Sail Away
Pass the Football | Wonderful Town
Payday | A Tree Grows in Brooklyn
People | Funny Girl
People of Denver | The Unsinkable Molly Brown
People Will Say | Oklahoma!
Perfectly Lovely Couple | Do I Hear a Waltz?
Perfect Young Ladies | The Boy Friend
Pernambuco | Where's Charley?
Perspective | She Loves Me
The Persuasion | Camelot
Piano Lesson | The Music Man
Pickalittle | The Music Man
Pick-Pocket Tango | Redhead
The Picture of Happiness | Tenderloin
Pigtails and Freckles | Mr. President
Pine Cones and Holly Berries | Here's Love
Pity the Sunset | Jamaica
Plain We Live | Plain and Fancy
The Plastic Alligator | Here's Love
Pleasant Beach House | Take Me Along
Plenty of Pennsylvania | Plain and Fancy
Poker Polka | 110 in the Shade
The Policemen's Ball | Miss Liberty
Politics | Texas, Li'l Darlin'
Politics and Poker | Fiorello!
Poor Little Hollywood Star | Little Me
Poor Little Me | Are You with It?
Poor Little Pierrette | The Boy Friend
Pore Jud | Oklahoma!
Postage Stamp-Principality | Happy Hunting
The Pow-Wow Polka | Peter Pan
The Practice Scherzo | Gentlemen Prefer Blondes
Pretty Little Picture | A Funny Thing Happened on the Way to the Forum
The Prince's Farewell | Little Me
Progress | Love Life
Progress Is the Root of All Evil | L'il Abner
Promise Me a Rose | Take Me Along
A Proper Gentleman | Half a Sixpence
Pursuit | Baker Street
The Pussyfoot | Goldilocks
Put 'em Back | L'il Abner
Put on a Happy Face | Bye Bye Birdie
Put on Your Sunday Clothes | Hello, Dolly!
A Puzzlement | The King and I
|
Quadrille | Can-Can
Quiet | Once Upon a Mattress
A Quiet Girl | Wonderful Town
|
Racing with the Clock | The Pajama Game
Rag Offen the Bush | L'il Abner
Rahadlakum | Kismet
The Rain in Spain | My Fair Lady
The Rain Song | 110 in the Shade
Rakish Young Man with the
Wiskuhs | Bloomer Girl
Rat-Tat-Tat-Tat | Funny Girl
Raunchy | 110 in the Shade
Ready Cash | Ankles Aweigh
Real Live Girl | Little Me
Reciprocity | Seventeen
Red-Blooded American Boy | I Had a Ball
The Red Blues | Silk Stockings
Reform | Tenderloin
Relax | Wish You Were Here
Respectability | Destry Rides Again
Restless Heart | Fanny
Reviewing the Situation | Oliver!
Rhymes Have I | Kismet
Ribbons Down My Back | Hello, Dolly!
The Rich | Carnival
Ride 'em, Cowboy | Texas, Li'l Darlin'
Ride Through the Night | Subways Are for Sleeping
Right as the Rain | Bloomer Girl
The Right Finger on My Left Hand | Redhead
Ring Out the Bells | On a Clear Day You Can See Forever
Rita's Audition | Mr. Wonderful
The Road Tour | Golden Boy
Rock Island | The Music Man
Rock, Rock, Rock | As the Girls Go
Roll Yer Socks Up | New Girl in Town
A Romantic Atmosphere | She Loves Me
Roof Space | Baker Street
A Room in Bloomsbury | The Boy Friend
A Room without Windows | What Makes Sammy Run?
Rosabella | The Most Happy Fella
Rosemary | How to Succeed in Business without Really Trying
Rose's Turn | Gypsy
Rosie | Bye Bye Birdie
The Royal Bangkok Academy | The King and I
Rumson | Paint Your Wagon
Runyonland | Guys and Dolls
|
Sabbath Prayer | Fiddler on the Roof
The Sadder-But-Wiser Girl | The Music Man
Sadie, Sadie | Funny Girl
Safety in Numbers | The Boy Friend
Sail Away | Sail Away
The Sailing | Fanny
Salzburg | Bells Are Ringing
The Sandwich Man | High Spirits
Sans Souci | Top Banana
Santa's Lullaby | Bells Are Ringing
Satin and Silk | Silk Stockings
Satin Gown and Silver Shoe | Bloomer Girl
Savannah | Jamaica
Save a Kiss | Goldilocks
Say, Darling | Say, Darling
Say You'll Stay | Tovarich
Scylla and Charybdis | The Golden Apple
The Search | Lost in the Stars
A Secretary Is Not a Toy | How to Succeed in Business without Really Trying
The Secret Service | Mr. President
Security | High Button Shoes
Send Us Back to the Kitchen | Are You with It?
Senorita Dolores, Dolores | On the Town
Sensitivity | Once Upon a Mattress
Serenade with Asides | Where's Charley?
7½ Cents | The Pajama Game
The Seven Deadly Virtues | Camelot
Seventy-Six Trombones | The Music Man
The Sewing Bee | The Golden Apple
The Sew-Up | Bajour
Shall I Take My Heart and Go? | Goldilocks
Shall I Tell You What I Think of You? | The King and I
Shall We Dance? | The King and I
Shalom | Milk and Honey
Shauny O'Shay | Look, Ma, I'm Dancin'!
She Hadda Go Back | Here's Love
She Is Never Far Away | Allegro
She Loves Me | She Loves Me
Shepherd's Song | Milk and Honey
She's Got the Lot | Irma La Douce
She's Just Another Girl | Happy Hunting
She's My Love | Carnival
She's Not Enough Woman for Me | Redhead
She's Too Far Above Me | Half a Sixpence
She Wasn't You/He Isn't You | On a Clear Day You Can See Forever
Shipoopi | The Music Man
Shoeless Joe from Hannibal, Mo | Damn Yankees
Shopping Around | Wish You Were Here
Show Me | My Fair Lady
The Shriners Ballet | Bye Bye Birdie
The Shunning | Plain and Fancy
Shy | Once Upon a Mattress
Siberia | Silk Stockings
Sid, Ol' Kid | Take Me Along
Silk Stockings | Silk Stockings
The Simple Joys of Maidenhood | Camelot
Simple Little Things | 110 in the Shade
The Simpson Sisters | Redhead
Sincere | The Music Man
Sing to Me Guitar | Mexican Hayride
Sit Down, You're Rockin' the Boat | Guys and Dolls
Six Months Out of Every Year | Damn Yankees
1617 Broadway | Mr. Wonderful
Skip the Buildup | Ankles Aweigh
A Sleeping Bee | House of Flowers
Sleep-Tite | The Pajama Game
Slide, Boy, Slide | House of Flowers
Slightly, Slightly | Are You with It?
Slogan Song | Top Banana
A Small Cartel | Tovarich
Small Walk | The Pajama Game
Small World | Gypsy
Social Director | Wish You Were Here
Society Party | L'il Abner
So Far | Allegro
So in Love | Kiss Me, Kate
So Long, Baby | On the Town
So Long, Dearie | Hello, Dolly!
So Long, Farewell | The Sound of Music
Somebody, Somewhere | The Most Happy Fella
Some Days Everything Goes
Wrong | What Makes Sammy Run?
Some Enchanted Evening | South Pacific
Someone Like You | Do I Hear a Waltz?
Someone Nice Like You | Stop the World—I Want to Get Off
Someone Woke Up | Do I Hear a Waltz?
Some Other Time | On the Town
Some People | Gypsy
Something Is Coming to Tea | High Spirits
Something's Always Happening on the River | Say, Darling
Something's Coming | West Side Story
Something Sort of Grandish | Finians' Rainbow
Something Tells Me | High Spirits
Something to Dance About | Call Me Madam
Something to Live For | What Makes Sammy Run?
Something Very Strange | Sail Away
Something Wonderful | The King and I
Somewhere | West Side Story
Song of Love | Once Upon a Mattress
Sons of France | Irma La Douce
Soon | Bajour
The Sound of Money | I Can Get It for You Wholesale
The Sound of Music | The Sound of Music
Sounds While Selling | She Loves Me
Spanish Panic | Once Upon a Mattress
Spanish Rose | Bye Bye Birdie
Speaking of Pals | Million Dollar Baby
Speak Low | One Touch of Venus
A Special Announcement | Stop the World—I Want to Get Off
Square Dance | Texas, Li'l Darlin'
Standing on the Corner | The Most Happy Fella
Stan' Up and Fight | Carmen Jones
Station Rush | Subways Are for Sleeping
Stay | Do I Hear a Waltz?
Staying Young | Take Me Along
Stay Well | Lost in the Stars
Steam Heat | The Pajama Game
Sterophonic Sound | Silk Stockings
Stick Around | Golden Boy
Store-Bought Suit | The Golden Apple
Strange Duet | Subways Are for Sleeping
Stranger in Paradise | Kismet
Strip Flips Hip | Follow the Girls
Stuck with Each Other | Tovarich
Subway Directions | Subways Are for Sleeping
Subway Incident | Subways Are for Sleeping
Subways Are for Sleeping | Subways Are for Sleeping
Success | Do Re Mi
Sue Me | Guys and Dolls
Summer Afternoon | Wish You Were Here
A Summer Incident | High Button Shoes
Summertime Is Summertime | Seventeen
Sunday | Flower Drum Song
Sunday in Cicero Falls | Bloomer Girl
Sunrise, Sunset | Fiddler on the Roof
Sunshine | Gentlemen Prefer Blondes
Sunshine Girl | New Girl in Town
Sur La Page | The Boy Friend
Surprise | Oh Captain!
The Surrey with the Fringe on Top | Oklahoma!
Suzy Is a Good Thing | Pipe Dream
Swamps of Home | Once Upon a Mattress
The Sweetest Sounds | No Strings
Sweet Thursday | Pipe Dream
Swing! | Wonderful Town
Swing Your Projects | Subways Are for Sleeping
Sword, Rose, and Cape | Carnival
|
The Tailor | Fiddler on the Roof
Take Back Your Mink | Guys and Dolls
Take a Crank Letter | Texas, Li'l Darlin'
Take It Slow, Joe | Jamaica
Take a Job | Do Re Mi
Take Me Along | Take Me Along
Take the Moment | Do I Hear a Waltz?
Take Your Time and Take Your Pick | Plain and Fancy
Taking No Chances | Love Life
The Taking of Rhododendrun | The Golden Apple
Talking to You | High Spirits
Talk to Him | Mr. Wonderful
Talk to Me | Bye Bye Birdie
Tall Hope | Wildcat
Tango Tragique | She Loves Me
Tanz Mit Mir | Carnival
Taunting | West Side Story
The Telephone Hour | Bye Bye Birdie
The Tenderloin Celebration | Tenderloin
The Tender Spot | What Makes Sammy Run?
Texas, Li'l Darlin' | Texas, Li'l Darlin'
Thanks for a Lousy Evening | Follow the Girls
Thank You, Madam | She Loves Me
Thank You So Much | Do I Hear a Waltz?
That Dirty Old Man | A Funny Thing Happened on the Way to the Forum
That Face | Tovarich
That Great Come and Get It Day | Finian's Rainbow
That'll Show Him | A Funny Thing Happened on the Way to the Forum
That Man Over There | Here's Love
That Ring on the Finger | Destry Rides Again
That's a Crime | Irma La Douce
That's for Sure | Top Banana
That's Him | One Touch of Venus
That's How I Am Sick of Love | One Touch of Venus
That's How It Goes | A Tree Grows in Brooklyn
That's How It Starts | Take Me Along
That's the Way It Happens | Me and Juliet
That's What It Is to Be Young | The Roar of the Greasepaint—The Smell of the Crowd
That's Your Funeral | Oliver!
That Was Yesterday | Milk and Honey
Then You May Take Me to the
Fair | Camelot
There | Mr. Wonderful
There Ain't No Flies on Me | New Girl in Town
There But for You Go I | Brigadoon
There I'd Be | Billion Dollar Baby
There Is Nothing Like a Dame | South Pacific
There Is Only One Paris for That | Irma La Douce
There Must Be Someone for Me | Mexican Hayride
There Never Was a Woman | Goldilocks
There Once Was a Man | The Pajama Game
There's a Coach Comin' In | Paint Your Wagon
There's No Business Like Show Business | Annie Get Your Gun
There's No Getting Away from You | As the Girls Go
There's No Reason in the World | Milk and Honey
There's Nothing Like a Model T | High Button Shoes
There's Nothing Nicer Than
People | Wish You Were Here
They Call the Wind Maria | Paint Your Wagon
They Like Ike | Call Me Madam
They Love Me | Mr. President
They Say It's Wonderful | Annie Get Your Gun
They Talk a Different Language | Texas, Li'l Darlin'
They Won't Know Me | Wish You Were Here
Things Are Gonna Hum This Summer | Seventeen
Things to Remember | The Roar of the Greasepaint—The Smell of the Crowd
Think Beautiful | I Had a Ball
Thinkin' | Pipe Dream
Thinking | Do I Hear a Waltz?
Think of the Time I Save | The Pajama Game
The Thirties | Fade Out—Fade In
This Dream | The Roar of the Greasepaint—The Smell of the Crowd
This Is All Very New to Me | Plain and Fancy
This Is a Great Country | Mr. President
This Is the Life | Golden Boy
This Is the Life | Love Life
This Is My Beloved | Are You with It?
This Is My Holiday | The Day Before Spring
This Is What I Call Love | Happy Hunting
This Much I Know | Happy Hunting
This Nearly Was Mine | South Pacific
This Time of the Year | Finian's Rainbow
This Was Just Another Day | Seventeen
This Was a Real Nice Clambake | Carousel
This Week Americans | Do I Hear a Waltz?
Those Were the Good Old Days | Damn Yankees
The Thought of You | Fanny
Thousands of Miles | Lost in the Stars
Three Paradises | Oh Captain!
Three Letters | She Loves Me
Throw the Anchor Away | By the Beautiful Sea
The Tide Pool | Pipe Dream
Till There Was You | The Music Man
Till Tomorrow | Fiorello!
Tiny Room | Look, Ma, I'm Dancin'!
Tippy Toes | Wildcat
The Tirade | The Golden Apple
T'Morra', T'Morra' | Bloomer Girl
Today Will Be Yesterday
Tomorrow | Follow the Girls
Together Wherever We Go | Gypsy
To Life | Fiddler on the Roof
Tom Cat | Goldilocks
Tommy, Tommy | Tenderloin
Tomorrow Morning | Destry Rides Again
To My Wife | Fanny
Tonight at Eight | She Loves Me
Too Bad | Silk Stockings
Too Charming | Ben Franklin in Paris
Too Close for Comfort | Mr. Wonderful
Too Darn Hot | Kiss Me, Kate
Too Soon | I Can Get It for You Wholesale
Top Banana | Top Banana
To the Ship | Peter Pan
Tosy and Cosh | On a Clear Day You Can See Forever
Tradition | Fiddler on the Roof
The Train | Miss Liberty
Train to Johannesburg | Lost in the Stars
A Tree That Grows in Brooklyn | Follow the Girls
The Trial | Tenderloin
Tripping the Light Fantastic | Wish You Were Here
A Trip to the Library | She Loves Me
Trouble | The Music Man
Trouble Man | Lost in the Stars
The Trouble with Women | One Touch of Venus
The Truth | Little Me
Try Me | She Loves Me
Try to Love Me | Say, Darling
Tunnel of Love Chase | I Had a Ball
Turtle Song | House of Flowers
Twelve Days to Christmas | She Loves Me
Twelve O'Clock and All Is Well | Follow the Girls
Twin Soliloquies | South Pacific
Two Faces in the Dark | Redhead
Two Ladies in the Shade | House of Flowers
Two Lost Souls | Damn Yankees
The Two of Us | Look, Ma, I'm Dancin'!
Two Years in the Making | Goldilocks
Typically English | Stop the World—I Want to Get Off
|
Ugg-a-Wugg | Peter Pan
Uh-Oh! | Tovarich
Ulysses Soliquey | The Golden Apple
The Uncle Sam Rag | Redhead
Unfair | Fiorello!
Up Where the People Are | The Unsinkable Molly Brown
Useful Phrases | Sail Away
The Usher from the Mezzanine | Fade Out—Fade In
|
Valse Milieu | Irma La Douce
Ven I Valse | New Girl in Town
The Very Next Man | Fiorello!
A Very Nice Man | Carnival
A Very Proper Town | Oh Captain!
A Very Proper Week | Oh Captain!
Very Soft Shoes | Once Upon a Mattress
A Very Special Day | Me and Juliet
The Villain Always Gets It | Ankles Aweigh
V.I.P. | Do Re Mi
|
The Waiters' Gallop | Hello, Dolly!
Waitin' | House of Flowers
Waitin' for My Dearie | Brigadoon
Waiting, Waiting | Do Re Mi
Wait 'Til We're Sixty-Five | On a Clear Day You Can See Forever
Walk Like a Sailor | Ankles Aweigh
Warm All Over | The Most Happy Fella
Washington Square Dance | Call Me Madam
The Washington Twist | Mr. President
Was I Wazir? | Kismet
Was She Prettier Than I? | High Spirits
Way Out West in Jersey | One Touch of Venus
The Way Things Are | I Can Get It for You Wholesale
Weatherbee's Drugstore | Seventeen
The Wedding | Billion Dollar Baby
The Wedding | Milk and Honey
Wedding of the Year | What Makes Sammy Run?
Wedding of the Year Blues | Happy Hunting
We Deserve Each Other | Me and Juliet
We Kiss in a Shadow | The King and I
Welcome Hinges | Bloomer Girl
Welcome Home Fanny | Fanny
Welcome to Sludgepool | Stop the World—I Want to Get Off
Welcome to Sunvale | Stop the World—I Want to Get Off
Well Man | I Can Get It for You Wholesale
Wells Fargo Wagon | The Music Man
We Loves Ya, Jimey | Redhead
We Love You, Conrad! | Bye Bye Birdie
Wendy | Peter Pan
We Open in Venice | Kiss Me, Kate
We're Gonna Be Alright | Do I Hear a Waltz?
We're Home | Take Me Along
We're Not Children | Oh Captain!
Were Thine That Special Face | Kiss Me, Kate
We Sail the Seas | Ben Franklin in Paris
Western People Funny | The King and I
West Wind | One Touch of Venus
What Are They Doing to Us Now? | I Can Get It for You Wholesale
What Became of Old Temple | Ben Franklin in Paris
What a Crazy Way to Spend
Sunday | Mexican Hayride
What Did I Ever See in Him? | Bye Bye Birdie
What Did I Have That I Don't Have? | On a Clear Day You Can See Forever
What Do I Have to Do to Get My Picture Took? | Miss Liberty
What Do We Do? We Fly! | Do I Hear a Waltz?
Whatever Lola Wants | Damn Yankees
What Good Does It Do? | Jamaica
What in the World Did You Want? | High Spirits
What Is a Friend For? | House of Flowers
What Is This Feeling in the Air? | Subways Are for Sleeping
What Is This Thing? | Mexican Hayride
What Kind of Fool Am I? | Stop the World—I Want to Get
Off
What a Man! | The Roar of the Greasepaint—The Smell of the Crowd
What a Night This Is Going to Be | Baker Street
What's Goin' on Here? | Paint Your Wagon
What's Good for General
Bullmoose | L'il Abner
What's in It for Me? | I Can Get It for You Wholesale
What's in It for You? | Tenderloin
What's New at the Zoo? | Do Re Mi
What's the Use of Wond'rin | Carousel
What Takes My Fancy? | Wildcat
What a Waste | Wonderful Town
When the Boys Come Home | Bloomer Girl
When the Children Are Asleep | Carousel
When Did I Fall in Love | Fiorello!
When Gemini Meets Capricorn | I Can Get It for You Wholesale
When a Good Man Takes to
Drink | Are You with It?
When I Dance with the Person I Love | Ben Franklin in Paris
When the Idle Poor Become the Idle Rich | Finian's Rainbow
When I Marry Mister Snow | Carousel
When I'm Being Born Again | On a Clear Day You Can See Forever
When I'm Not Near the Girl I
Love | Finian's Rainbow
When You Want Me | Sail Away
Where Are You? | Follow the Girls
Where Did the Night Go? | Wish You Were Here
Where Is the Life That Late I
Led? | Kiss Me, Kate
Where Is Love? | Oliver!
Where Is the Man I Married? | High Spirits
Where Is the Tribe for Me? | Bajour
Where's Charley? | Where's Charley?
Where Shall I Find Him? | Sail Away
Where's My Wife? | The Day Before Spring
Where's My Shoe? | She Loves Me
Where Would You Be without Me? | The Roar of the Greasepaint—The Smell of the Crowd
Whichaway'd They Go? | Texas, Li'l Darlin'
While the City Sleeps | Golden Boy
Whizzin' Away Along de Track | Carmen Jones
Who Are You Now? | Funny Girl
Who Can I Turn To (When Nobody Needs Me)? | The Roar of the Greasepaint—The Smell of the Crowd
Who Is Mr. Big? | Do Re Mi
Who Is Samuel Cooper? | Love Life
Who Knows? | I Can Get It for You Wholesale
Who Knows What Might Have Been? | Subways Are for Sleeping
Who'll Buy? | Lost in the Stars
Whoop'in' and a-Hollerin' | Texas, Li'l Darlin'
Whoop-Ti-Ay! | Paint Your Wagon
Who's Been Sitting in My Chair? | Goldilocks
Who's the Bravest? | Hazel Flagg
Who's Gonna Be the Winner | Billion Dollar Baby
Who's Got the Pain? | Damn Yankees
Who Taught Her Everything? | Funny Girl
Who Will Buy? | Oliver!
Why Can't the English? | My Fair Lady
Why Can't You Behave? | Kiss Me, Kate
Why Do the Wrong People Travel? | Sail Away
Why Not Katie? | Plain and Fancy
Why Shouldn't I? | Mexican Hayride
Wildcat | Wildcat
Wilkes-Barre, PA | Tovarich
Will He Like Me? | She Loves Me
Will I Ever Tell You? | The Music Man
Windflowers | The Golden Apple
The Winters Go By | Allegro
Wish You Were Here | Wish You Were Here
With All Due Respect | The Roar of the Greasepaint—The Smell of the Crowd
With a Little Bit of Luck | My Fair Lady
Without Love | Silk Stockings
Without You | My Fair Lady
Without You, I'm Nothing | Mr. Wonderful
The Woman in His Room | Where's Charley?
Women's Club Blues | Love Life
Wonderbar | Kiss Me, Kate
A Wonderful Day Like Today | The Roar of the Greasepaint—The Smell of the Crowd
Wonderful Music | 110 in the Shade
Won't You Charleston with Me? | The Boy Friend
Word a Day | Top Banana
Words, Words, Words | Bajour
Workout | Golden Boy
The World Is Beautiful Today | Hazel Flagg
Wouldn't It Be Loverly? | My Fair Lady
Wreck of a Mec | Irma La Douce
Wrong Note Rag | Wonderful Town
|
Ya Got Me | On the Town
Yankee Dollar | Jamaica
Yatata, Yatata, Yatata | Allegro
The Years Before Us | Where's Charley?
Yer My Friend, Aintcha? | New Girl in Town
Yes, My Heart | Carnival
Yesterday I Loved You | Once Upon a Mattress
The Yo Ho Ho | How to Succeed in Business without Really Trying
You Are Beautiful | Flower Drum Song
You Are Sixteen | The Sound of Music
You Are Woman | Funny Girl
You Can Have Him | Miss Liberty
You Can't Get a Man with a Gun | Annie Get Your Gun
You Can Trust Me | What Makes Sammy Run?
You'd Better Get a Gimmick | Gypsy
You'd Better Love Me | High Spirits
You Deserve Me | I Had a Ball
You Don't Dance | Follow the Girls
You Don't Know | Here's Love
You Don't Know Him | Oh Captain!
You Don't Tell Me | No Strings
You Don't Want to Play with Me Blues | The Boy Friend
You Haven't Changed at All | The Day Before Spring
You Help Me | What Makes Sammy Run?
You'll Make an Elegant Butler | Tovarich
You'll Never Get Away from Me | Gypsy
You'll Never Walk Alone | Carousel
You Love Me | Tovarich
You Mustn't Be Discouraged | Fade Out—Fade In
You Need a Hobby | Mr. President
Younger Than Springtime | South Pacific
You're Gonna Dance with Me, Willie | Hazel Flagg
You're in Paris | Ben Franklin in Paris
You're Just in Love | Call Me Madam
You're a Liar | Wildcat
You're a Long, Long Way from America | Sail Away
You're My Boy | High Button Shoes
You're My Girl | High Button Shoes
You're No Good | What Makes Sammy Run?
You're Not Foolin' Me | 110 in the Shade
You're Perf | Follow the Girls
You're a Queer One, Julie Jordan | Carousel
You're So Beautiful That— | Top Banana
You're So Right for Me | Oh Captain!
You Say the Nicest Things, Baby | As the Girls Go
You Say You Care | Gentlemen Prefer Blondes
You Talk Just Like My Maw | Carmen Jones
You've Come Home | Wildcat
You've Got to Be Carefully Taught | South Pacific
You've Got to Do It | Bells Are Ringing
You've Got to Pick a Pocket or Two | Oliver!
Yum Ticky | Carnival
## Bibliography
Bordman, Gerald. American Musical Comedy. New York: Oxford University Press, 1982.
Citron, Stephen. The Musical from the Inside Out. Chicago: Dee, 1992.
Henderson, Mary C. The City and the Theatre. Clifton, N.J.: White, 1973.
Hughes, Glenn. A History of the American Theatre, 1700–1950. New York: French, 1951.
Kernodle, George, Portia Kernodle, and Edward Pixley. Invitation to the Theatre. New York: Harcourt, 1967.
Laufe, Abel. Broadway's Greatest Musicals. New York: Funk & Wagnells, 1977.
Rodgers, Richard. Musical Stages. New York: Random House, 1975.
Suskin, Steven. More Opening Nights on Broadway. New York: Schirmer, 1997.
Playbills
All American, March 19, 1962
Allah Be Praised!, April 20, 1944
Allegro, October 10, 1947
Ankles Aweigh, April 18, 1955
Annie Get Your Gun, May 16, 1946
Anyone Can Whistle, April 4, 1964
Are You with It?, November 10, 1945
As the Girls Go, November 13, 1948
Bajour, November 23, 1964
Baker Street, February 16, 1965
Barefoot Boy with Cheek, April 3, 1947
The Beast in Me, May 16, 1963
Beg, Borrow, or Steal, February 10, 1960
Beggar's Holiday, December 22, 1946
Bells Are Ringing, November 29, 1956
Ben Franklin in Paris, October 27, 1964
Billion Dollar Baby, December 21, 1945
Bloomer Girl, October 5, 1944
The Body Beautiful, January 23, 1958
The Boy Friend, September 20, 1954
Bravo Giovanni, May 19, 1962
Brigadoon, March 13, 1947
Buttrio Square, October 14, 1952
By the Beautiful Sea, April 8, 1954
Bye, Bye, Birdie, April 14, 1960
Café Crown, April 17, 1964
Call Me Madam, October 12, 1950
Camelot, December 3, 1960
Can-Can, May 7, 1953
Carmen Jones, December 2, 1943
Carnival, April 13, 1961
Carnival in Flanders, September 8, 1953
Carousel, April 19, 1945
The Conquering Hero, January 16, 1961
Copper and Brass, October 17, 1957
Courtin' Time, June 13, 1951
Damn Yankees, May 5, 1955
The Day Before Spring, November 22, 1945
Destry Rides Again, April 23, 1959
Do I Hear a Waltz?, March 18, 1965
Donnybrook!, May 18, 1961
Do Re Mi, December 26, 1960
Drat! The Cat!, October 10, 1965
Dream with Music, May 18, 1944
The Duchess Misbehaves, February 13, 1946
Fade Out—Fade In, May 26, 1964
A Family Affair, January 27, 1962
Fanny, November 4, 1954
Fiddler on the Roof, September 22, 1964
Finian's Rainbow, January 10, 1947
Fiorello!, November 23, 1959
First Impressions, March 19, 1959
Flahooley, May 14, 1951
Flora, the Red Menace, May 11, 1965
Flower Drum Song, December 1, 1958
Follow the Girls, April 8, 1944
Foxy, February 16, 1964
Funny Girl, March 26, 1964
A Funny Thing Happened on the Way to the Forum, May 8, 1962
The Gay Life, November 18, 1961
Gentlemen Prefer Blondes, December 8, 1949
The Girl from Nantucket, November 8, 1945
The Girl in Pink Tights, March 3, 1954
The Girl Who Came to Supper, December 8, 1963
The Golden Apple, March 11, 1954
Golden Boy, October 20, 1964
Goldilocks, October 11, 1958
Great to be Alive, March 23, 1950
Greenwillow, March 8, 1960
Guys and Dolls, November 10, 1950
Gypsy, May 21, 1959
Half a Sixpence, April 25, 1965
The Happiest Girl in the World, April 3, 1961
Happy as Larry, January 6, 1950
Happy Hunting, December 6, 1956
Happy Town, October 7, 1959
Hazel Flagg, February 11, 1953
Heaven on Earth, September 16, 1948
Hello, Dolly!, January 16, 1964
Here's Love, October 3, 1963
High Button Shoes, October 9, 1947
High Spirits, April 7, 1964
Hit the Trail, December 2, 1954
Hold It!, May 5, 1948
Hot Spot, April 19, 1963
House of Flowers, December 30, 1954
How to Succeed in Business without Really Trying, October 14, 1961
I Can Get It for You Wholesale, March 22, 1962
I Had a Ball, December 15, 1964
Irma La Douce, September 29, 1960
The Jackpot, January 13, 1944
Jamaica, October 31, 1957
Jennie, October 17, 1963
Juno, March 9, 1959
Kean, November 2, 1961
Kelly, February 6, 1965
The King and I, March 29, 1951
Kismet, December 3, 1953
Kiss Me, Kate, December 30, 1948
Kwamina, October 23, 1961
Let It Ride, October 12, 1962
L'il Abner, November 15, 1956
Little Me, November 17, 1962
Look, Ma, I'm Dancin'!, January 29, 1948
Lost in the Stars, October 30, 1949
Louisiana Lady, June 2, 1947
Love Life, October 7, 1948
Lute Song, February 6, 1946
Magdalena, September 20, 1948
Maggie, February 18, 1953
Make a Wish, April 18, 1951
Me and Juliet, May 28, 1953
Mexican Hayride, January 28, 1944
Milk and Honey, October 10, 1961
Miss Liberty, July 15, 1949
The Most Happy Fella, May 3, 1956
Mr. President, October 20, 1962
Mr. Wonderful, March 22, 1956
The Music Man, December 19, 1957
My Darling Aida, October 27, 1952
My Fair Lady, March 15, 1956
Nellie Bly, January 21, 1946
The Nervous Set, May 12, 1959
New Girl in Town, May 14, 1957
No Strings, March 15, 1962
Nowhere to Go But Up, November 10, 1962
Oh Captain!, February 4, 1958
Oh! What Lovely War, September 30, 1964
Oklahoma!, March 31, 1943
Oliver!, January 6, 1963
On a Clear Day You Can See Forever, October 17, 1965
On the Town, December 28, 1944
Once Upon a Mattress, May 11, 1959
110 in the Shade, October 24, 1963
One Touch of Venus, October 7, 1943
Out of This World, December 21, 1950
Paint Your Wagon, November 12, 1951
The Pajama Game, May 13, 1954
Park Avenue, November 4, 1946
Peter Pan, October 20, 1954
Pickwick, October 4, 1965
Pipe Dream, November 30, 1955
Plain and Fancy, January 27, 1955
Portofino, February 21, 1958
Redhead, February 5, 1959
The Roar of the Greasepaint—The Smell of the Crowd, May 16, 1955
Rumple, November 6, 1957
Sadie Thompson, November 16, 1944
Sail Away, October 3, 1961
Saratoga, December 7, 1959
Say Darling, April 3, 1958
Seventeen, June 21, 1951
Seventh Heaven, May 26, 1955
Shangri-La, June 13, 1956
She Loves Me, April 23, 1963
Shinbone Alley, April 13, 1957
Silk Stockings, February 24, 1955
Sleepy Hollow, June 3, 1948
Something More!, November 10, 1964
Sophie, April 15, 1963
The Sound of Music, November 16, 1959
South Pacific, April 7, 1949
St. Louis Woman, March 30, 1946
Stop the World—I Want to Get Off, October 3, 1962
Street Scene, January 9, 1947
Subways Are for Sleeping, December 27, 1961
Take Me Along, October 22, 1959
Tenderloin, October 17, 1960
Texas, L'il Darlin', November 25, 1949
13 Daughters, March 2, 1961
Three Wishes for Jamie, March 21, 1952
Top Banana, November 1, 1951
Tovarich, March 18, 1963
A Tree Grows in Brooklyn, April 19, 1951
The Unsinkable Molly Brown, November 3, 1960
The Vamp, November 10, 1955
West Side Story, September 26, 1957
What Makes Sammy Run?, February 27, 1964
Where's Charley?, October 11, 1948
Whoop-Up, December 22, 1958
Wildcat, December 16, 1960
Wish You Were Here, June 25, 1952
Wonderful Town, February 25, 1953
## About the Author
Corinne J. Naden is a former children's book editor in New York City and the author of more than 100 titles for children and adults. She spent four years as a journalist in the U.S. Navy and lives in Tarrytown, New York.
| {
"redpajama_set_name": "RedPajamaBook"
} | 5,406 |
\section{Introduction}\label{intro}
\sid{Empirical studies} \cite{kunegis:2013} suggest that the distribution of in- and
out-degrees of the nodes of many social networks have Pareto-like
tails. The indices of these distributions
\sid{control the likelihood of nodes with large degrees appearing in the data.}
\sid{Some social network models, such as preferential attachment,
theoretically exhibit} these heavy-tailed characteristics. \sid{This
paper estimates heavy tail parameters using
semi-parametric extreme value (EV) methods and compares such EV
estimates with model-based likelihood methods.}
\sid{The EV} estimates only rely on the upper tail of the
degree distributions so one might expect these estimates \sid{to be}
robust against model \sid{error or data
corruption}.
\sid{Preferential} attachment \sid{(PA)} describes the growth of \sid{a}
network where edges and nodes are added over time based on
probabilistic rules \sid{that assume}
existing nodes with large degrees attract more
edges. \new{This property is} attractive \new{for} modeling social
networks \new{due to} intuitive \sid{appeal} and ability to
produce power-law networks with degrees \sid{matched to data}
\cite{durrett:2010b,vanderhofstad:2017,
krapivsky:2001,krapivsky:redner:2001,bollobas:borgs:chayes:riordan:2003}.
Elementary
descriptions of the preferential attachment model
can be found in \cite{easley:kleinberg:2010} while more
mathematical treatments are available in \cite{durrett:2010b,vanderhofstad:2017,bhamidi:2007}. Also see \cite{kolaczyk:csardi:2014} for a statistical survey of
methods for network data \new{and \cite{MR3707244} for inference for
an undirected model}.
The linear preferential attachment model has received most attention.
\sid{M}arginal degree power laws were established in
\cite{krapivsky:2001,krapivsky:redner:2001,bollobas:borgs:chayes:riordan:2003}, while
joint power-law behavior, also know\sid{n} as joint regular variation, was
proved in \cite{resnick:samorodnitsky:towsley:davis:willis:wan:2016,
resnick:samorodnitsky:2015,wang:resnick:2016} for the directed linear PA
model. Given observed network data,
\cite{wan:wang:davis:resnick:2017} proposed parametric inference
procedures for the model in two data scenarios. For the case where the
history of network growth is available, the MLE estimators \new{of
model parameters} \phy{were} derived
and shown to be strongly consistent, asymptotically normal and
efficient. For the case where only a snapshot of the network is
available at a single time point, \phy{the} estimators based on
moment methods \wtd{as well as an} approximation to the likelihood \phy{were shown to be}
strongly consistent. The loss of
efficiency relative to full MLE was surprisingly mild.
\sid{The drawback of these two methods} is \phy{that} they are model-based and
sensitive to model error. To overcome this lack of robustness, this
paper describes an \sid{EV inference method applied to}
a single
snapshot of a network and \sid{where possible, compares the EV method
to model-based MLE methods.}
\sid{The EV method is based on estimates of} in- and
out-degree tail indices, $\iota_\wtd{\text{in}}$ and $\iota_\wtd{\text{out}}$,
\sid{using a combination of the Hill estimator \sid{\cite{hill:1975,resnickbook:2007}}
coupled with a minimum
distance thereshold selection method} \cite{clauset:shalizi:newman:2009}.
We also describe
estimation of model parameters using the joint tail distribution of in- and
out-degrees relying on the asymptotic angular measure
\sid{\cite[page 173]{resnickbook:2007}}
density obtained
after standardizing \sid{\cite[page 203]{resnickbook:2007}}
the data.
\sid{If the data \phy{are} generated by the linear PA model},
the EV estimators can be applied to estimate the parameters of the
model and \sid{compared with MLE estimates} and not surprisingly, the
\sid{EV estimates} exhibit larger variance.
\sid{However, if there is model error or data corruption, the EV \phy{estimates}
more than hold their own and we illustrate the comparison in two ways:}
\begin{itemize}
\item The data is corrupted; linear PA data ha\new{ve} edges randomly deleted
or added. The EV approach
reliably recovers the original preferential attachment parameters
while parametric methods degrade considerably.
\item The data comes from a misspecified model, namely a
directed edge superstar model \cite{bhamidi:2015} but is analyzed as
if it comes from the linear PA model. \sid{The EV method \sid{gives good estimates for
superstar model
tail} indices and outperforms MLE based on a misspecified linear PA
model if the probability of attaching to the superstar is significant.}
\end{itemize}
The rest of the paper is structured as follows.
Section~\ref{sec:network:ht} formulates the power-law phenomena in
network degree distributions along with joint dependency in the \wtd{in- and out-}
degrees. We describe two network models which exhibit such
heavy tail properties, the linear \sid{PA and the
superstar linear PA models.} The EV
inference method for networks is \phy{described}
in Section~\ref{sec:tail} where we discuss its
use for estimating the parameters of the linear PA
model. Section~\ref{sec:est} \sid{gives EV estimation results for
simulated data from the linear PA model.} \sid{Since} the \sid{generating} model is
correctly specified, we use the previous parametric methods as
benchmarks for comparison in Section~\ref{subsec:robust}.
Section~\ref{sec:perturb} analyzes network data generated from the
linear PA model but \sid{corrupted} by random edge
addition or deletion. Pretending ignorance of the perturbation, we
compare the performance of the extreme value method with the MLE and
snapshot methods to recover the original model. In
Section~\ref{subsec:superstar}, we
\sid{use our EV inference approach on data from}
the directed superstar
model and attempt to to recover the tail
properties of the degree distributions. \sid{A concluding} Section~\ref{sec:discussion}
summarizes the discussion and reasons why EV methods have their place.
\sid{Appendices give proofs and a fuller discussion of MLE \wtd{and
the snapshot method} for linear
PA models abstracted from \cite{wan:wang:davis:resnick:2017}.}
\section{Networks and Heavy-Tailed Degree Distributions} \label{sec:network:ht}
\subsection{General discussion.}\label{subsec:gen}
\sid{We begin with a \sid{general} discussion of power laws and networks.}
Let $G(n)=(V(n),E(n))$ denote a directed network, \wtd{where} $V(n)$ is the
set of nodes, $E(n)$ is the set of edges, and $n$ is the number of
edges. Let $N(n)$ denote the number of nodes in $G(n)$ and $N_n(i,j)$ be the
number of nodes with in-degree $i$ and out-degree $j$. The marginal
counts of nodes with in-degree $i$ and out-degree $j$ are
given by
\begin{equation*}\label{e:count}
N^{\text{in}}_{i}(n) := \sum_{j=0}^\infty N_n(i,j) \mbox{ \quad and \quad } N^{\text{out}}_{j}(n) := \sum_{i=0}^\infty N_n(i,j),
\end{equation*}
respectively. For many network \sid{data sets}, log-log plots of the in- and out-degree distributions, i.e., plots of $\sid{\log i}$ vs.~
$\logN^{\text{in}}_i(n)$ and $\sid{\log j}$ vs.~$\logN^{\text{out}}_j(n)$, appear to be
linear \sid{and generative models of network growth seek to reflect this.}
Consider models such that the empirical degree frequency
\new{converges almost surely,}
\begin{equation}\label{pij}
N_n(i,j)/{N(n)} \to p_{ij}, \quad (n\to\infty)
\end{equation}
\wtd{where $p_{ij}$ is} a \sid{bivariate} probability mass
function \wtd{(pmf)}. The network exhibits power-law behavior
if
\begin{align}
p^{\text{in}}_i &:= \sum_{j=0}^\infty p_{ij} \sim C_{\text{in}} i^{-(1+\iota_\text{in})}\mbox{ as
}i\to\infty, \label{eq:pin:pl}\\
p^{\text{out}}_j &:= \sum_{i=0}^\infty p_{ij} \sim C_{\text{out}} j^{-(1+\iota_\text{out})}\mbox{ as }j\to\infty,\label{eq:pout:pl}
\end{align}
for some positive constants $C_{\text{in}},C_{\text{out}}$. Let $(I,O)$ be a \sid{fictitious}
random vector with joint \wtd{pmf} $p_{ij}$, then
\begin{align*}
\textbf{P}(I\ge i)&\sim C_{\text{in}}(1+\iota_\text{in})^{-1} \cdot i^{-\iota_\text{in}}\mbox{ as }i\to\infty,\\
\textbf{P}(O\ge j) &\sim C_{\text{out}}(1+\iota_\text{out})^{-1} \cdot j^{-\iota_\text{out}}\mbox{ as }j\to\infty.
\end{align*}
In the linear PA model, the joint distribution of $(I,O)$ satisfies
non-standard regular variation. Let $\mathbb{M}(\mathbb{R}^2_+\setminus \{\boldsymbol 0\})$ be the set of Borel measures on $\mathbb{R}^2_+\setminus \{\boldsymbol 0\}$ that are finite on sets bounded away from the origin.
Then $(I,O)$ is {\it non-standard regularly varying} on
$\mathbb{R}^2_+\setminus \{\boldsymbol 0\}$ \sid{means}
that \sid{as $t\to\infty$,}
\begin{equation}\label{MRV}
t\textbf{P}\left[\left(\frac{I}{t^{1/\iota_\wtd{\text{in}}}},\frac{O}{t^{1/\iota_\wtd{\text{out}}}}\right)\in\cdot\right]\rightarrow \nu(\cdot),\quad \mbox{in }\mathbb{M}(\mathbb{R}^2_+\setminus \{\boldsymbol 0\}),
\end{equation}
where $\nu(\cdot) \in\mathbb{M}(\mathbb{R}^2_+\setminus \{\boldsymbol 0\})$
is called the limit or tail measure
\sid{\cite{lindskog:resnick:roy:2014, das:mitra:resnick:2013,
hult:lindskog:2006a}.}
Using the power transformation
$I\mapsto I^a$
with {$a = \iota_\text{in}/\iota_\text{out}$},
the vector $(I^a,O)$ becomes standard regularly varying, i.e.,
\begin{equation} \label{stdzRV}
t\textbf{P}\left[\left(\frac{ I^a}{t^{1/\iota_\text{out}}},\frac{O}{t^{1/\iota_\text{out}}}\right)\in\cdot\right]\rightarrow \tilde{\nu}(\cdot),\quad \mbox{in }\,\mathbb{M}(\mathbb{R}^2_+\setminus \{\boldsymbol 0\}),
\end{equation}
where $\tilde{\nu}=\nu\circ T^{-1}$ with $T(x,y)=(x^a, y)$.
With this standardization, the transformed measure $\tilde\nu$ is directly estimable from data \citep{resnickbook:2007}.
In the following we describe two classes of preferential attachment models that generate networks with power-law degree distributions.
\subsection{The linear preferential attachment (linear PA) model.}
The directed linear \wtd{PA} model
\cite{bollobas:borgs:chayes:riordan:2003,krapivsky:redner:2001}
constructs a growing {sequence of} directed random graph{s} $G(n)$'s
whose
dynamics depend on five nonnegative {parameters}
$\alpha,
\beta, \gamma$, $\delta_{\text{in}}$ and $\delta_{\text{out}}$, where $\alpha+\beta+\gamma=1$ and $\delta_{\text{in}},\delta_{\text{out}} >0$. To avoid degenerate situations,
assume that each of the numbers $\alpha,
\beta, \gamma$ is strictly smaller than 1.
We start with an arbitrary initial finite directed
graph $G({n_0})$ with at least one node and $n_0$ edges. Given an
existing graph $G(n-1)$, a new graph $G(n)$ is obtained by adding a
single edge to $G(n-1)$
\sid{so that} the graph $G(n)$ contains $n$ edges for all $n\ge n_0$.
Let $I_n(v)$ and $O_n(v)$
denote the in- and out-degree of $v\in V(n)$ in $G(n)$, {that is, the number of edges pointing into and out of $v$, respectively}.
{We allow three
scenarios of edge creation, which are activated by flipping a
3-sided coin with probabilities
$\alpha,\beta$ and $\gamma$.} More formally, {let $\{J_n, n>n_0\}$ be} an iid sequence
of {trinomial} random
variables with cells labelled $1,2,3$ and cell
probabilities $\alpha,\beta,\gamma$.
Then the graph $G(n)$ is
obtained from $G(n-1)$ as follows.
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\draw[->] (s1.south west)--(s2.north east){};
\draw[dashed] (0,-2.2) circle [x radius=2cm, y radius=15mm];
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\begin{scope}[xshift=5cm,yshift=1cm]
\node[draw,circle,fill=gray!30!white] (s1) at (.5,-1.5) {$v$};
\node[draw,circle,fill=gray!30!white] (s2) at (-.5,-2.5) {$w$};
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\draw[dashed] (0,-2.2) circle [x radius=2cm, y radius=15mm];
\end{scope}
\node at (0,-3.5) {$\alpha$-scheme};
\node at (5,-3.5) {$\beta$-scheme};
\node at (10,-3.5) {$\gamma$-scheme};
\end{tikzpicture}
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\begin{figure}[h]
\centering
\usebox{\mytikzpic}
\end{figure}
\begin{itemize}
\item
If $J_n=1$ (with probability
$\alpha$), append to $G(n-1)$ a new node $v\in V(n)\setminus V(n-1)$ and an edge
$(v,w)$ leading
from $v$ to an existing node $w \in V(n-1)$.
Choose the existing node $w\in V(n-1)$ with probability depending
on its in-degree in $G(n-1)$:
\begin{equation} \label{eq:probIn}
\textbf{P}[\text{choose $w\in V(n-1)$}] = \frac{I_{n-1}(w)+\delta_{\text{in}}}{n-1+\delta_{\text{in}} N(n-1)} \,.
\end{equation}
\item If $J_n=2$ (with probability $\beta$), add a directed edge
$(v,w) $ to $E({n-1})$ with $v\in V(n-1)=V(n) $ and $w\in V(n-1)=V(n) $ and
the existing nodes $v,w$ are chosen independently from the nodes of $G(n-1)$ with
probabilities
\begin{equation} \label{eq:probInOut}
\textbf{P}[\text{choose $(v,w)$}] = \Bigl(\frac{O_{n-1}(v)+\delta_{\text{out}}}{n-1+\delta_{\text{out}} N(n-1)}\Bigr)\Bigl(
\frac{I_{n-1}(w)+\delta_{\text{in}}}{n-1+\delta_{\text{in}} N(n-1)}\Bigr).
\end{equation}
\item If $J_n=3$ (with probability
$\gamma$), append to $G(n-1)$ a new node ${v} \in V(n)\setminus V(n-1)$ and an edge $({w,v)}$ leading
from the existing node ${w}\in V(n-1)$ to the new node ${v}$. Choose
the existing node $w \in V(n-1)$ with probability
\begin{equation} \label{eq:probOut}
\textbf{P}[\text{choose }w \in V(n-1)] =
\frac{
O_{n-1}(w)+\delta_{\text{out}}}
{n-1+\delta_{\text{out}}N(n-1)}\,.
\end{equation}
\end{itemize}
{For convenience we call these scenarios the $\alpha$-, $\beta$- and
$\gamma$-schemes.}
Note that this construction allows for the possibility of {multiple edges between two nodes and self loops.}
This linear preferential attachment \new{model} can be simulated efficiently using
the method {described} in
\cite[Algorithm~1]{wan:wang:davis:resnick:2017} and linked to
\url{http://www.orie.cornell.edu/orie/research/groups/multheavytail/software.cfm}.
It is shown {in
\cite{resnick:samorodnitsky:towsley:davis:willis:wan:2016,resnick:samorodnitsky:2015,
wang:resnick:2016} that} the empirical degree distribution
$$
\frac{N_n(i,j)}{N(n)} \stackrel{\text{a.s.}}{\longrightarrow} p_{ij},
$$
and the marginals satisfy \eqref{eq:pin:pl} and \eqref{eq:pout:pl},
where the tail indices are
\begin{equation}\label{c1c2}
\iota_\text{in} =: \frac{1+\delta_{\text{in}}(\alpha+\gamma)}{\alpha+\beta},\quad\text{and}\quad
\iota_\text{out} =: \frac{1+\delta_{\text{out}}(\alpha+\gamma)}{\beta+\gamma}.
\end{equation}
Furthermore, the joint regular variation condition \eqref{stdzRV} is
satisfied by the limit degree distribution and the limit measure
\cite{resnick:samorodnitsky:towsley:davis:willis:wan:2016} or its
density \cite{wang:resnick:2016}
can be explicitly derived.
We shall use this property for parameter estimation in Section~\ref{sec:tail}.
\subsection{The superstar linear \wtd{PA} model.}
{The key feature of the superstar linear PA model that distinguishes
it from the standard linear PA model is the existence of a superstar
node, to which a large proportion of nodes attach.}
A new parameter $p$ {represents the attachment
probability}. The $\alpha$-, $\beta$- and $\gamma$-schemes of the
linear PA model are still in action. {However, for the $\alpha$- and
$\beta$-schemes, an outgoing edge will attach to the superstar node
with probability $p$, while \sid{with probability $1-p$} it will attach to a non-superstar node
according to the original linear PA rules.
{For simplicity, the network is initialized with two nodes
$V(1)=\{0,1\}$ where node $0$ is the superstar node. \wtd{We assume at the first step,} there
is an edge pointing from $1\to 0$ so $E_1=\{(1,0)\}$.}
Again each graph $G(n)$ contains $n$ edges for all $n\ge1$.
Let
\[
V^0(n) := V(n)\setminus \{0\}, \quad\text{and}\quad
E^0(n) := E(n)\setminus\{(u, 0): u\in V^0(n)\},
\]
{so that $E^0(n)$ is the set of edges in $G(n)$ that do not point to the superstar.} Let $|V^0(n)|$ and $|E^0(n)|$ denote the number of nodes and edges in the non-superstar subgraph of $G(n)$, respectively.
The model is specified through the parameter set $(p,\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})$. Let $\{B_n: n\ge 1\}$ be another iid sequence of Bernoulli random variables where
$$
\textbf{P}(B_n = 1) = p = 1-\textbf{P}(B_n=0).
$$
The Markovian graph evolution from $G(n-1)$ to $G(n)$ is modified from the linear PA model as follows.
\begin{itemize}
\item
If $J_n=1$ (with probability $\alpha$), append to $G(n-1)$ a new node $v\in V(n)\setminus V(n-1)$ and an edge
$(v,w)$ leading from $v$ to an existing node $w$.
\begin{itemize}
\item If $B_n=1$ (with probability $p$), $w=0$, the superstar node;
\item If $B_n=0$ (with probability $1-p$), $w\in V^0(n-1)$ is chosen according to the linear PA rule \eqref{eq:probIn} applied to $(V^0(n-1),E^0(n-1))$.
\end{itemize}
\item If $J_n=2$ (with probability $\beta$), add a directed edge
$(v,w)$ to $E({n-1})$ where
\begin{itemize}
\item If $B_n=1$ (with probability $p$), $v=0$ and $w\in V^0(n-1)=V^0(n)$ is chosen with probability \eqref{eq:probIn} applied to $(V^0(n-1),E^0(n-1))$;
\item If $B_n=0$ (with probability $1-p$), $v,w\in V^0(n-1)=V^0(n)$ are chosen with probability \eqref{eq:probInOut} applied to $(V^0(n-1),E^0(n-1))$.
\end{itemize}
\item If $J_n=3$ (with probability
$\gamma$), append to $G(n-1)$ a new node $w\in V^0(n)\setminus V^0(n-1)$ and an edge $(v,w)$ leading
from the existing node $v\in V^0(n-1)$ to $w$, where $v\in V^0(n-1)$ is chosen with probability \eqref{eq:probOut} applied to $(V^0(n-1),E^0(n-1))$.
\end{itemize}
\wtd{If we use} $N^{\text{in}}_i(n)$ and $N^{\text{out}}_j(n)$ \wtd{to denote} the
number of {\it non\/}-superstar nodes that have in-degree $i$ and
out-degree $j$, respectively, then
Theorem~\ref{thm:superstar} shows that
$(N^{\text{in}}_i(n)/n, N^{\text{out}}_j(n)/n) \to (q^{\text{in}}_i,q^{\text{out}}_j) $ almost surely
\sid{where the limits} are deterministic constants \sid{that decay
like power laws.}
\begin{Theorem}\label{thm:superstar}
Let $(N^{\text{in}}_i(n), N^{\text{out}}_j(n))$ be the in- and out-degree counts of {the} non-superstar nodes {of the superstar model}. There exists constants
$q^{\text{in}}_i$ and $q^{\text{out}}_j$ such that as $n\to\infty$,
\[
\frac{N^{\text{in}}_i(n)}{n} \stackrel{\text{a.s.}}{\longrightarrow} q^{\text{in}}_i,\qquad \frac{N^{\text{out}}_j(n)}{n} \stackrel{\text{a.s.}}{\longrightarrow} q^{\text{out}}_j.
\]
\wtd{Moreover,}
\begin{enumerate}
\item[(i)] As $i\to\infty$,
\begin{equation}\label{power-in}
q^{\text{in}}_i \sim C'_\text{in}\, i^{-(1+\iota_{\text{in}})},
\end{equation}
where $C'_\text{in}$ is a positive constant and
\begin{equation}\label{iotain}
\iota_\text{in} :=
\frac{1-(\alpha+\beta)p+\delta_{\text{in}}(\alpha+\gamma)}{(\alpha+\beta)(1-p)}.
\end{equation}
\item[(ii)] As $j\to\infty$,
\begin{equation}\label{power-out}
q^{\text{out}}_j \sim C'_\text{out}\, j^{-(1+\iota_{\text{out}})},
\end{equation}
where $C'_\text{out}$ is a positive constant and
\begin{equation}\label{iotaout}
\iota_\text{out}:= \frac{1+\delta_{\text{out}}(\alpha+\gamma)}{\beta+\gamma}.
\end{equation}
\end{enumerate}
\end{Theorem}
{The proof of Theorem~\ref{thm:superstar} is provided in Appendix~\ref{subsec:proof:superstar}.}
\section{Estimation {Using Extreme Value Theory}}\label{sec:tail}
In this section, we consider \sid{network parameter estimation}
using extreme value theory. Given a graph $G(n)$ at a fixed
timestamp, the data available for estimates are the in- and
out-degrees for each node denoted by $(I_n(v),O_n (v))$,
$v=1,\ldots,N(n)$. Let $F_n(\cdot)$ \wtd{be} the empirical distribution
of this data on $\mathbb{N}\times \mathbb{N}$. Then from
\eqref{pij}, almost surely $F_n$ converges weakly to a limit
distribution $F$ on $\mathbb{N}\times \mathbb{N}$ which is the measure
corresponding to the mass function $\{p_{ij}\}$. Let
$\epsilon_{(i,j)}(\cdot)$ be the Dirac measure concentrating on
$(i,j)$ and we have from \eqref{pij},
\begin{equation}\label{e:FnF}
F_n(\cdot) =\frac{1}{N(n) }\sum_{v=1}^{N(n)} \epsilon_{(I_n(v),O_n(v) )} \phy{(\cdot)}
=\sum_{i,j} \frac{N_n(i,j)}{N(n)} \epsilon_{(i,j)}(\cdot)\phy{\,\overset{w}\to\,}
\sum_{i,j} p_{ij} \epsilon_{(i,j)}(\cdot)=:F(\cdot).
\end{equation}
\subsection{Estimating tail indices; Hill estimation.}\label{subsubsec:clauset}
We review tail index estimation of $\iota_\text{in}$ ($\iota_\text{out}$ is similar) using
the Hill estimator \cite{hill:1975,resnickbook:2007} applied to
in-degree data $I_n(v)$, $v=1,\ldots,N(n)$.
From \eqref{eq:pin:pl}, the marginal of $F$, called $F_\text{in}$ is
regularly varying with index $-\iota_\text{in}$.
From Karamata's theorem
$\iota_\text{in}^{-1}$ can be expressed as a function of $F_\text{in}$ \cite[page
69]{dehaan:ferreira:2006},
\begin{equation} \label{eq:ain:limit}
\iota_\text{in}^{-1} = \lim_{t\to\infty} \frac{\int_t^\infty(\log(u)-\log(t))F_\text{in}(du)}{1-F_\text{in}(t)}.
\end{equation}
The Hill estimator of
$\iota_\text{in}^{-1}$ replaces $F_\text{in} (\cdot)$
with the marginal of the empirical distribution in \eqref{e:FnF} of
in-degrees, called $F_{\text{in},n}$, and
$t$ with $I_{(k_n+1)}$ in \eqref{eq:ain:limit}.
Let $I_{(1)} \ge \ldots \ge I_{(N(n))}$ be the decreasing order
statistics of $I_n(v)$, $v=1,\ldots,N(n)$. The resulting
estimator is
\begin{eqnarray*}
\hatain^{-1}(k_n) &=& \frac{\int_{I_{(k_n+1)}}^\infty (\log(u) - \log(I_{(k_n+1)})) F_{\text{in},n}(du)}{k_n/N(n)} \\
&=& \frac{1}{k_n} \sum_{j=1}^{k_n} (\log(I_{(j)}) - \log(I_{(k_n+1)})).
\end{eqnarray*}\noindent
With iid data, if we assume
$k_n\to\infty$ and $k_n/N(n)\to0$, then the Hill estimator is
consistent. Of course, our network data is not iid but Hill estimation
still works in practice. Consistency for an undirected graph is proven
in \cite{wang:resnick:2017} but for directed graphs, this is an
unresolved issue.
To select $k_n$ in practice, \cite{clauset:shalizi:newman:2009} proposed computing
the Kolmogorov-Smirnov (KS) distance between the
empirical distribution of the upper $k$ observations and the power-law
distribution with index $\hatain(k)$:
\[
D_{k}:=\sup_{y\ge 1} \left|\frac{1}{k} \sum_{j=1}^{k}{\bf1}_{\{I_{(j)}/I_{(k+1)}>y\}}-y^{-\hatain(k)}\right|, \quad 1\le k\le n-1.
\]
Then the optimal $k^*$ is the one that minimizes the KS distance
$
k^* := \operatornamewithlimits{argmin}_{1\le k\le n} D_{k},
$$
and the tail index is estimated by $\hatain(k^*)$. This estimator performs well if the thresholded portion
comes from a Pareto tail and also seems effective in a
variety of non-iid scenarios. It is widely used by
data repositories of large network datasets such as KONECT (\url{http://konect.uni-koblenz.de/}) \cite{kunegis:2013} {and is realized in} the R-package {\it poweRlaw\/} \cite{gillespie:2015}.
}
{We refer to the above procedure as the {\it minimum distance method} in estimating $\iota_\text{in},\iota_\text{out}$ for network data.} There are two issues when applying this method. First, the data is node-based and not
collected from independent repeated
sampling. Secondly, degree counts are discrete {and} do
not exactly comply with the Pareto assumption made in the minimum
distance method. Our analysis shows that even if we ignore these two
issues, the tail estimates are still reasonably good.
\subsection{Estimating dependency between in- and out-degrees}
If the limiting random vector $(I,O)\sim F$
\sid{corresponding to $p_{ij}$ in \eqref{pij}}
is jointly regularly varying and
satisfies \eqref{stdzRV}, we may apply a polar coordinate
transformation, for example, with the $L_2$-norm,
$$
(I^a, O)\mapsto (\sqrt{I^{2a}+O^2},\arctan(O/I^a)) := (R,T),
$$
where $a=\iota_\text{in}/\iota_\text{out}$.
Then, with respect to $F$ in \eqref{e:FnF},
the conditional distribution of \sid{$T$} given $R>r$ converges
weakly (see, for example, \cite[p. 173]{resnickbook:2007}),
$$
F[T\in\cdot | R>r] \to S(\cdot),\quad r\to\infty,
$$
where $S$ is the {\it angular measure} and describes the asymptotic
dependence of the standardized pair $(I^a, O)$.
Since for large $r$, $F[T\in\cdot | R>r] \approx S(\cdot)$ and for
large $n$, $F_n
\approx F$, it is plausible that for $r$ and $n$ large
$F_n[T \in \cdot | R>r] \approx S(\cdot)$. Skeptics may check
\cite[p. 307]{resnickbook:2007} for a more precise argument and
recall
$F_n$ is the empirical measure defined in \eqref{e:FnF}.
Based on observed degrees $\{(I_n(v),O_n(v));
v=1,\ldots,N(n)\}$, how does this work in practice? First $a$
is replaced by $\hat{a} = \hatain/\hataout$ estimated from
Section~\ref{subsubsec:clauset}.
Then the distribution $S$ is estimated via the empirical distribution
of the sample angles $T_n(v):=\arctan(O_n(v)/I_n(v)^{\hat{a}})$ for
which $R_n(v):=\sqrt{I_n(v)^{2\hat{a}}+O_n(v)^2} > r$ exceeds some
large threshold $r$. This is the
POT (Peaks Over Threshold) methodology {commonly employed} in extreme
value theory \cite{coles:2001}.
In the cases where the network model is known, $S$ may be specified in
closed form. For the linear PA model, $S$ has a density that is an
explicit function of the linear PA parameters
\cite{resnick:samorodnitsky:towsley:davis:willis:wan:2016}.
\new{After estimating $\iota_\text{in}$ and $\iota_\text{out}$ by the minimum distance
method, the remaining parameters
can then be estimated
by an approximate likelihood method that we now explain.}
\subsection{EV estimation for the linear PA
model}\label{subsec:tailPA}
From \eqref{c1c2},
\[
\delta_{\text{in}} = \frac{\iota_\text{in}(\alpha+\beta)-1}{\alpha+\gamma},\quad \delta_{\text{out}} = \frac{\iota_\text{out}(\beta+\gamma)-1}{\alpha+\gamma},
\]
\phy{so that} \sid{the
linear PA model may be parameterized by}
$\boldsymbol{\theta}=(\alpha,\beta,\gamma, \iota_\text{in}, \iota_\text{out})$. To construct
the EV estimates,
begin by computing the minimum distance estimates
$\hat\iota^{EV}_{\text{in}},\hat\iota^{EV}_{\text{out}}$ of the in-
and out-degree indices. The parameter $\beta$, which represents the
proportion of edges connected between existing nodes, \wtd{is} estimated
by $\hat{\beta}^{EV} = 1-N(n)/n$.
\phy{From} \eqref{stdzRV}, $\arctan(O/I^a)$ given $I^{2a}+O^2>r^2$ converges \new{weakly} as $r\to\infty$ to
{the distribution of} a random variable $\Theta$
\cite[Section~4.1.2]{resnick:samorodnitsky:towsley:davis:willis:wan:2016},
{whose pdf} is given by \sid{($0\leq x\leq \pi/2$)}
\begin{eqnarray}
f_\Theta(x;\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}}) &\propto &\frac{\gamma}{\delta_{\text{in}}} (\cos x)^{\frac{\delta_{\text{in}}+1}{a}-1} (\sin x)^{\delta_{\text{out}}-1}
\int_0^\infty t^{\iota_\text{in}+\delta_{\text{in}}+a\delta_{\text{out}}} e^{-t(\cos x)^{1/a}-t^a\sin x}\mathrm{d} t\nonumber\\
&&+\frac{\alpha}{\delta_{\text{out}}} (\cos x)^{\frac{\delta_{\text{in}}}{a}-1} (\sin x)^{\delta_{\text{out}}}
\int_0^\infty t^{a-1+\iota_\text{in}+\delta_{\text{in}}+a\delta_{\text{out}}} e^{-t(\cos x)^{1/a}-t^a\sin x}\mathrm{d} t.\label{densIO}
\end{eqnarray}
By {replacing $\beta,\iota_\text{in},\iota_\text{out}$ with their estimated values} $\hat\beta^{EV}$, $\hat\iota_{\text{in}}^{EV}$, and $\hat\iota_{\text{out}}^{EV}$ {and setting}
${\gamma} = 1-{\alpha}-\hat\beta^{EV},$
the density \eqref{densIO} can be viewed as a profile likelihood
function (based on a single observation $x$) of the unknown
parameter $\alpha$, which we denote by
$$l(\alpha;x)=
f_\Theta(x;\alpha,\hat\beta^{EV},1-{\alpha}-\hat\beta^{EV},
\hat{\delta}_{\text{in}}^{EV},\hat{\delta}_{\text{out}}^{EV}).
$$
Given the degrees $\bigl((I_n(v),O_n(v)), v\in V(n)\bigr)$,
$\hat\alpha^{EV}$ {can be} computed by maximizing
the profile likelihood
based on the observations
$(I_n(v),O_n(v))$ for which $R_n(v)> r$
for a large threshold $r$. That is,
\begin{equation} \label{eq:alpha:solve}
\hat\alpha^{EV} := \operatornamewithlimits{argmax}_{\sid{0\leq \alpha \leq 1}}
\sum_{v=1}^{N(n)}
\log l\left(\alpha;\arctan\left(\frac{O_n(v)}{(I_n(v))^{\hat{a}}}\right)\right)
\mathbf{1}_{\{R_n(v)> r\}},
\end{equation}
where $r$ is typically chosen as the
$(n_{\text{tail}}+1)$-th largest $R_n(v)$'s for a suitable $n_{\text{tail}}$.
This estimation procedure is sometimes referred to as the ``independence estimating equations'' (IEEs) method \cite{chandler:bate:2007,varin:reid:firth:2011}, in which the dependence between observations is ignored. This technique is often used when the joint distribution of the data is unknown or intractable. Finally, using the constraint, $\alpha+\beta+\gamma=1$, we estimate $\gamma$ by $\hat{\gamma}^{EV}=1-\hat\alpha^{EV}-\hat\beta^{EV}$.
\section{Estimation results} \label{sec:est}
In this section, we demonstrate the estimation of the linear PA and related models through the \wtd{EV} method described in Section~\ref{subsec:tailPA}. In Section~\ref{subsec:robust}, data are \wtd{simulated} from the standard linear PA model and used to estimate the true parameters of the underlying model. Section~\ref{sec:perturb} considers data generated from the linear PA model but \wtd{corrupted} by random addition or deletion of edges. Our goal is to estimate the parameters of the original linear PA model. In Section~\ref{subsec:superstar}, we simulate data from the superstar linear PA model and attempt to use the standard linear PA estimation to recover the degree distributions.
Throughout the section, the EV method is compared with two parametric
estimation approaches for the linear PA model, \wtd{namely} the MLE and
snapshot (SN) methods, proposed in \cite{wan:wang:davis:resnick:2017}.
For a given network, {when the network history is available, that is,
each edge is marked with the timestamp of its creation}, MLE estimates
are directly computable. {In the case where only a snapshot
of the network is given at a single point in time (i.e., the
timestamp information for the creation of the edges \new{is}
unavailable)}, \new{we have} an estimation procedure combining elements of method
of moments with an approximation to the likelihood. A
brief summary of the MLE and SN methods is in
Appendix~\ref{subsec:param_est} and desirable properties of these
estimators are in \cite{wan:wang:davis:resnick:2017}.
Note that a main difference between the MLE, SN and EV methods lies
in the amount of data utilized. The MLE approach requires the entire
growth history of the network while the SN method uses only a single
snapshot of the network. The EV method, on the other hand, requires
only a subset of a snapshot of the network; only those degree counts
of nodes with large in- or out-degrees. When the underlying model is
true, MLE is certainly the most efficient, but also hinges on having a
complete data set. As we shall see, in the case where the model is
misspecified, the EV method provides an attractive and reliable
alternative.
\subsection{Estimation for the linear PA model}\label{subsec:robust}
\subsubsection{{Comparison of EV with MLE and SN}}
\begin{figure}[t]
\includegraphics[scale=0.4]{1213asy_est.pdf}
\caption{Boxplots of biases for estimates of $(\alpha,\iota_\text{in},\iota_\text{out})$ using \phy{EV}, MLE and \phy{SN} methods.
Panels (a)--(c) correspond to the case where $\alpha = 0.1, 0.2$ and (d)--(f) are for $\alpha = 0.3, 0.4$, holding
$(\beta, \delta_{\text{in}}, \delta_{\text{out}}) = (0.4, 1, 1)$ constant.}\label{fig:asy}
\end{figure}
Figure~\ref{fig:asy} presents {biases for estimates of $(\alpha,\iota_\text{in},\iota_\text{out})$} using
EV, MLE, and SN methods on data simulated from the linear PA model.
We held $(\beta, \delta_{\text{in}}, \delta_{\text{out}}) = (0.4, 1, 1)$ constant and varied $\alpha = 0.1, 0.2, 0.3, 0.4$ so that the true values of $\gamma,\iota_\text{in},\iota_\text{out}$ were also varying.
For each set of parameter values $(\alpha,\iota_\text{in}, \iota_\text{out})$, 200 independent replications of a linear PA network with $n=10^5$ edges were simulated and the true values of $(\iota_\text{in}, \iota_\text{out})$ were computed by \eqref{c1c2}.
We estimated $(\iota_\text{in}, \iota_\text{out})$ by the minimum distance method
$(\hat{\iota}^{EV}_\text{in}, \hat{\iota}^{EV}_\text{out})$, MLE and the one-snapshot methods applied to the parametric model (cf.\ Section~\ref{subsec:param_est}), denoted by $(\hat{\iota}^{MLE}_\text{in},\hat{\iota}^{MLE}_\text{out})$ and $(\hat{\iota}^{SN}_\text{in},\hat{\iota}^{SN}_\text{out})$, respectively. With $(\hat{\iota}^{EV}_\text{in}, \hat{\iota}^{EV}_\text{out})$,
$\hat\alpha^{EV}$ is calculated by \eqref{eq:alpha:solve} using $n_{\text{tail}}=200$.
As seen here, for simulated data from a known model, MLE outperforms
other estimation procedures. The EV procedure tends to have much
larger variance than both MLE and SN with slightly more bias. This is
not surprising as the performance of the EV estimators is dependent on
the \new{quality of the following approximations:}
\begin{enumerate}
\item The \wtd{number of edges in the} network, $n$,
should be sufficiently large to ensure a close approximation of
$N_n(i,j)/N(n)$ to the
limit \wtd{joint pmf} $p_{ij}$.
\item The choice of thresholds must guarantee the quality of the EV
estimates for the indices and the limiting angular distribution.
The thresholding means estimates are based on only a small fraction of the data
and hence have large uncertainty.
\item The parameter $a$ used to
transform the in- and out-degrees to standard regular variation
is estimated and thus subject to estimation error which propagates
throughout the remaining estimation procedures.
\end{enumerate}
\subsubsection{Sensitivity analysis.}\label{subsubsec:sens}
We {explore} {how sensitive {EV estimates are} to choice of $r$}, the threshold for the approximation to the limiting angular density in \eqref{eq:alpha:solve}. Equivalently, we consider varying $n_\text{tail}$, the number of tail observations included in \phy{the} estimation.
For the sensitivity analysis, 50 linear PA networks with $10^5$ edges and parameter set
$$(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1),$$
or equivalently,
$$(\alpha,\beta,\gamma,\iota_\text{in},\iota_\text{out})=(0.3,0.4,0.3,2.29,2.29)$$
are generated. We use
$n_\text{tail} = 50,100,200,300,500,1000, 1500$ to calculate the
EV estimates for $\alpha$.
The performances of $\hat{\alpha}^{EV}$ across different value\wtd{s} of $n_\text{tail}$ are demonstrated by the blue boxplots in Figure~\ref{fig:alpha_est}(a).
\begin{figure}[t]
\centering
\includegraphics[scale=0.6]{fixed_selected_clauset.pdf}
\caption{(a) Boxplots of biases of $\hat\alpha$ and $\hat{\alpha}^*$ for different $n_\text{tail}$ and $n_\text{tail}^*$ over 50 replications, where $(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1)$. (b) Linearly interpolated trajectories of biases of $\hat\alpha$ and $\hat{\alpha}^*$ from 10 randomly picked realizations.}\label{fig:alpha_est}
\end{figure}
We see that the biases of $\hat{\alpha}$ remain small until $n_\text{tail}$
increases to 300, and for larger values of $n_\text{tail}$,
$\hat{\alpha}$ considerably underestimates $\alpha$.
We note that the angular components $R_n(v)$, $1\le v\le N(n)$ are
also power-lawed. As an attempt to select the optimal value of
$n_\text{tail}$, we apply the minimum distance method to the
$R_n(v)$'s and use the selected threshold, $n^*_\text{tail}$, as the
truncation threshold. The boxplot of $n^*_\text{tail}$ for the 50
simulated networks are represented by the \phy{horizontal} boxplot in
Figure~\ref{fig:alpha_est}(a). The EV estimator with respect to this
threshold for each simulation, denoted by $\hat{\alpha}^*$, is shown
by the red \wtd{boxplot} and plotted at $n_\text{tail}=875$, the mean of
$n^*_\text{tail}$. Overall, $n^*_\text{tail}$ varies between 300 and
1500 and results in an underestimated
$\hat{\alpha}^*$.
In Figure~\ref{fig:alpha_est}(b), we randomly choose 10 realizations (among the 50 replications) and plot the linearly interpolated trajectories of $\hat{\alpha}$, based on different values of $n_\text{tail}$. Black points are the estimation results using fixed thresholds $n_\text{tail} = 50,100,200,300,500,1000,1500$ and red ones are determined by $(\hat{\alpha}^*,n^*_\text{tail})$ using the minimum distance method.
Black and red points denoted by the same symbol belong to the same realization.
Comparison among estimation results for
different values of $n_\text{tail}$ reveals that choosing a fixed threshold $n_\text{tail}\le 300$ outperforms selecting a $n_\text{tail}^*$ using the minimum distance method, as it produces estimates with smaller biases and variances.
\subsection{Data {corrupted} by {random edge addition/deletion}.}\label{sec:perturb}
PA models are designed to describe human
interaction in social networks
but what if data collected from a network is corrupted or usual
behavior is changed? Corruption could be
due to collection error and atypical behavior could result from
users hiding their network presence or trolls acting as provocateurs.
In such circumstances,
the task is to unmask data corruption or atypical behavior and
recover {the parameters associated with the
original preferential attachment rules.
In the following, we {consider network data that are generated from the linear PA model but \wtd{corrupted} by random addition or deletion of edges}.
{For such corrupted data}, {we attempt to recover the original model and compare the performances of MLE, SN, and EV methods.}
\subsubsection{Randomly adding edges.}\label{subsec:add}
We consider a network generating algorithm with linear PA rules but also a possibility of adding random edges.
Let $G(n)=(V(n),E(n))$ denote the graph at time $n$. We assume
that the edge set $E(n)$ can be decomposed into two disjoint subsets:
$E(n) = E^{PA}(n) \bigcup E^{RA}(n)$, where $E^{PA}(n)$ is the set of edges
result{ing} from \wtd{PA rules}, and $E^{RA}(n)$ is the set
of those result{ing} from random attachment{s}. {This can be viewed as} an interpolation of
the \wtd{PA} network and the Erd\"os-R\'enyi random
graph.
{More specifically, consider the following network growth}. Given $G(n-1)$, $G(n)$ is formed by creating a new edge where:
\begin{enumerate}
\item[(1)]
With probability $p_a$, two nodes are chosen randomly
{(allowing repetition)} from $V(n-1)$ and an edge is created connecting them. The possibility of a self loop is allowed.
\item[(2)]
With probability $1-p_a$, a new edge is created according to the preferential attachment scheme $(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})$ on $G^{PA}(n-1):=(V(n-1),E^{PA}(n-1))$.
\end{enumerate}
{The question of interest is,} {if we {are unaware of the perturbation effect and} pretend the data from this model {are} coming from the linear PA model, can}
we recover the \wtd{PA} parameters?
{To investigate,} we generate networks of $n=10^5$ edges with parameter values
$$(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1), \quad p_a\in\{0.025,0.05,0.075,0.1,0.125,0.15\}.$$
For each network, the original \wtd{PA} model {is
fitted} using the {MLE, SN and EV} methods, respectively. The
{angular} MLE in \eqref{eq:alpha:solve}
in the {extreme value} estimation {is performed} based
on $n_{\text{tail}}=500$ tail observations. In order to compare these estimators, we
repeat the experiment 200 times for each value of $p_a$ and obtain 200
sets of estimated parameters for each method.
{Figure~\ref{fig:add_params} {summarizes the estimated values for $(\delta_{\text{in}}, \delta_{\text{out}}, \alpha, \gamma, \iota_\text{in}, \iota_\text{out})$ for different values of $p_a$. The mean estimates are marked by crosses and the $2.5\%$ and $97.5\%$ empirical quantiles are marked by the bars.}
The true value of parameters are {shown} as {the} horizontal lines. }
{While all parameters deviate} from the true value as $p_a$ increases
{and} the network becomes more ``noisy", {the EV estimates for
$(\delta_{\text{in}},\delta_{\text{out}})$ exhibit smaller bias than the MLE and \wtd{SN}
methods (Figure \ref{fig:add_params} (a)
and (b)).} All three methods give underestimated probabilities
$(\alpha, \gamma)$ (Figure \ref{fig:add_params} (c)
and (d)). This is because the perturbation step (1) creates more edges between existing nodes and consequently inflates the estimated value of $\beta$.
{Also note that the mean {EV} estimates of $(\iota_\text{in},
\iota_\text{out})$ stay close to the theoretical
values for all choices of $p_a$; see Figure \ref{fig:add_params} (e)
and (f). {The MLE and SN estimates of $(\iota_\text{in},\iota_\text{out})$, which are computed from the corresponding estimates for $(\alpha,\beta,\gamma,\delta_\text{in},\delta_\text{out})$, show strong bias as $p_a$ increases.}
{In this case}, the \wtd{EV} method is {robust for estimating
the \wtd{PA} parameters} {and recovering} the tail
indices from the original model.
\begin{figure}[t]
\centering
\includegraphics[scale=0.6]{1213add_param.pdf}
\caption{Mean estimates and $2.5\%$ and $97.5\%$ empirical quantiles of (a) $\delta_{\text{in}}$; (b) $\delta_{\text{out}}$; (c) $\alpha$; (d) $\gamma$; (e) $\iota_\text{in}$; (f) $\iota_\text{out}$, using
MLE (black), SN (red) and EV (blue) methods over 200 replications,
where $(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1)$ and $p_a= 0.025,0.05,0.075,0.1,0.125,0.15$.
For the EV method, 500 tail observations were used {to obtain $\hat{\alpha}^{EV}$}. }\label{fig:add_params}
\end{figure}
\subsubsection{Randomly deleting edges.}\label{subsec:delete}
{We now consider the scenario where a network is generated from the
linear PA model, but a random proportion $p_d$ of edges are deleted
at the final time. We do this by generating $G(n)$ and then
deleting $[np_d]$ edges by sampling without replacement.
For the simulation, we generated networks
with parameter values
$$(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1), \quad p_d\in\{0.025,0.05,0.075,0.1,0.125,0.15\}.$$
{Again, for each value of $p_d$, the experiment is repeated 200 times and the resulting parameter plots are shown in} Figure~\ref{fig:delete_params} {using the same format as for Figure~\ref{fig:add_params}}. For the \wtd{EV} method, 100 tail observations were used {to {compute} an $\hat{\alpha}^{EV}$}.
{Surprisingly, for all six parameters considered}, MLE estimates stay almost unchanged for different values of $p_d$ while SN and EV estimates underestimate $(\delta_{\text{in}},\delta_{\text{out}})$ and overestimate $(\alpha, \gamma)$, with increasing magnitudes of biases as $p_d$ increases. For tail estimates, the minimum distance method still gives reasonable results (though with larger variances), whereas the \wtd{SN} method keeps underestimating $\iota_\text{in}$ and $\iota_\text{out}$.
The performance of MLE in this case is surprisingly competitive. This
is intriguing and in ongoing work, we will think about why this is the case.
\begin{figure}[t]
\centering
\includegraphics[scale=0.6]{1213delete_param.pdf}
\caption{Mean estimates and $2.5\%$ and $97.5\%$ empirical quantiles of (a) $\delta_{\text{in}}$; (b) $\delta_{\text{out}}$; (c) $\alpha$; (d) $\gamma$; (e) $\iota_\text{in}$; (f) $\iota_\text{out}$, using
MLE (black), SN (red) and EV (blue) methods over 50 replications,
where $(\alpha,\beta,\gamma,\delta_{\text{in}},\delta_{\text{out}})=(0.3,0.4,0.3,1,1)$ and $p_d= 0.025,0.05,0.075,0.1,0.125,0.15$.
For the EV method, 100 tail observations were used {to compute $\hat{\alpha}^{EV}$}.}\label{fig:delete_params}
\end{figure}
\subsection{Superstar model.}\label{subsec:superstar}
In this section, we consider network data generated from the superstar model. We compare the accuracy of tail index estimates under parametric methods applied to the linear PA model with extreme value estimates applied directly to data.
{Networks are simulated from the superstar model with the following parameter values:}
$$(\alpha, \beta, \delta_{\text{in}}, \delta_{\text{out}}, n)= (0.3, 0.4, 0.3, 1, 1, 10^6), \quad p \in \{0.1, 0.15, 0.2, 0.25, 0.3\}.$$
The MLE estimates of the tail indices based on {\eqref{c1c2}}, $(\hat{\iota}^{MLE}_\text{in},\hat{\iota}^{MLE}_\text{out})$, are compared to the EV estimates calculated directly from the node degree data, $(\hat{\iota}^{EV}_\text{in},\hat{\iota}^{EV}_\text{out})$.
According to Theorem~\ref{thm:superstar}, {the} theoretical marginal tail indices for
$I_n(v)$ and $O_n(v)$, \wtd{$1\le v\le N(n)$}, based on a superstar \wtd{PA} model are
{given by \eqref{iotain}, \eqref{iotaout}.}
This experiment is repeated 50 times and Table~\ref{robust-clauset} records the mean estimates for $(\iota_\text{in}, \iota_\text{out})$ over these 50 replications.
\begin{table}[h]
\centering
\begin{tabular}{ccccc}
\hline
$p$& $(\iota_\text{in}, \iota_\text{out})$ & $(\hat{\iota}^{MLE}_\text{in},\hat{\iota}^{MLE}_\text{out})$ &
$(\hatain^{EV},\hataout^{EV})$ \\
\hline
$0.1$ & (2.43, 2.29) & (2.11, 2.31) & (2.24 2.25)\\
$0.15$ & (2.51, 2.29) & (2.03, 2.33) & (2.28 2.20) \\
$0.2$ & (2.61, 2.29) & (1.97, 2.34) & (2.35 2.18)\\
$0.25$ & (2.71, 2.29) & (1.91, 2.36) & (2.43 2.18) \\
$0.3$ & (2.84, 2.29) & (1.86, 2.38) & (2.51 2.15)\\
\hline
\end{tabular}
\caption{Mean estimates for $(\iota_\text{in}, \iota_\text{out})$ using both MLE and minimum
distance methods, with $(\alpha, \beta, \gamma, \delta_{\text{in}}, \delta_{\text{out}}, n) =
(0.3, 0.4, 0.3, 1, 1, 10^6)$.}\label{robust-clauset}
\end{table}
As $p$ increases and the influence of the superstar node
becomes more profound, the MLE method does not give an accurate
estimate of tail indices, while the {EV} method stays more robust. However, when $p$ becomes too large, the in-degrees
of non-superstar nodes will be greatly restricted, which increases the finite sample bias in the {EV} estimates.
Note that the theoretical indices $(\iota_\text{in}, \iota_\text{out})$ in Table~\ref{robust-clauset} are for the in- and out-degrees of the non-superstar nodes. In the EV methods, the inclusion of the superstar node \phy{can} severely \phy{bias} the estimation of $\iota_\text{in}$. Let $k_n$ be some intermediate sequence such that
$k_n\to\infty$ and $k_n/n\to 0$ as $n\to\infty$ and use $I_{(1)}\ge\ldots\ge I_{(k_n+1)}$ to denote the upper $k_n+1$ order statistics of
$\{I_n(v): 0\le v\le N(n)\}$. Then the corresponding Hill estimator is
\begin{align}
\new{1/\hatain^{EV} (k_n)} &:= \frac{1}{k_n}\sum_{i=1}^{k_n} \log \frac{I_{(i)}}{I_{(k_n+1)}}\nonumber\\
&= \frac{1}{k_n}\log I_{(1)} - \frac{1}{k_n}\log I_{(k_n+1)} + \frac{1}{k_n}\sum_{i=2}^{k_n} \log \frac{I_{(i)}}{I_{(k_n+1)}}.
\label{eq:hill_superstar}
\end{align}
From the construction of the superstar model, we know that the
superstar node
\new{likely has} the largest in-degree, which is
approximately equal to
$np$ for large $n$. Hence, the first term in \eqref{eq:hill_superstar}
goes to 0, as long as
\[
k_n/\log n\to \new{\infty},\quad\text{as }n\to\infty,
\]
and the third term in \eqref{eq:hill_superstar} is the Hill estimator computed from the in-degrees of non-superstar nodes.
In \cite{wang:resnick:2017}, the consistency of the Hill estimator has
been proved for a simple undirected linear PA model, but consistency for
$\hatain^{EV}(k_n)$ is not proven for either of the two models we consider here.
However, with the belief on the consistency of $\hatain^{EV}(k_n)$, \eqref{eq:hill_superstar} suggests that choosing a larger $k_n$ will
reduce the bias when estimating $\iota_\text{in}$ in the superstar model.
To illustrate this point numerically, we choose $k_n = 200, 500, 1000, 1500, 2000$
for a superstar network with $10^6$ edges and
probability of attaching to the superstar node $p = 0.1, 0.15, 0.2, 0.25, 0.3$.
For each value of $p$, we again simulate 50 independent replications of the superstar PA model with parameters
$(\alpha, \beta, \gamma, \delta_{\text{in}}, \delta_{\text{out}}, n) = (0.3, 0.4, 0.3, 1, 1, 10^6)$. Then for each replication generated,
Hill estimates of the in- and out-degree tail indices are calculated under different choices of $k_n$. The mean values of the
50 pairs of estimates are recorded in Table~\ref{Table:vary_kn}, where the first entry is the in-degree tail estimate and the second is for out-degree.
\begin{table}[h]
\centering
\begin{tabular}{l|ccccc}
\hline
& \multicolumn{5}{c}{Number of Upper Order Statistics $k_n$} \\
& 200 & 500 & 1000 & 1500 & 2000\\
\hline
$p = 0.1$ & (2.16, 2.22) & (2.26, 2.19) & (2.27, 2.16) & (2.28, 2.14) & (2.27, 2.15) \\
$p = 0.15$ & (2.25, 2.18) & (2.32, 2.17) & (2.29, 2.14) & (2.31,2.15) & (2.28, 2.14)\\
$p = 0.2$ & (2.32, 2.17) & (2.39, 2.16) & (2.37, 2.15) & (2.39, 2.11) & (2.33, 2.13) \\
$p = 0.25$ & (2.36, 2.18) & (2.47, 2.16) & (2.43, 2.12) & (2.49, 2.11) & (2.52, 2.12)\\
$p = 0.3$ & (2.41, 2.17) & (2.58, 2.13) & (2.56, 2.11) & (2.47, 2.11) & (2.51, 2.12)\\
\hline
\end{tabular}
\caption{Mean values of \new{EV}
estimates of tail indices $(\iota_\text{in}, \iota_\text{out})$ over 50 replications,
with $(\alpha, \beta, \gamma, \delta_{\text{in}}, \delta_{\text{out}}, n) = (0.3, 0.4, 0.3, 1, 1,
10^6)$.
\new{The true values are given in Table \ref{robust-clauset}.}}
\label{Table:vary_kn}
\end{table}
From the in-degree estimates in Table~\ref{Table:vary_kn}, we observe that for most values of $p$ increasing $k_n$ to 500
improves the estimation results, but further increase in $k_n$ has
adverse effects. One reason is that \new{large $k_n$} means
smaller in-degrees are taken into
the calculation of the Hill estimator; these smaller in-degrees
might not be large enough to be considered as following the power law
in \eqref{power-in}.
This also explains the increasing biases for the out-degree estimates, where the superstar node does not have any impact.
Comparing the results in Table~\ref{Table:vary_kn} to those EV estimates in Table~\ref{robust-clauset}, we see
that the minimum distance method seeks a good balance between eliminating the effect of the superstar nodes and choosing a reasonably
large threshold.
\begin{figure}
\includegraphics[scale = 0.65]{1213deg_superstar.pdf}
\caption{Empirical in- and out-degree distributions, with $(\alpha, \beta, \gamma, \delta_{\text{in}}, \delta_{\text{out}},n, p) = (0.3,\, 0.4,\, 0.3,\, 1,\, 1,\, 10^5,\, 0.25)$.}\label{fig:deg_compare}
\end{figure}
The next question is how the model misspecification affects the empirical
distributions of in- and out-degrees.
To {evaluate} this, we generated a superstar \wtd{PA} model with parameters
$$
(\alpha, \beta, \gamma, \delta_{\text{in}}, \delta_{\text{out}},n, p) = (0.3,\, 0.4,\, 0.3,\, 1,\, 1,\, 10^5,\, 0.25).
$$
We {estimated parameters by}
both MLE {and {EV} methods} {from} simulated
superstar {data}, pretending that the data was generated from an ordinary
\wtd{PA} rule. For the
\wtd{EV} approach, 200 tail observations \new{were}
used {while computing $\hat{\alpha}^{EV}$}.
Denote the MLE and \wtd{EV} estimates by
\begin{align*}
\widehat{\boldsymbol\theta}_n^{MLE} &:= (\hat{\alpha}^{MLE}, \hat{\beta}^{MLE}, \hat{\gamma}^{MLE}, \hat{\delta}^{MLE}_\text{in}, \hat{\delta}^{MLE}_\text{out}), \\
\widehat{\boldsymbol\theta}_n^{EV} &:= (\hat{\alpha}^{EV},
\hat{\beta}^{EV},
\hat{\gamma}^{EV},
\hat{\delta}^{EV}_\text{in},
\hat{\delta}^{EV}_\text{out}).
\end{align*}
We then simulated $20$ independent replications of a linear
PA model with parameters
$\widehat{\boldsymbol\theta}_n^{MLE}$ and $20$ with parameters
$\widehat{\boldsymbol\theta}_n^{EV}.$ For each set of replicates we
computed the empirical frequency distributions.
Comparisons of degree distributions are provided in
Figure~\ref{fig:deg_compare}.
In all 4 panels, the green dots represent the empirical degree frequencies for
the simulated superstar data, top for in-degree and bottom
for out-degree. Blue in the two left panels
represents overlaid frequency distributions for the 20 simulated data
sets from the \wtd{linear PA} replicates using
$\widehat{\boldsymbol\theta}_n^{MLE}$. Red in the right two panels
does the same thing for 20 replicates of the \wtd{linear PA}
model using parameter $\widehat{\boldsymbol\theta}_n^{EV}$.
The \wtd{EV} method {seems} to give better fit for
in-degrees. Based on out-degrees, it is difficult to visually discern
an advantage for either approach. {While not obvious in the plots, we again expect the estimated degrees from the EV method to have higher variance than those from MLE, as much less data were used for the model fitting.}
\section{Conclusion}\label{sec:discussion}
{In this paper, we propose{d} a semi-parametric {extreme value} (EV)
estimation method for network models. We compared the {performance}
of this method to the two parametric approaches (MLE and snapshot
methods) given in \cite{wan:wang:davis:resnick:2017} under three
scenarios: (1) data generated from a linear preferential attachment
(linear PA) model;
(2) data generated from a linear PA model with corruption; (3) data generated from a superstar linear PA model.}
To summarize our findings and experience, EV
estimation methods play important roles while applied to social
network data. The method provides a robust procedure for
estimating \new{parameters} of the network related to heavy-tailedness of
the marginal and joint distributions of the in- and out-degrees.
Also EV methods play a confirmatory role to other
estimation procedures that are likelihood based, such as MLE or the
snapshot (SN) method, which require that the model is correctly
specified. If, for example, MLE or SN produces estimates of tail
indices different \wtd{from} those \wtd{given} by the EV procedure, then this might
suggest a lack of fit of the underlying model.
In practice, data are
not as {\it clean} as those produced in simulations and one
expects deviations from a base model such as the linear PA.
As seen in this paper, these deviations can lead to sharply biased MLE
and SN estimates especially when compared to EV estimates. As in
classical \wtd{EV} estimation in the iid setting, the
choice of threshold upon which to base the estimation remains a thorny
issue in the network context. The minimum distance method based on
\cite{clauset:shalizi:newman:2009} for estimating
\new{marginal} tail indices works
well for the examples considered here, but \wtd{worse} for multivariate
data where it is employed to set thresholds based on radius vectors.
| {
"redpajama_set_name": "RedPajamaArXiv"
} | 8,493 |
Personal privacy is a highly sensitive issue for every Internet user. Constant warnings from the IT experts to take extra measures from ransomware attack. Amid this mood in the virtual space, Scottrade Bank accidentally exposed 20 000 users data online. While it is common sense to associate every data breach accident with hackers and felons, for your surprise, this incident which is estimated to have a primary effect on 20 000 users was caused by a technical error rather than organized cyber attack. The accident which might be soon dubbed as "the fail of the day" exposed account passwords, full names, addresses and social security credentials. Who's to blame for such outrageous data breach?
The very incident took place when Genpact, IT services provider, left the folder with confidential information unprotected during the upload process to an Amazon-hosted process. Fortunately, such data "package" was spotted by Chris Vickery, a well-known security expert. The folder encompassed 158,9GB Microsoft SQL database. It seems that minor errors in SQL configuration may have lead to the major data leak. Fortunately, since the incident has been reported, the data is no longer accessible. Interestingly, the reputation of Scottrade Bank tarnished in the past already. The data breach which occurred on October 2015 resulted in 4,6 million users' data exposure. At that time, the company's representative provided little information on who or what caused the data leak.
Such data leaks seem to be rather a frequent phenomenon rather than a rarity. Several major data leak cases have reverberated already. In the case of data leak involving UK's mobile company's data leak cases. At that time, clients of Three Mobile, UK's telecommunication company, could access confidential data of another user. Another UK's loan company Wonga has reported that the recent data leak might have affected more than 270 000 customers. The name of the well-known company does not reassure the fact that the data monitored by them is always safe and well-protected. In contrast to this case, when data breach was merely the outcome of a technical issue, hackers are often the main culprit for data leaks. While the confidentiality of your data greatly depends on the companies cyber security and protection measures, you should retain vigilance. Despite whether your preferred bank company has not experienced any data breach yet, change the passwords of your accounts every few months. Think of a delicately phrase and do not employ the same for several accounts.
^ David Bisson. Scottrade Confirms Third-Party Data Breach Exposed 20,000 Customers' Private Data. TripWire. The state of security.
^ Three UK's Mobile Customers Experience New Data Breach. InformationSecurityBuzz.
^ Nadine Freischlad. Go-Jek's app has major data leaks, claims security firm. Go-Jek says they're fixed.. TechInAsia. Connecting Asia' startup ecosystem.
^ DavidBisson. Wonga Says Incident May Have Compromised Customers' Personal Data. Tripwire. News. trends. Inisghts.
This entry was posted on 2017-04-10 at 08:13 and is filed under News, Security. | {
"redpajama_set_name": "RedPajamaC4"
} | 9,840 |
\section{Introduction}
\vspace{-2ex}
The LETOR benchmark dataset \cite{LQXXL} {\tt http://research.microsoft.com/users/LETOR/} (version 2.0) contains three information retrieval datasets used as a benchmark for testing machine learning ideas
for ranking. Algorithms participating in the challenge
are required to assign score values to search results for a collection of queries, and are measured using standard IR ranking measures (NDCG@$n$, precision@$n$ and MAP - see \cite{LQXXL} for details), designed in such a way that only the relative order of the results matters.
The input to the learning problem is a list of query-result records, where each record is a vector of standard IR features
together with a relevance label and a query id. The label is either binary (irrelevant or relevant) or trinary (irrelevant, relevant or very relevant).
All reported algorithms used for this task on LETOR website \cite{CQLTL07,FSS03,HGO99,QZWLLL07,TLQCM07,XL07}
rely on the fact that records corresponding to the same query id are
in some sense comparable to each other, and cross query records are incomparable. The rationale is that the
IR measures are computed as a sum over the queries, where for each query a nonlinear function is computed.
For example, RankSVM \cite{HGO99} and RankBoost \cite{FSS03} use pairs of results for the same query to
penalize a cost function, but never cross-query pairs of results.
The following approach seems at first too naive compared to others: Since the training information is given as relevance labels,
why not simply train a linear classifier to predict the relevance labels, and use prediction confidence as score?
Unfortunately this approach fares poorly. The hypothesized reason is that judges' relevance response may
depend on the query. To check this hypothesis, we define an additional free variable (\emph{intercept} or \emph{benchmark})
for each query. This allows expressing the fact that results
for different queries are incomparable for the purpose of determining relevance. The cost of this idea is the addition
of relatively few nuisance parameters. Our approach is extremely simple, and we used
a standard logistic regression library to test it on the data.
This work is not the first to suggest query dependent ranking, but it is arguably the simplest, most immediate way to address
this dependence using linear classification before other complicated ideas should be tested.
Based on our judgment, other reported algorithms used for the challenge are more complicated, and our
solution is overall better on the given data.
\vspace{-3ex}
\section{Theory and Experiments}
\vspace{-2ex}
\def{\mathcal O}{{\mathcal O}}
\def{\mathcal T}{{\mathcal T}}
\def\operatorname{tree}{\operatorname{tree}}
Let $Q_i$, $i=1,\dots,n$ be a sequence of queries, and for each $i$ let $R_{i1},\dots, R_{im_i}$ denote a corresponding
set of retrieved results. For each $i\in [n]$ and $j\in [m_i]$ let $\Phi_{ij} = (\Phi_{ij}(1),\dots \Phi_{ij}(k))\in {\bbbr}^k$ denote a real valued feature vector.
Here, the coordinates of $\Phi_{ij}$ are standard IR features. Some of these features depend on the result only,
and some on the query-result pair, as explained in \cite{LQXXL}.
Also assume that for each $i,j$ there is a judge's response label $L_{ij} \in {\mathcal O}$,
where ${\mathcal O}$ is a finite set of ordinals. In the TREC datasets (TD2003 and TD2004), ${\mathcal O}=\{0,1\}$. In the OHSUMED dataset ${\mathcal O}=\{0,1,2\}$. Higher numbers
represent higher relevance.
{\bf The Model.}
We assume the following generalized linear model for $L_{ij}$ given $\Phi_{ij}$ using the logit link. Other models are possible,
but we chose this one for simplicity. Assume first that the set of ordinals is binary: ${\mathcal O}=\{0,1\}$.
There is a hidden global weight vector $w\in {\bbbr}^k$.
Aside from $w$, there is a query dependent parameter $\Theta_i\in {\bbbr}$ corresponding to each query $Q_i$. We call this
parameter a \emph{benchmark} or an \emph{intercept}. The intuition behind defining this parameter is to allow for a different relevance criterion to different queries.
The probability distribution $\Pr_{w,\Theta_i}(L_{ij}| Q_i,R_{ij})$ of response to result $j$ for query $i$ is given b
\vspace{-3ex}
$$ \Pr_{w,\Theta_i}(L_{ij}=1|Q_i,R_{ij}) = \frac 1 {1+e^{\Theta_i - w\cdot \Phi_{ij} }} \ \ \ \Pr_{w,\Theta_i}(L_{ij}=0|Q_i,R_{ij}) = \frac 1 {1+e^{w\cdot \Phi_{ij} - \Theta_i }} $$
\noindent
\vspace{-3ex}
In words, the probability of result $j$ for query $i$ deemed relevant is $\Theta_i - w\cdot \Phi_{ij}$ passed through the logit link, where
$w\cdot \Phi_{ij}$ is vector dot product.
This process should be thought of as a statistical comparison between the value of a search result $R_{ij}$ (obtained as a
linear function of its feature vector $\Phi_{ij}$) to a benchmark $\Theta_i$. In our setting, both the linear coefficients
$w$ and the benchmark $\Theta_1,\dots, \Theta_n$ are variables
which can be efficiently learnt in the maximum likelihood (supervised) setting. Note that the total
number of variables is $n$ (number of queries) plus $k$ (number of features).
{\bf Observation: } For any weight vector $w$, benchmark variable $\Theta_i$ corresponding to query $Q_i$ and two result incides $j,k$,
\vspace{-1ex}
$$ \Pr_{w,\Theta_i}(L_{ij}=1 | Q_i,R_{ij}) > \Pr_{w,\Theta_i}(L_{ik}=1 | Q_i,R_{ik}) \iff w\cdot \Phi_{ij} > w\cdot \Phi_{ik}\ . $$
This last observation means that for the purpose of ranking candidate results for a specific query $Q_i$ in decreasing order
of relevance likelihood, the benchmark parameter $\Theta_i$ is not needed. Indeed, in our experiments below the
benchmark variables will be used only in conjunction with the training data. In testing, this variable will neither be known nor necessary.
\noindent
{\bf The Trinay Case.}
As stated above, the labels for the OHSUMED case are trinary: ${\mathcal O}=\{0,1,2\}$. We chose the following model to extend the binary case. Instead of one benchmark parameter for each query $Q_i$ there are two such parameters, $\Theta_i^H, \Theta_i^L$ (\emph{H}igh/ \emph{L}ow) with $\Theta_i^H > \Theta_i^L$. Giver a candidate result $R_{ij}$ to query $Q_i$ and the parameters, the probability distribution on
the three possible ordinals is:
\vspace{-4ex}
$$\Pr_{w,\Theta_i^H,\Theta_i^L}(L_{ij} = X | Q_i, R_{ij}) =
\begin{cases}
\frac {1} {\left (1+e^{w\cdot \Phi_{ij} - \Theta^H_i}\right ) \left (1+e^{w\cdot \Phi_{ij} - \Theta^L_i}\right )} & X=0 \\
\frac 1 { \left(1+e^{w\cdot \Phi_{ij} - \Theta^H_i}\right ) \left (1+e^{\Theta^L_i - w\cdot \Phi_{ij}}\right)} & X=1 \\
\frac 1 { \left(1+e^{\Theta^H_i - w\cdot \Phi_{ij} }\right ) } & X=2 \\
\end{cases}
$$
\vspace{-2ex}
In words, the result $R_{ij}$ is statistically compared against benchmark $\Theta_i^H$. If it is deemed higher than the benchmark,
the label $2$ ("very relevant") is outputted as response. Otherwise, the result is statistically compared against benchmark $\Theta_i^L$,
and the resulting comparison is either $0$ (irrelevant) or $1$ (relevant).\footnote{A natural alternative to this model is the following: Statistically compare against $\Theta_i^L$ to decide of the result is irrelevant.
If it is not irrelevant, compare against $\Theta_i^H$ to decide between relevant and very relevant. In practice, the model proposed
above gave better results.}
The model is inspired by Ailon and Mohri's QuickSort algorithm, proposed as a learning method in their recent paper \cite{AM07}:
Pivot elements (or, benchmarks) are used to iteratively refine the ranking of data.
\vspace{-2ex}
\noindent
\\
{\bf Experiments.}
We used an out of the box implementation of logistic regression in R to test the above ideas. Each one of the three datasets
includes $5$ folds of data, each fold consisting of training, validation (not used) and testing data.
From each training dataset, the variables $w$ and $\Theta_i$ (or $w, \Theta_i^H, \Theta_i^L$ in the OHSUMED case) were recovered in the maximum likelihood sense (using logistic regression). Note that the constraint $\Theta_i^H > \Theta_i^L$ was not enforced,
but was obtained as a byproduct. The weight vector $w$ was then used to score the test data. The scores were
passed through an evaluation tool provided by the LETOR website.
\vspace{-2ex}
\noindent
\\
{\bf Results.}
The results for OHSUMED are summarized in Tables~\ref{OHSUMEDNDCG},~\ref{OHSUMEDprecision}, and ~\ref{MAP}.
The results for TD2003 are summarized in Tables~\ref{TD2003NDCG},~\ref{TD2003precision}, and~\ref{MAP}.
The results for TD2004 are summarized in Tables~\ref{TD2004NDCG},~\ref{TD2004precision}, and~\ref{MAP}.
The significance of each score separately is
quite small (as can be seen by the standard deviations), but it is clear that overall our method outperforms the others. For
convenience, the winning average score (over 5 folds) is marked in red for each table column.
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This & \textcolor{red}{$0.491 \pm 0.086$} & \textcolor{red}{$0.480 \pm 0.058$} & \textcolor{red}{$0.458 \pm 0.055$} & \textcolor{red}{$0.448 \pm 0.054$}& $0.447 \pm 0.047$ \\
RankBoost & $0.483 \pm 0.079$ & $0.461 \pm 0.063$ & $0.442 \pm 0.058$ & $0.436 \pm 0.044$ & $0.436 \pm 0.042$ \\
RankSVM & $0.476 \pm 0.091$ & $0.459 \pm 0.059$ & $0.455 \pm 0.054$ & $0.445 \pm 0.057$ & $0.441 \pm 0.055$ \\
FRank & $0.510 \pm 0.074$ & $0.478 \pm 0.060$ & $0.457 \pm 0.062$ & $0.445 \pm 0.054$ & $0.442 \pm 0.055$ \\
ListNet & $0.497 \pm 0.062$ & $0.468 \pm 0.065$ & $0.451 \pm 0.056$ & $0.451 \pm 0.050$ & \textcolor{red}{$0.449 \pm 0.040$} \\
AdaRank.MAP & $0.496 \pm 0.100$ & $0.471 \pm 0.075$ & $0.448 \pm 0.070$ & $0.443 \pm 0.058$ & $0.438 \pm 0.057$ \\
AdaRank.NDCG & $0.474 \pm 0.091$ & $0.456 \pm 0.057$ & $0.442 \pm 0.055$ & $0.441 \pm 0.048$ & $0.437 \pm 0.046$ \\
\hline
\end{tabular}
\caption{OHSUMED: Mean $\pm$ Stdev for NDCG over 5 folds} \label{OHSUMEDNDCG}
\vspace{-5ex}
\end{table}
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This & $0.610 \pm 0.092$ & \textcolor{red}{$0.598 \pm 0.082$} & \textcolor{red}{$0.560 \pm 0.090$} & \textcolor{red}{$0.526 \pm 0.092$} &\textcolor{red}{$0.511 \pm 0.081$} \\
RankBoost & $0.595 \pm 0.090$ & $0.562 \pm 0.081$ & $0.525 \pm 0.093$ & $0.505 \pm 0.072$ & $0.495 \pm 0.081$ \\
RankSVM & $0.619 \pm 0.096$ & $0.579 \pm 0.072$ & $0.558 \pm 0.077$ & $0.525 \pm 0.088$ & $0.507 \pm 0.096$ \\
FRank & $0.619 \pm 0.051$ & $0.581 \pm 0.079$ & $0.534 \pm 0.098$ & $0.501 \pm 0.091$ & $0.485 \pm 0.097$ \\
ListNet & \textcolor{red}{$0.629 \pm 0.080$} & $0.577 \pm 0.097$ & $0.544 \pm 0.098$ & $0.520 \pm 0.098$ & $0.510 \pm 0.085$ \\
AdaRank.MAP & $0.605 \pm 0.102$ & $0.567 \pm 0.087$ & $0.528 \pm 0.102$ & $0.502 \pm 0.087$ & $0.491 \pm 0.091$ \\
AdaRank.NDCG & $0.605 \pm 0.099$ & $0.562 \pm 0.063$ & $0.529 \pm 0.073$ & $0.506 \pm 0.073$ & $0.491 \pm 0.082$ \\
\hline
\end{tabular}
\caption{OHSUMED: Mean $\pm$ Stdev for precision over 5 folds}\label{OHSUMEDprecision}
\vspace{-5ex}
\end{table}
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This & \textcolor{red}{$0.430 \pm 0.179$} & \textcolor{red}{$0.398 \pm 0.146$} & $0.375 \pm 0.125$ & $0.369 \pm 0.113$ & $0.360 \pm 0.105$ \\
RankBoost & $0.280 \pm 0.097$ & $0.272 \pm 0.086$ & $0.280 \pm 0.071$ & $0.282 \pm 0.074$ & $0.285 \pm 0.064$ \\
RankSVM &$0.370 \pm 0.130$ & $0.363 \pm 0.132$ & $0.341 \pm 0.118$ & $0.345 \pm 0.117$ & $0.341 \pm 0.115$ \\
FRank & $0.390 \pm 0.143$ & $0.342 \pm 0.107$ & $0.330 \pm 0.087$ & $0.332 \pm 0.079$ & $0.336 \pm 0.074$ \\
ListNet & \textcolor{red}{$0.430 \pm 0.160$} &$0.386 \pm 0.125$ & \textcolor{red}{$0.386 \pm 0.106$} & \textcolor{red}{$0.373 \pm 0.104$} & \textcolor{red}{$0.374 \pm 0.094$} \\
AdaRank.MAP & $0.320 \pm 0.104$ & $0.268 \pm 0.120$ & $0.229 \pm 0.104$ & $0.206 \pm 0.093$ & $0.194 \pm 0.086$ \\
AdaRank.NDCG & $0.410 \pm 0.207$ & $0.347 \pm 0.195$ & $0.309 \pm 0.181$ & $0.286 \pm 0.171$ & $0.270 \pm 0.161$ \\
\hline
\end{tabular}
\caption{TD2003: Mean $\pm$ Stdev for NDCG over 5 folds}\label{TD2003NDCG}
\vspace{-5ex}
\end{table}
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This & \textcolor{red}{$0.420 \pm 0.192$} & \textcolor{red}{$0.340 \pm 0.161$} & \textcolor{red}{$0.283 \pm 0.131$} & \textcolor{red}{$0.253 \pm 0.115$} & \textcolor{red}{$0.222 \pm 0.106$} \\
RankBoost &$0.270 \pm 0.104$ & $0.230 \pm 0.112$ & $0.210 \pm 0.080$ & $0.193 \pm 0.071$ & $0.178 \pm 0.053$ \\
RankSVM & $0.350 \pm 0.132$ & $0.300 \pm 0.137$ & $0.243 \pm 0.100$ & $0.233 \pm 0.091$ & $0.206 \pm 0.082$ \\
FRank & $0.370 \pm 0.148$ & $0.260 \pm 0.082$ & $0.223 \pm 0.043$ & $0.210 \pm 0.045$ & $0.186 \pm 0.049$ \\
ListNet & \textcolor{red}{$0.420 \pm 0.164$} & $0.310 \pm 0.129$ & \textcolor{red}{$0.283 \pm 0.090$} & $0.240 \pm 0.075$ & \textcolor{red}{$0.222 \pm 0.061$} \\
AdaRank.MAP & $0.310 \pm 0.096$ & $0.230 \pm 0.105$ & $0.163 \pm 0.081$ & $0.125 \pm 0.064$ & $0.102 \pm 0.050$ \\
AdaRank.NDCG &$0.400 \pm 0.203$ & $0.305 \pm 0.183$ & $0.237 \pm 0.161$ & $0.190 \pm 0.140$ & $0.156 \pm 0.120$ \\
\hline
\end{tabular}
\caption{TD2003: Mean $\pm$ Stdev for precision over 5 folds}\label{TD2003precision}
\vspace{-5ex}
\end{table}
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This &\textcolor{red}{$0.473 \pm 0.132$} & \textcolor{red}{$0.454 \pm 0.075$} & \textcolor{red}{$0.450 \pm 0.059$} & $0.459 \pm 0.050$ & \textcolor{red}{$0.472 \pm 0.043$} \\
RankBoost &\textcolor{red}{$0.473 \pm 0.055$} & $0.439 \pm 0.057$ & $0.448 \pm 0.052$ & \textcolor{red}{$0.461 \pm 0.036$} & \textcolor{red}{$0.472 \pm 0.034$} \\
RankSVM & $0.433 \pm 0.094$ & $0.406 \pm 0.086$ & $0.397 \pm 0.082$ & $0.410 \pm 0.074$ & $0.420 \pm 0.067$ \\
FRank & $0.467 \pm 0.113$ & $0.435 \pm 0.088$ & $0.445 \pm 0.078$ & $0.455 \pm 0.055$ & $0.471 \pm 0.057$ \\
ListNet & $0.427 \pm 0.080$ & $0.422 \pm 0.049$ & $0.418 \pm 0.057$ & $0.449 \pm 0.041$ & $0.458 \pm 0.036$ \\
AdaRank.MAP & $0.393 \pm 0.060$ & $0.387 \pm 0.086$ & $0.399 \pm 0.085$ & $0.400 \pm 0.086$ & $0.406 \pm 0.083$ \\
AdaRank.NDCG &$0.360 \pm 0.161$ & $0.377 \pm 0.123$ & $0.378 \pm 0.117$ & $0.380 \pm 0.102$ & $0.388 \pm 0.093$ \\
\hline
\end{tabular}
\caption{TD2004: Mean $\pm$ Stdev for NDCG over 5 folds}\label{TD2004NDCG}
\vspace{-8ex}
\end{table}
\begin{table}[h!]
\begin{tabular}{|c|c|c|c|c|c|}
\hline
& @2 & @4 & @6 & @8 & @10 \\
\hline
This & \tr{$0.447 \pm 0.146$} & \tr{$0.370 \pm 0.095$} & \tr{$0.316 \pm 0.076$} & \tr{$0.288 \pm 0.076$} & \tr{$0.264 \pm 0.062$} \\
RankBoost & \tr{$0.447 \pm 0.056$}& $0.347 \pm 0.083$ & $0.304 \pm 0.079$ & $0.277 \pm 0.070$ & $0.253 \pm 0.067$ \\
RankSVM & $0.407 \pm 0.098$ & $0.327 \pm 0.089$ & $0.273 \pm 0.083$ & $0.247 \pm 0.082$ & $0.225 \pm 0.072$ \\
FRank & $0.433 \pm 0.115$ & $0.340 \pm 0.098$ & $0.311 \pm 0.082$ & $0.273 \pm 0.071$ & $0.256 \pm 0.071$ \\
ListNet & $0.407 \pm 0.086$ & {$0.357 \pm 0.087$} & $0.307 \pm 0.084$ & $0.287 \pm 0.069$ & $0.257 \pm 0.059$ \\
AdaRank.MAP & $0.353 \pm 0.045$ & $0.300 \pm 0.086$ & $0.282 \pm 0.068$ & $0.242 \pm 0.063$ & $0.216 \pm 0.064$ \\
AdaRank.NDCG & $0.320 \pm 0.139$ & $0.300 \pm 0.082$ & $0.262 \pm 0.092$ & $0.232 \pm 0.086$ & $0.207 \pm 0.082$ \\
\hline
\end{tabular}
\caption{TD2004: Mean $\pm$ Stdev for precision over 5 folds}\label{TD2004precision}
\vspace{-5ex}
\end{table}
\begin{table}[h!]
\begin{center}
\begin{tabular}{|c|c|c|c|}
\hline
& OHSUMED &TD2003 & TD2004 \\
\hline
This & $0.445 \pm 0.065$ & $0.248 \pm 0.075$ &$0.379 \pm 0.051$ \\
RankBoost & $0.440 \pm 0.062$ & $0.212 \pm 0.047$ & \tr{$0.384 \pm 0.043$} \\
RankSVM & {$0.447 \pm 0.067$} & {$0.256 \pm 0.083$} & $0.350 \pm 0.072$ \\
FRank &$0.446 \pm 0.062$ &$0.245 \pm 0.065$ & $0.381 \pm 0.069$ \\
ListNet & \tr{$0.450 \pm 0.063$} & \tr{$0.273 \pm 0.068$} & $0.372 \pm 0.046$ \\
AdaRank.MAP & $0.442 \pm 0.061$ &$0.137 \pm 0.063$ &$0.331 \pm 0.089$ \\
AdaRank.NDCG & $0.442 \pm 0.058$ &$0.185 \pm 0.105$ & $0.299 \pm 0.088$ \\
\hline
\end{tabular}
\end{center}
\vspace{-2ex}
\caption{Mean $\pm$ Stdev for MAP over 5 folds}\label{MAP}
\vspace{-6ex}
\end{table}
\noindent
\noindent
{\bf Conclusions and further ideas}
$\bullet$ In this work we showed that a simple out-of-the-box generalized linear model using logistic regression performs as least as well
the state of the art in learning ranking algorithms if a separate intercept variable (benchmark) is defined for each query
$\bullet$ In a more
eleborate IR system, a separate intercept variable could be attached to each pair of \emph{query} $\times$ \emph{judge}
(indeed, in LETOR the separate judges' responses were aggregated somehow, but in general it is likely that different judges would
have different benchmarks as well) $\bullet$ The simplicity of our approach is also its main limitation. However,
it can easily be implemented in conjunction with other
ranking ideas. For example, recent work by Geng et al. \cite{GLQLS} (not evaluated on LETOR) proposes query dependent ranking, where
the category of a query is determined using a k-Nearest Neighbor method. It is immediate to apply the ideas here within
each category.
\bibliographystyle{plain}
\vspace{-3ex}
| {
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{"url":"https:\/\/hal.inria.fr\/hal-01215070","text":"# Stable rigged configurations and Littlewood\u2015Richardson tableaux\n\nAbstract : For an affine algebra of nonexceptional type in the large rank we show the fermionic formula depends only on the attachment of the node 0 of the Dynkin diagram to the rest, and the fermionic formula of not type $A$ can be expressed as a sum of that of type $A$ with Littlewood\u2013Richardson coefficients. Combining this result with theorems of Kirillov\u2013Schilling\u2013Shimozono and Lecouvey\u2013Okado\u2013Shimozono, we settle the $X=M$ conjecture under the large rank hypothesis.\nKeywords :\nDocument type :\nConference papers\nDomain :\n\nCited literature [24 references]\n\nhttps:\/\/hal.inria.fr\/hal-01215070\nContributor : Coordination Episciences Iam <>\nSubmitted on : Tuesday, October 13, 2015 - 3:06:09 PM\nLast modification on : Wednesday, June 16, 2021 - 9:28:02 AM\nLong-term archiving on: : Thursday, April 27, 2017 - 12:12:54 AM\n\n### File\n\ndmAO0164.pdf\nPublisher files allowed on an open archive\n\n### Identifiers\n\n\u2022 HAL Id : hal-01215070, version 1\n\n### Citation\n\nMasato Okado, Reiho Sakamoto. Stable rigged configurations and Littlewood\u2015Richardson tableaux. 23rd International Conference on Formal Power Series and Algebraic Combinatorics (FPSAC 2011), 2011, Reykjavik, Iceland. pp.729-740. \u27e8hal-01215070\u27e9\n\nRecord views","date":"2021-06-19 21:10:56","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\": 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\": 0.20070074498653412, \"perplexity\": 5795.828555983777}, \"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-2021-25\/segments\/1623487649731.59\/warc\/CC-MAIN-20210619203250-20210619233250-00125.warc.gz\"}"} | null | null |
SXSW 2019 Parties & RSVPs
Mamby On The Beach Announces 2019 Lineup Featuring Santigold, Phantogram and Flying Lotus 3D
Aaron Grech June 5th, 2019 - 7:11 PM
Mamby On The Beach has just announced its 2019 lineup and a venue change, this year taking place at Montrose Beach, in Chicago Illinois, after hosting its previous iterations at Oakwood Beach. This year's lineup features a multitude of performers including Santigold, Phantogram, Flying Lotus 3D, Brockhampton, Troye Sivan, Zhu and Porter Robinson as Virtual Self for the hip hop, electronic and soul festival.
Single-day passes, two-day passes and VIP passes which include access to the Tiki Lounge a premium drink menu, preferred viewing areas, air-conditioned bathrooms, express lane entry and lake access are available here. The fest will take place from August 23rd and 24th and will also have other activities including silent disco, yoga sessions, nutritional and wellness workshops, beach-friendly games such as beach volleyball, live painting, fire performances and art installations.
Santigold has finished wrapping up her Spring 2019 tour in celebration of the release of her self-titled debut album. Her brief tour took her across the United States with various dates spread across the east and west coast for ten tour stops total. Although Santigold has been a prominent artist for a decade now, she considers her self-titled debut as a work that she looks back on positively.
"I really like it(Santigold)! And the thing is that I don't feel like that about anything. I'm the type of person who doesn't have any tattoos, because I know that I will not like them later," Santigold explained in an interview with Entertainment Weekly."Even when I listen to [my previous band] Stiffed I feel embarrassed. But I'm really proud of it, I can still listen to it and enjoy it… I mean not often, but like every four years."
Ever since its debut at FYF in Los Angeles back in 2017, Flying Lotus has taken his new 3D tour experience across the country, from The Hollywood Bowl to the Lightning In A Bottle fest. His last album Flamagra, hosts a plethora of new features from Little Dragon to legendary filmmaker David Lynch.
Phantogram released their newest single "Into Happiness," earlier this month, which was their first original song released in three years.
Photo Credit: Marv Watson
Mamby on the Beach
Aaron Grech
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